E*TRADE CAPITAL MARKETS LLC

11/03/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050017333-01 TO: Department of Market Regulation NASD RE: E*Trade Capital Markets, LLC ("ETRD" 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 future actions against ETRD alleging violations based on the same factual

Reference 2005001733301data-portal.finra.orgfinra.org

12/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080132014-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Capital Markets, LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Capital Markets, LLC ("E*Trade" 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 2008013201401data-portal.finra.orgfinra.org

01/27/2025: Between January 2020 and February 2021, G1X failed to timely report a total of 1,618,525 transactions in National Market System (NMS) securities to the Nasdaq Trade Reporting Facility and the NYSE Trade Reporting Facility, in violation of FINRA Rules 6380A(a), 6380B(a), and 2010. Between December 2020 and February 2021, G1X also failed to timely report 125,446 transactions in over-the-counter (OTC) securities to the Over-the-Counter Trade Reporting Facility, in violation of FINRA Rules 6622(a) and 2010.

Reference 2020066609201data-portal.finra.orgfinra.org

01/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120339778-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: G1 Execution Services, LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, G1 Execution Services, LLC ("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 2012033977801finra.orgdata-portal.finra.org

02/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080136367-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Capital Markets LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2008013636701data-portal.finra.orgfinra.org

05/14/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050026784-01 TO: Market Regulation Department NASD RE: E*Trade Capital Markets, LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to Rule 9216 of NASD Code of Procedure, E*Trade Capital Markets, LLC (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

Reference 2005002678401data-portal.finra.orgfinra.org

10/02/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080131568-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Capital Markets LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, E*Trade Capital Markets LLC (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 2008013156801data-portal.finra.orgfinra.org

06/09/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041944901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: G1 Execution Services, LLC (Respondent) Member Firm CRD No. 111528 Pursuant to FINRA Rule 9216, Respondent G1 Execution Services, LLC (“G1” 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 2014041944901finra.orgdata-portal.finra.org

02/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080131593-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Capital Markets LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Capital Markets LLC ("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 2008013159301data-portal.finra.orgfinra.org

02/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100228675-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: G1 Execution Services, LLC f/k/a E*Trade Capital Markets LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, G1 Execution Services, LLC f/k/a E*Trade Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2010022867501finra.orgdata-portal.finra.org

06/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050031831-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Capital Markets LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, E*Trade Capital Markets LLC (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 2005003183101data-portal.finra.orgfinra.org

12/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Capital Markets LLC, Respondent Broker-Dealer CRD No. 111528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2007008351901data-portal.finra.orgfinra.org