National Bank of Canada Financial Inc.

01/05/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035269201 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: National Bank of Canada Financial Inc., Respondent Broker-Dealer BD No. 22698 Pursuant to FINRA Rule 9216 of F1NRA's Code of Procedure, Respondent National Bank of Canada Financial inc. ("NBCFI" or the "Firm") submits this Letter of

Reference 2013035269201data-portal.finra.orgfinra.org

08/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090189473-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: National Bank of Canada Financial Inc., Respondent Broker-Dealer CRD No. 22698 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, National Bank of Canada Financial Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2009018947301data-portal.finra.orgfinra.org

09/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050017007-01 TO: Departmerrt of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: National Bank of Canada Financial Inc. (f/k/a Putnam Lovell NBF Securities Inc.), Respondent Broker-Dealer CRD No. 22698 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, National Bank of Canada Finance

Reference 2005001700701finra.orgdata-portal.finra.org

05/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110279990 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: National Bank of Canada Financial, Inc., Respondent CRD No. 22698 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

Reference 2011027999001finra.orgdata-portal.finra.org

01/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20130355188-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: National Bank of Canada Financial Inc., Respondent Broker-Dealer CRD No. 22698 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, National Bank of Canada Financial Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2013035518801finra.orgdata-portal.finra.org

10/07/2025: From July 2016 through June 2024, National Bank of Canada Financial inaccurately reported to the Trade Reporting and Compliance Engine (TRACE) approximately 108,000 transactions without the required "No Remuneration" (NR) indicator, in violation of FINRA Rules 6730( d) and 2010. For this violation, National Bank of Canada Financial is censured and fined $70,000.

Reference 2023077507401data-portal.finra.orgfinra.org