All Options Exchanges Disciplinary Actions
MIAX Options DA 2017055996501
Notice of Letter of Consent No. 2017055996501 Credit Suisse Securities (USA) LLC
December 28, 2020
MIAX PEARL DA 2017053508807
Notice of Letter of Consent No. 2017053508807 Morgan Stanley & Co., LLC
August 05, 2020
MIAX Options DA 2017053508806
Notice of Letter of Consent No. 2017053508806 Morgan Stanley & Co., LLC
August 05, 2020
MIAX Options DA 2018057173402
Notice of Letter of Consent No. 2018057173402 Susquehanna Investment Group
June 10, 2020
MIAX Options DA 2015048329301
Notice of Letter of Consent No. 2015048329301 Morgan Stanley & Co. LLC
June 10, 2020
MIAX Options DA 2015047505806
Notice of Letter of Consent No. 2015047505806 Susquehanna Securities
February 21, 2019
MIAX Options DA 2014042222602
Notice of Letter of Consent No. 2014042222602 Apex Clearing Corporation
February 21, 2019
MIAX Options DA 20140411279-03
Notice of Letter of Consent No. 20140411279-03 Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 26, 2018