Cboe Futures Exchanges Disciplinary Actions
- File No. USFI-2316/URE-316-09
- December 17, 2024
- Summary Action; CFE Rule 403(b)(xi) - Customer Type Indicator ("CTI")
- File No. URE-209-09; PNT Financial, LLC
- August 2, 2024
- Offer of Settlement, CFE Rule 609 - Supervision; CFE Rule 620(b)(iv) and (v) - Disruptive Trade Practices
- File No. URE-289-09; Citigroup Global Markets Inc.
- June 24, 2024
- Letter of Consent; CFE Rule 410A - Reporting Open Interest Information to the Clearing Corporation; CFE Rule 412B - Ownership and Control Reports and Reportable Positions; CFE Rule 501 - Books and Records
- File No. URE-298-09; RBC Dominion Securities Inc.
- April 18, 2024
- Letter of Consent; CFE Rule 412B(b) - Ownership and Control Reports and Reportable Positions
- File No. URE-288-09; UBS Securities LLC
- April 11, 2024
- Letter of Consent; CFE Rule 620(b) - Disruptive Practices
- File No. USFI-2059; SG Americas Securities, LLC
- February 21, 2024
- Summary Action; CFE Rule 303A(d) - Order Entry Operator ID
- File No. USFI-1951; Lakeshore Securities LP
- January 18, 2024
- Summary Action; CFE Rule 415(h) - Block Trade Report; CFE Rule 414(k) - Exchange of Contract for Related Position Report