Cboe Options Exchanges Disciplinary Actions

File No. URE-133-01/Star No. 20210693299-06; Wells Fargo Securities, LLC
March 11, 2025
Letter of Consent; Cboe Rules 7.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 8.2 - Adherence to Law and 8.16 - Supervision; 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-232-01/Star No. 20220733129; Sumo Capital, LLC
February 24, 2025
Letter of Consent; Cboe Rule 8.2 - Adherence to Law; Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access, promulgated under the Securities Exchange Act of 1934, as amended.
File No. URE-334-01; Dash Financial Technologies LLC
January 3, 2025
Letter of Consent; Cboe Rules 7.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information and 8.16 - Supervision