Cboe Equities Exchanges Disciplinary Actions

2025
File No. URE-133-04/Star No. 20210693299-08; Wells Fargo Securities, LLC
March 11, 2025
Letter of Consent; EDGX 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-208-07/Star No. 20200667547-06; Wall Street Access
January 16, 2025
Letter of Consent; EDGX Rules 3.2 - Violations Prohibited, 5.1 - Written Procedures, and 11.8(c) - Intermarket Sweep Order; Rule 611 of Regulation NMS - Order Protection Rule, promulgated under the Securities Exchange Act of 1934, as amended
File No. URE-334-04; Dash Financial Technologies LLC
January 3, 2025
Letter of Consent; EDGX Rules 4.2 - Furnishing of Exchange Records and 5.1 - Written Procedures