Cboe Options Exchanges Disciplinary Actions

File No. URE-96-02/Star No. 20200674856-05; BofA Securities, Inc.
April 30, 2024
Letter of Consent; C2 Rules 15.1 and 17.1 incorporated by reference by and through C2 Chapter 8 - Adherence to Law, C2 Rules 4.24 and Cboe Rule 8.16 incorporated by reference by and through C2 Chapter 5, and C2 Rule 8.16 - Supervision; Section- Maintenance, Retention and Furnishing of Books, Records and Other Information, Cboe Rules 4.2 and 8.2 - Adherence to Law, and Cboe Rules 4.24 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, thereunder