Citigroup Global Markets Inc.

05/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094327-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent (BD No. 7059) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets, Inc. ("CGMI" 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

Reference 2007009432702data-portal.finra.orgfinra.org

01/29/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014043783101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014043783101data-portal.finra.orgfinra.org

07/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094201 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Citigroup Global Markets, Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Citigroup Global Markets, Inc. (the "Firm" or "Citigroup") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2007009420101data-portal.finra.orgfinra.org

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01/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050032408-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Citigroup Global Markets 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 2005003240801data-portal.finra.orgfinra.org

04/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033978701 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2012033978701data-portal.finra.orgfinra.org

11/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110284041-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement ofthe alleged rule violations described

Reference 2011028404101data-portal.finra.orgfinra.org

12/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140411445-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a sett!ement of the alleged rule violations

Reference 2014041144501data-portal.finra.orgfinra.org

08/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090201886-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (thc ''fiim") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2009020188601data-portal.finra.orgfinra.org

12/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130367501-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013036750101data-portal.finra.orgfinra.org

09/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060054506-01 TO: Department of Enforcement Financial Industry Regulatory Authority RE: Citigroup Global Markets Inc. CRD 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("CGMI") submits this Letter of Acceptance, Waiver and Consent for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,

Reference 2006005450601data-portal.finra.orgfinra.org

04/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080149558-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent Broker-Dealer No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets, Inc. ("CGMI" 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 2008014955801data-portal.finra.orgfinra.org

09/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120333235-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2012033323501data-portal.finra.orgfinra.org

08/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013231502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets, Inc. ("Respondent," "CGMI" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2008013231502data-portal.finra.orgfinra.org

08/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080147185-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2008014718501finra.orgdata-portal.finra.org

04/05/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE3050006 TO: Enforcement Department NASD FROM: Citigroup Global Markets, Inc., BD No. 7059 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Citigroup Global Markets, Inc. ("CGMI" or "Respondent") submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference CE3050006finra.orgdata-portal.finra.org

12/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023574901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Member CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets Inc. ("CGMI" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010023574901data-portal.finra.orgfinra.org

05/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050035 TO: Department of Enforcement NASD RE: Citigroup Global Markets Inc., Respondent [BD No. 7059] Pursuant to Rule 9216 of the NASD Code of Procedure, Citigroup Global Markets Inc. ("Citigroup") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

Reference C10050035finra.orgdata-portal.finra.org

08/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080126066-02 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets 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

Reference 2008012606602data-portal.finra.orgfinra.org

06/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130354629-06 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("CGMI", the "Firm" or "Respondent") submits this Letter of Acccptancc, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013035462906data-portal.finra.orgfinra.org

12/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060039001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets Inc. ("CGMI" 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 2018060039001data-portal.finra.orgfinra.org

11/17/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063024201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Finn CRDNo. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019063024201data-portal.finra.orgfinra.org

01/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080123101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent FINRA Member CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 condition

Reference 2008012310101data-portal.finra.orgfinra.org

07/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002206101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent CRD No. 7059 Pursuant to Rule 9216 of the FINRA Code of Procedure, Citigroup Global Markets, Inc. ("Citigroup,'' "Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2005002206101data-portal.finra.orgfinra.org

06/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130377834-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013037783401data-portal.finra.orgfinra.org

06/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc. (BD No. 7059)Respondent Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (BD No. 7059) ("Respondent" or "CGMI") 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 E102005008801data-portal.finra.orgfinra.org

01/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015701201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc. (BD No. 7059) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets, Inc. ("Citigroup," "Respondent," or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2008015701201data-portal.finra.orgfinra.org

03/24/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE2050005 TO: Department of Enforcement NASD RE: Citigroup Global Markets, Inc., Respondent Member Firm (BD No. 7059) Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Citigroup Global Markets, Inc. ("CGMI") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

Reference CE2050005data-portal.finra.orgfinra.org

08/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100237060-01 TO: Department of Market Regulation Financial lndustry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets 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 2010023706001data-portal.finra.orgfinra.org

