Cboe Equities Exchanges Disciplinary Actions

File No. URE-133-03/Star No. 20210693299-07; Wells Fargo Securities, LLC
March 11, 2025
Letter of Consent; BZX Rules 24.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 18.1 - Adherence to Law and 5.1 - Written Procedures; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers
File No. URE-208-05/Star No. 20200667547-04; Wall Street Access
January 16, 2025
Letter of Consent; BZX Rules 3.2 - Violations Prohibited, 5.1 - Written Procedures, and 11.9(d) - Orders and Modifiers - Intermarket Sweep Orders; Rule 611 of Regulation NMS - Order Protection Rule, promulgated under the Securities Exchange Act of 1934, as amended