CREDIT SUISSE SECURITIES USA LLC

06/23/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060924101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC 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 2018060924101data-portal.finra.orgfinra.org

07/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050024896-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Credit Suisse Securities (USA) LLC (formerly known as Credit Suisse First Boston LLC) (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2005002489601data-portal.finra.orgfinra.org

01/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110261070-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ('"AWC") for the purpose of proposing a settlement of the alleged

Reference 2011026107001data-portal.finra.orgfinra.org

07/31/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358230-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the ''firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2013035823001data-portal.finra.orgfinra.org

09/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2040419843-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2014041984301data-portal.finra.orgfinra.org

06/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150456256-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC ("FBCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2015045625601data-portal.finra.orgfinra.org

04/05/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060780401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018060780401data-portal.finra.orgfinra.org

02/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090169609-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2009016960901data-portal.finra.orgfinra.org

12/22/2025: From August 2012 through September 2020, Credit Suisse failed to establish and maintain a supervisory system and procedures reasonably designed to achieve compliance with federal securities laws and FINRA rules prohibiting various forms of manipulative and insider trading. The firm's supervisory failures caused hundreds of millions of trade, order, and position records to be omitted from the firm's surveillance systems. During this period, the firm did not detect numerous instances of potentially violative trading, such as potential insider trading and potential manipulative activity occurring at or near the close of trading. As a result, the firm violated NASD Rules 3010(a) and (b), and FINRA Rules 3110(a) and (b) and 2010. For these violations, the firm is censured and fined $7,125,000, of which $445,312.50 shall be paid to FINRA.

Reference 2017056726201finra.orgdata-portal.finra.org

sec.govsec.gov

06/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110285793-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA' s Code of Procedure, Credit Suisse Securities (USA) LLC (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011028579301finra.orgdata-portal.finra.org

12/27/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080144512 TO: Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the 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

Reference 2008014451201data-portal.finra.orgfinra.org

05/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012808901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, ("Credit Suisse" or "the Firm") [CRD No. 816] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse 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

Reference 2008012808901data-portal.finra.orgfinra.org

02/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036082001 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) L.L.C., Rcspondent Broker-Dealer CRD No. 816 Pursuant to FINRA Ruie 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) L.L.C. (''FBCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2013036082001finra.orgdata-portal.finra.org

11/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2005000137201 TO: Department of Market Regulation NASD RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to Rule 9216 of NASD Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or "FBCO") (formerly known as Credit Suisse First Boston LLC) 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

Reference 2005000137201data-portal.finra.orgfinra.org

sec.govsec.gov

09/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120339720-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2012033978001finra.orgdata-portal.finra.org

04/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090173810-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009017381001finra.orgdata-portal.finra.org

11/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110298005-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the ''Firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing

Reference 2011029800501data-portal.finra.orgfinra.org

03/12/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040431101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Credit Suisse Securities (USA) LLC (“Respondent,” “CSSU” or the “Firm”), Respondent CRD No. 816 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

Reference 2014040431101data-portal.finra.orgfinra.org

07/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090182823-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2009018282301data-portal.finra.orgfinra.org

06/08/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062945701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC 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 2019062945701data-portal.finra.orgfinra.org

09/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140426316-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2014042631601data-portal.finra.orgfinra.org

09/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060042689-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2006004268901data-portal.finra.orgfinra.org

07/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0401490001 TO: Department of Enforcement NASD RE: Credit Suisse Securities (USA), LLC, Respondent, CRD No. 816 Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent Credit Suisse Securities (USA), LLC (formerly known as Credit Suisse First Boston, LLC) ("Credit Suisse," "Respondent" 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

Reference EAF0401490001data-portal.finra.orgfinra.org

01/19/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059446101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC (Credit Suisse) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018059446101finra.orgdata-portal.finra.org

01/18/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399381-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2014039938101finra.orgdata-portal.finra.org

12/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034734501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Credit Suisse Securities (USA) LLC (“Credit Suisse” 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 2012034734501data-portal.finra.orgfinra.org

03/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140421675-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2014042167501finra.orgdata-portal.finra.org

11/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016627501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Credit Suisse Securities (USA) LLC ("CSSU") 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 2009016627501finra.orgdata-portal.finra.org

08/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013339901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA), LLC, Respondent CRD No. 816. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA), LLC ("Respondent" "Credit Suisse" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2008013339901data-portal.finra.orgfinra.org

11/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100250840-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2010025084001data-portal.finra.orgfinra.org

09/23/2013: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100254481-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the ''firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose ofproposing a settlement of the

Reference 2010025448101finra.orgdata-portal.finra.org

10/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120325027-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2012032502701data-portal.finra.orgfinra.org

04/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090171800-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009017180001finra.orgdata-portal.finra.org

12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2011030683601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") FROM: Credit Suisse Securities (USA), LLC CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Credit Suisse Securities (USA), LLC ("Credit Suisse" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2011030683601data-portal.finra.orgfinra.org

06/10/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048687501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC 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 2016048687501data-portal.finra.orgfinra.org

12/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038726101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent FINRA Member Firm CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC ("CSSU," "the firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013038726101data-portal.finra.orgfinra.org

04/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181455-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2009018145501data-portal.finra.orgfinra.org

01/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316449-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2012031644901data-portal.finra.orgfinra.org

04/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060050678-01 TO; Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2006005067801finra.orgdata-portal.finra.org

01/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070087249-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Suisse Securities (USA) LLC, Respondent Broker-Dealer CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Suisse Securities (USA) LLC (the "firm") submits this Letter

Reference 2007008724901data-portal.finra.orgfinra.org

11/10/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066233401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent or Credit Suisse) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse 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 2020066233401data-portal.finra.orgfinra.org