The NASDAQ Options Market Disciplinary Actions

2022

Enforcement No. Title Date
No. 20180580170-05 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20180580170-05,
Global Execution Brokers, LP
9/23/2022
No. 2019061065704 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2019061065704,
Jefferies LLC
8/23/2022
No. 2018060117901 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2018060117901,
Dash Financial Technologies LLC
5/16/2022
No. 2020.08.0234 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2020.08.0234,
IMC Financial Markets
4/18/2022