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MIAX Options Disciplinary Actions

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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

MIAX Options DA-20150452055

Notice of Letter of Consent No. 20150452055 for Group One Trading, L.P.

July 12, 2016