08/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2003026305 TO: Department of Enforcement NASD RE: Citigroup Global Markets Inc. BD No. 7059 Pursuant to Rule 9216 of NASD's Code of Procedure, Citigroup Global Markets Inc. ("CGMI") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against CGMI

Reference E9B2003026305finra.orgdata-portal.finra.org

06/06/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000760101 TO: Department of Enforcement NASD RE: Citigroup Global Markets Inc. (BD No. 7059) Jeffrey Sweitzer (CRD # 873672) Matthew Mutter (CRD # 2743664) Joseph Zentner (CRD # 2797807) Randall Matz (CRD # 1234476) Elizabeth Harris (CRD # 1014370) Pursuant to Rule 9216 of NASD Code of Procedure, Citigroup Global Markets Inc. ("CGMI"), Jeffrey Sweitzer ("Sweitzer"), Matthew Muller ("Muller"), Joseph Zentner ("Zentner"), Randall Matz ("Matz") and

Reference 2005000760101data-portal.finra.orgfinra.org

12/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022049802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("Citigroup" 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

Reference 2010022049802finra.orgdata-portal.finra.org

11/10/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055673701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Citigroup Global Markets Inc. (CGMI) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017055673701data-portal.finra.orgfinra.org

09/17/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012233601 TO : Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc. - CRD No. 7059 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Citigroup Global Markets, Inc. ("Citigroup" or the "Firm") submits this Letter

Reference 2008012233601data-portal.finra.orgfinra.org

09/07/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049977601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Citigroup Global Markets Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Citigroup Global Markets Inc. ("CGMI" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2016049977601data-portal.finra.orgfinra.org

12/17/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057389701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018057389701finra.orgdata-portal.finra.org

12/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026502901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent (CRD No. 7059) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("Citigroup" 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

Reference 2011026502901data-portal.finra.orgfinra.org

05/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130359819-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc., ("CGMI", the "Firm", or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2013035981901finra.orgdata-portal.finra.org

12/31/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080783201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2023080783201finra.orgdata-portal.finra.org

08/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030674103 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent Member Firm CRD No. 7059. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets, Inc. ("CGMI" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011030674103data-portal.finra.orgfinra.org

01/14/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045325201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets Inc. ("Citigroup" 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 2015045325201data-portal.finra.orgfinra.org

09/11/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062946601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019062946601data-portal.finra.orgfinra.org

10/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034022101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent ("CGMI" or the "Firm") BD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2012034022101data-portal.finra.orgfinra.org

12/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100218231 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent 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 condition that, if

Reference 2010021823101data-portal.finra.orgfinra.org

08/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090187389-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc, ("SBSH" or the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2009018738901data-portal.finra.orgfinra.org

02/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050018527-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Citigroup Global Markets 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 2005001852701data-portal.finra.orgfinra.org

06/20/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050947701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Citigroup Global Markets Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Citigroup Global Markets Inc. (“CGMI” 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

Reference 2016050947701data-portal.finra.orgfinra.org

07/08/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043477301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2014043477301finra.orgdata-portal.finra.org

12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2011030683801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") FROM: Citigroup Global Markets Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets Inc. ("CGMI" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2011030683801data-portal.finra.orgfinra.org

10/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110274696-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011027469601data-portal.finra.orgfinra.org

02/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140411425-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2014041142501data-portal.finra.orgfinra.org

09/26/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066141101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020066141101data-portal.finra.orgfinra.org

09/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20150459717-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets 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 2015045971701data-portal.finra.orgfinra.org

12/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110255782-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Member Firm BD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Respondent Citigroup Global Markets Inc. ("CGMI" of the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011025578201data-portal.finra.orgfinra.org

05/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090191134 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc. ("CGMI," "Respondent" or "the Firm"), CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CGMI 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 2009019113401data-portal.finra.orgfinra.org

07/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110292896-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer' CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter ofAcceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement ofthe alleged rule violations describe

