The NASDAQ Options Market Disciplinary Actions

2016

Enforcement No. Title Date
No. 20140418701-05 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20140418701-05,
Citi Order Routing and Execution, LLC
12/21/2016
No. 20130362578-04 Notice of Acceptance of Letter of Acceptance, Wavier and Consent No. 20130362578-04,
Lime Brokerage LLC
12/20/2016