ISE Disciplinary Actions

2017

Enforcement No. Title Date
No. 20150455863-02 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20150455863-02
Nomura Securities International, Inc.
12/21/2017
No. 20140418707-01 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140418707-01
BMO Capital Markets Corp.
10/11/2017
No. 20120313180-03 Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20120313180-03,
Goldman, Sachs & Co. LLC
07/17/2017