All Options Exchanges Disciplinary Actions
MIAX Pearl DA-2022074101007
Notice of Letter of Consent No. 2022074101007 Morgan Stanley & Co., LLC
November 05, 2024
MIAX Emerald DA-2022074101006
Notice of Letter of Consent No. 2022074101006 Morgan Stanley & Co., LLC
November 05, 2024
MIAX Pearl DA-2020067485611
Notice of Letter of Consent No. 2020067485611 BofA Securities, Inc.
June 27, 2024
MIAX Options DA-2020067485613
Notice of Letter of Consent No. 2020067485613 BofA Securities, Inc.
June 27, 2024
MIAX Emerald DA-2020067485612
Notice of Letter of Consent No. 2020067485612 BofA Securities, Inc.
June 27, 2024
MIAX Options DA-2017056214406
Notice of Letter of Consent No. 2017056214406 Jefferies LLC
February 26, 2024
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