KGS-Alpha Capital Markets L.P.

01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070090604-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BMO Capital Markets Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent

Reference 2007009060401data-portal.finra.orgfinra.org

12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006756601 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 16686 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, BMO Capital Markets Corp. (the "firm") submits this Letter of

Reference 2006006756601data-portal.finra.orgfinra.org

05/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080135542-02 TO: Department of Market Regulation Financial Industry Regdatory Authority ("FINRA'") RE: BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BMO Capital Markets Corp. (the ''firm'') submits this Letter of Acceptance, Waiver and Consent

Reference 2008013554202data-portal.finra.orgfinra.org

12/13/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160509737-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: KGS-Alpha Capital Markets, L.P., Respondent Broker-Dealer CRD No. 151705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, KGS-Alpha Capital Markets, L.P. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

Reference 2016050973701finra.orgdata-portal.finra.org

11/26/2025: From January 2021 through June 2025, BMO CMC failed to timely report approximately 2,400 securities transactions and inaccurately reported approximately 323,000 securities transactions to FINRA's Trade Reporting and Compliance Engine (TRACE), violating FINRA Rules 6730 and 2010. During that period, BMO CMC failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs ), that was reasonably designed to achieve compliance with TRACE reporting obligations, violating FINRA Rules 3110 and 2010. For these violations, BMO CMC is censured and fined $300,000...

Reference 2022077148301data-portal.finra.orgfinra.org

10/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140414661-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BMO Capital Markets Corp. (the "firm'' or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2014041466101finra.orgdata-portal.finra.org

09/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080137854-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BMO Capital Markets Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2008013785401data-portal.finra.orgfinra.org

12/06/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051813401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: KGS-Alpha Capital Markets, L.P., n/k/a BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 151705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent KGS-Alpha Capital Markets, L.P. ("KGS-Alpha" or the "Firm"), n/k/a BMO Capital Markets Corp. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016051813401data-portal.finra.orgfinra.org

07/22/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055668501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BMO Capital Markets Corp., Respondent Member Firm CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BMO Capital Markets Corp. (“BMO"’ 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 2017055668501data-portal.finra.orgfinra.org

sec.govsec.gov

06/15/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20050016413-02 TO: Department of Market Regulation NASD RE: BMO Capital Markets Corp., Respondent Broker-Dealer CRD No. 16686 Pursuant to Rule 9216 of NASD Code of Procedure, BMO Capital Markets Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2005001641302data-portal.finra.orgfinra.org