Barclays Capital Inc.

06/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036917401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. ("Barclays" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013036917401finra.orgdata-portal.finra.org

04/20/2026: Between December 1, 2020 and May 23, 2022, Barclays effected 25,711 short sale orders without locating securities available to borrow, in violation of Rule 203(b)(1) of Regulation SHO of the Securities Exchange Act of 1934 and FINRA Rule 2010. Between December 2020 and September 2023, Barclays violated FINRA Rules 3110(a) and 2010 by failing to establish and maintain a supervisory system reasonably designed to achieve compliance with the locate requirements of Rule 203(b)(1) of Regulation SHO. For these violations, Barclays is censured and fined $140,000.

Reference 2022075734201data-portal.finra.orgfinra.org

10/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140425693-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital 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 2014042569301data-portal.finra.orgfinra.org

11/01/2013: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100234353-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No, 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital 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

Reference 2010023435301data-portal.finra.orgfinra.org

06/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130356147-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc. Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. (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 described

Reference 2013035614701data-portal.finra.orgfinra.org

12/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110255869-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Member Firm BD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Barclays Capital Inc. ("Barclays" 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 2011025586901data-portal.finra.orgfinra.org

01/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100231642-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital 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 2010023164201finra.orgdata-portal.finra.org

10/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043787402 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc. ("BCAP" or the "Firm"). Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Barclays Capital Inc. (the "Firm" or “Respondent") submits this Letter of

Reference 2014043787402finra.orgdata-portal.finra.org

01/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110305054-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital 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 2011030505401finra.orgdata-portal.finra.org

12/22/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012808801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc., ("BCI" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2008012808801data-portal.finra.orgfinra.org

05/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130364720-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. ("BCAP" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013036472001data-portal.finra.orgfinra.org

12/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044544001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital, Inc., Respondent Member Firm (BD No. 19714) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital, Inc. ("Barclays" 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 2015044544001data-portal.finra.orgfinra.org

12/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090169994-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. ("Barclays" 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 2009016999401data-portal.finra.orgfinra.org

10/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150469894-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc. ("BCAP" or the "Firm"), Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Barclays Capital Inc. (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for

Reference 2015046989401data-portal.finra.orgfinra.org

12/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062945201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2019062945201data-portal.finra.orgfinra.org

10/14/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037879401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. ("Barclays" 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 2013037879401data-portal.finra.orgfinra.org

11/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150465038-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. (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 described below.

Reference 2015046503801data-portal.finra.orgfinra.org

10/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060040565-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. ("BCAP" or the "firm") submits this Letter Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2006004056501data-portal.finra.orgfinra.org

08/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316451-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. (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 2012031645101data-portal.finra.orgfinra.org

06/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215573-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital 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

Reference 2010021557301data-portal.finra.orgfinra.org

11/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017479101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc. CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. ("Barclays", 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 2009017479101finra.orgdata-portal.finra.org

05/29/2025: From at least January 2011 to April 2025, Barclays failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to monitor for layering and spoofing of U.S. equity and index options (options) in violation of NASD Rule 3010, and FINRA Rules 3110 and 2010. From July 2011 to April 2025, Barclays failed to establish, document, and maintain reasonably designed post-trade regulatory risk management controls regarding layering and spoofing of options in violation of Section 15(c)(3) of the Securities Exchange Act of 1934 (the Exchange Act) and Rule 15c3-5 and FINRA Rule 2010. From December 2019 to November 2021, Barclays failed to establish and maintain a supervisory system reasonably designed to monitor for layering and spoofing of equities as relating to activity on certain exchanges in violation of FINRA Rules 3110 and 2010.

Reference 2021072379301data-portal.finra.orgfinra.org

10/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120335859-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital 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 2012033585901finra.orgdata-portal.finra.org

07/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120337256- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital 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 2012033725601data-portal.finra.orgfinra.org

06/29/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015044227201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2015044227201data-portal.finra.orgfinra.org

01/25/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041656301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital, lnc., Respondent CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital, Inc. ("Barclays" 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 2014041656301data-portal.finra.orgfinra.org

10/04/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041808601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2014041808601data-portal.finra.orgfinra.org

07/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120338303-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2012033830301data-portal.finra.orgfinra.org

10/21/2025: In July 2021, Barclays served as an underwriter for an initial public offering in which it had a conflict of interest, but a qualified independent underwriter (QlU) did not participate in the preparation of the registration statement and prospectus and exercise the usual standards of due diligence. As a result, the firm violated FINRA Rules 5121 and 2010.

Reference 2022073415002data-portal.finra.orgfinra.org

12/31/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065101601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. (Barclays) 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 2020065101601data-portal.finra.orgfinra.org

04/12/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062059301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2019062059301data-portal.finra.orgfinra.org

01/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100235672-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Barclays Capital, Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital, Inc. ("BCAP" 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 2010023567201finra.orgdata-portal.finra.org

06/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHROITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090198473-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. ("BCAP" 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 2009019847301data-portal.finra.orgfinra.org

01/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110288101-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital 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

Reference 2011028810101data-portal.finra.orgfinra.org

05/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 201130354024-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. (the "firm'' or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged nile violations

Reference 2013035402401data-portal.finra.orgfinra.org

12/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054054501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2017054054501data-portal.finra.orgfinra.org

04/18/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061076001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2019061076001finra.orgdata-portal.finra.org

02/24/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063248401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2019063248401data-portal.finra.orgfinra.org

12/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026679201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Member Firm CRD No. 19714 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 that, if

Reference 2011026679201data-portal.finra.orgfinra.org

12/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20120351434-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. ("the firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2012035143401finra.orgdata-portal.finra.org

12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2013037819801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") FROM: Barclays Capital Inc. CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Barclays Capital lnc. ("Barclays" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013037819801data-portal.finra.orgfinra.org

11/21/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061298301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2019061298301finra.orgdata-portal.finra.org

11/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014042781801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital, Inc. Respondent Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Barclays Capital, Inc. ("Barclays" or the "Firm") submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing

Reference 2014042781801data-portal.finra.orgfinra.org

09/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130376519-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital lnc. ("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 2013037651901data-portal.finra.orgfinra.org

05/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20130387811-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013038781101data-portal.finra.orgfinra.org

08/25/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044133101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc., Respondent Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Barclays Capital Inc. (Barclays 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 2015044133101data-portal.finra.orgfinra.org

09/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358566-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital, Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital, Inc. ("the firm" or “Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2013035856601data-portal.finra.orgfinra.org

11/16/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060030767-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclay's Capital Inc. Respondent Broker-Dealer CRD No, 19714 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

Reference 2005003076702data-portal.finra.orgfinra.org

08/22/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077331101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital 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 2022077331101finra.orgdata-portal.finra.org

12/02/2025: From July 2021 through June 2022, Barclays Capital Inc. failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to supervise employee outside brokerage accounts. As a result, the firm failed to timely collect and review employee outside brokerage account statements for prohibited trading activity in violation of FINRA Rules 3110 and 2010. For this conduct, Barclays is censured and fined $325,000.

Reference 2023078671001data-portal.finra.orgfinra.org

08/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140417499-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barclays Capital Inc., Respondent Broker-Dealer CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Barclays Capital lnc. (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 2014041749901finra.orgdata-portal.finra.org