The NASDAQ Options Market Disciplinary Actions

2018

Enforcement No. Title Date
No. 20140411279-07 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140411279-07,
Merrill Lynch, Pierce, Fenner & Smith Inc.
9/26/2018
No. 20160493435-01 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20160493435-01,
RBC Capital Markets, LLC
5/9/2018
No. 20140414439-07 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140414439-07,
Wolverine Trading, LLC
5/2/2018
No. 20130368360-04 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20130368360-04,
Instinet, LLC
4/11/2018