IFC Holdings Inc.

04/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041838301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: INVEST Financial Corporation, Respondent Member Firm CRD No. 12984 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, INVEST Financial Corporation ("INVEST" 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 2014041838301data-portal.finra.orgfinra.org

09/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400780002 Re: National Planning Corporation Inc., CRD 29604, Respondent Investment Centers of America, Inc., CRD 16443, Respondent SII Investments, Inc., CRD 2225, Respondent IFC Holdings, Inc. d/b/a INVEST Financial Corporation, CRD 12984, Respondent Pursuant to Rule 9216 of NASD's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference EAF0400780002data-portal.finra.orgfinra.org

09/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400780002 Re: National Planning Corporation Inc., CRD 29604, Respondent Investment Centers of America, Inc., CRD 16443, Respondent SII Investments, Inc., CRD 2225, Respondent IFC Holdings, Inc. d/b/a INVEST Financial Corporation, CRD 12984, Respondent Pursuant to Rule 9216 of NASD's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference EAF0400780002data-portal.finra.orgfinra.org

02/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046036301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Invest Financial Corporation CRD No. 12984 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Invest Financial Corporation ("Invest," 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

Reference 2015046036301data-portal.finra.orgfinra.org

07/24/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047177001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: National Planning Corporation, Respondent Member Firm CRD No. 29604 Investment Centers of America, Inc., Respondent Member Firm CRD No. 16443 SII Investments, Inc., Respondent Member Firm CRD No. 2225 IFC Holdings, Inc. (a/k/a) INVEST Financial Corporation, Respondent Member Firm CRD No. 12984 Pursuant to FINRA

Reference 2015047177001finra.orgdata-portal.finra.org

10/16/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0720050201 TO: Department of Enforcement NASD RE: Invest Financial Corporation, Member Firm CRD No. 12984 Pursuant to Rule 9216 of NASD Code of Procedure, Invest Financial Corporation ("IFC") 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

Reference E072005020101data-portal.finra.orgfinra.org