The NASDAQ Options Market Disciplinary Actions

2021

Enforcement No. Title Date
No. 2015046278307 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 2015046278307
Citadel Securities LLC
12/27/2021
No. 2020.01.0101 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2020.01.0101,
Citigroup Global Markets, Inc.
11/19/2021
No. 2020.11.0260 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2020.11.0260,
Virtu Americas LLC
9/8/2021
No. 2019.02.0023 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 2019.02.0023,
Dash Financial Technologies LLC
3/23/2021