All Options Exchanges Disciplinary Actions
MIAX Pearl DA 20190629791
Notice of Letter of Consent No. 2019062979108 Susquehanna Securities, LLC
February 03, 2021
MIAX Options DA 20190629791
Notice of Letter of Consent No. 2019062979110 Susquehanna Securities, LLC
February 03, 2021
MIAX Emerald DA 20190629791
Notice of Letter of Consent No. 2019062979109 Susquehanna Securities, LLC
February 03, 2021
MIAX Pearl DA 2018057169610
Notice of Letter of Consent No. 2018057169610 UBS Securities, LLC
December 28, 2020
MIAX Options DA 2018057169608
Notice of Letter of Consent No. 2018057169608 UBS Securities, LLC
December 28, 2020
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