RBS SECURITIES INC

05/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080155278-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBS Securities Inc., Respondent Broker-Dealer CRD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBS Securities Inc. (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2008015527801data-portal.finra.orgfinra.org

01/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030528601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBS Securities Inc., Respondent Member Firm BD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent RBS Securities, Inc. ("RBSSI" or ''the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012030528601data-portal.finra.orgfinra.org

12/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140431241-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBS Securities Inc., Respondent Broker-Dealer CRD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBS Securities Inc. (the "firm'' or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014043124101data-portal.finra.orgfinra.org

11/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150477592-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBS Securities Inc., Respondent Broker-Dealer CRD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBS Securities Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2015047759201data-portal.finra.orgfinra.org

12/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20100254708-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBS Securities Inc., Respondent Broker-Dealer CRD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBS Securities Inc. ("CAPM" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2010025470801data-portal.finra.orgfinra.org

05/16/2014: FINANCIAL INDUSTRY REGUIATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110299758 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBS Securities Inc., Respondent CRD No. 11707 Pursuant to Rule 9216 of FINRA's Code of Procedure, RBS Securities Inc. ("RBS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2011029975801data-portal.finra.orgfinra.org

03/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120347297-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBS Securities, Inc., Respondent Broker-Dealer CRD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBS Securities, Inc. (the''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2012034729701data-portal.finra.orgfinra.org

12/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048685301 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: RBS Securities, Inc., Respondent CRD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBS Securities, Inc. (''RBS," the "Firm" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016048685301data-portal.finra.orgfinra.org

07/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140400260-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBS Securities lnc., Respondent Broker-Dealer CRD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBS Securities Inc. (the "firm" or "Respondent") submits this Letter of Acccptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014040026001data-portal.finra.orgfinra.org

01/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027246701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBS Securities, Inc., Respondent CRD No. 11707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBS Securities, Inc. ("RBS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Reference 2011027246701data-portal.finra.orgfinra.org

Cease and Desist Order

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