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MIAX Pearl Options Disciplinary Actions

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MIAX Pearl DA-2021069322008

Notice of Letter of Consent No. 2021069322008 Electronic Transaction Clearing, Inc

November 06, 2023

MIAX Pearl DA-2021070475701

Notice of Letter of Consent No. 2021070475701 Apex Clearing Corporation

April 20, 2023

MIAX Pearl DA-2021069249708

Notice of Letter of Consent No. 2021069249708 Susquehanna Securities, LLC

April 20, 2023

MIAX Pearl DA-20190610657

Notice of Letter of Consent No. 20190610657 Jefferies LLC
 

November 11, 2022

MIAX Pearl DA-20180580170

Notice of Letter of Consent No. 20180580170 Global Execution Brokers, LP
 

November 11, 2022

MIAX Pearl DA 20190611843

Notice of Letter of Consent No. 20190611843 Dash Financial Technologies, LLC

June 23, 2022

MIAX Pearl DA 20190610611

Notice of Letter of Consent No. 20190610611 Goldman Sachs & Co. LLC

June 23, 2022

MIAX Pearl DA 20180601179

Notice of Letter of Consent No. 20180601179 Dash Financial Technologies, LLC

June 23, 2022