The NASDAQ Options Market Disciplinary Actions

2019

Enforcement No. Title Date
No. 2012034704505 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2012034704505,
Credit Suisse Securities (USA) LLC
12/23/2019
No. 2016048771302 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2016048771302,
RBC Capital Markets, LLC
12/02/2019