All Options Exchanges Disciplinary Actions
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
MIAX Options DA 20120346239-04
Notice of Letter of Consent No. 20120346239 for Morgan Stanley & Co. LLC
August 23, 2018
MIAX Options DA 20130364720-03
Notice of Letter of Consent No. 20130364720-03 for Barclays Capital Inc.
May 24, 2018
MIAX Options DA 20140418701-04
Notice of Letter of Consent No. 20140418701-04 for Automated Trading Desk Financial Services, LLC
December 21, 2016
MIAX Options DA-20140438298
Notice of Letter of Consent No. 20140438298 for Wolverine Trading LLC
October 28, 2016
MIAX Options DA-20140438289
Notice of Letter of Consent No. 20140438289 for Susquehanna Securities
October 28, 2016