Reference 2011029289601data-portal.finra.orgfinra.org

06/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019551901 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Citigroup Global Markets Inc., Respondent CRD No, 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("Citigroup" or the "Respondent") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2009019551901data-portal.finra.orgfinra.org

04/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OFACCEPTANCE, WAIVER AND CONSENT NO. 20130380612-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''MNRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets lnc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013038061201data-portal.finra.orgfinra.org

03/19/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046601401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("Respondent" 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

Reference 2015046601401data-portal.finra.orgfinra.org

04/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20120316429-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets lnc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2012031642901data-portal.finra.orgfinra.org

07/29/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054329501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc. CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("CGMI," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2017054329501finra.orgdata-portal.finra.org

06/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064316401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (CGMI) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019064316401finra.orgdata-portal.finra.org

08/23/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20041000119-01 TO: Department of Market Regulation NASD RE: Citigroup Global Markets, Inc., Respondent CRD No. 7059 Pursuant to Rule 9216 of NASD Code of Procedure, Citigroup Global Markets, 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 in Part II below. This AWC is submitted on the

Reference 2004100011901data-portal.finra.orgfinra.org

05/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20070104513-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets 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 2007010451301data-portal.finra.orgfinra.org

12/02/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067388401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. (Citigroup) 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 2020067388401data-portal.finra.orgfinra.org

11/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018038501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 2009018038501data-portal.finra.orgfinra.org

03/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130372822-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets lnc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013037282201data-portal.finra.orgfinra.org

01/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000091 TO: Market Regulation Department NASD RE: Citigroup Global Markets, Inc., Respondent CRD No. 7059 Pursuant to Rule 9216 of the NASD Code of Procedure, Citigroup Global Markets, Inc. ("SBSH" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

Reference 2004200009101data-portal.finra.orgfinra.org

10/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100235658-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets, 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

Reference 2010023565801data-portal.finra.orgfinra.org

05/21/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039653701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets, Inc., Inc. ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2014039653701data-portal.finra.orgfinra.org

12/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048931101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Citigroup Global Markets Inc. CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Citigroup Global Markets Inc. (“CGMI” 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 2016048931101data-portal.finra.orgfinra.org

11/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358235-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets 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

Reference 2013035823501data-portal.finra.orgfinra.org

03/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100227065-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. (the "firm" or "SBSH") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010022706501data-portal.finra.orgfinra.org

11/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036054901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citigroup Global Markets Inc. ("CGMI" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations describe

Reference 2013036054901data-portal.finra.orgfinra.org

05/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012808101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc., ("CGMI" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2008012808101data-portal.finra.orgfinra.org

10/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060048215-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets 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 2006004821501data-portal.finra.orgfinra.org

12/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032923301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets, Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets, Inc. ("Citigroup," "Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012032923301data-portal.finra.orgfinra.org

07/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2005000792101 TO: Department of Enforcement NASD RE: Citigroup Global Markets Inc., Respondent CRD No. 7059 Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent Citigroup Global Markets Inc. ("Citigroup," "Respondent* 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 in Part II below. Citigroup submits this AWC to NASD on the condition that

Reference 2005000792101data-portal.finra.orgfinra.org

10/07/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070664101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets Inc. 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021070664101finra.orgdata-portal.finra.org

01/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050004 TO: Department of Market Regulation NASD RE: Citigroup Global Markets Inc., Respondent Broker-Dealer CRD No. 7059 Pursuant to Rule 9216 of NASD Code of Procedure, Citigroup Global Markets Inc. ("SBSH") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference CLG050004data-portal.finra.orgfinra.org

06/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20041000048-01 TO: Market Regulation Department NASD RE: Citigroup Global Markets, Inc., Respondent CRD No. 7059 Pursuant to Rule 9216 of the NASD Code of Procedure, Citigroup Global Markets, 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 in Part II below.

Reference 2004100004801data-portal.finra.orgfinra.org

12/15/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057494001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citigroup Global Markets Inc. (Respondent) Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216, Respondent Citigroup Global Markets 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 submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2018057494001data-portal.finra.orgfinra.org