Santander Investment Securities Inc.

12/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016628401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Santander Investment Securities, Inc. (the "Firm"), Respondent CRD. No. 37216 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

Reference 2009016628401finra.orgdata-portal.finra.org

09/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063972801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Santander Investment Securities Inc. (Respondent) Member Firm CRD No. 37216 Pursuant to FINRA Rule 9216, Respondent Santander Investment Securities Inc. (SIS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019063972801data-portal.finra.orgfinra.org

09/29/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065142001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Santander US Capital Markets LLC, formerly known as Santander Investment Securities Inc. (Respondent) Member Firm CRD No. 150696 Pursuant to FINRA Rule 9216, Respondent Santander US Capital Markets LLC, formerly known as Santander Investment Securities 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 2020065142001data-portal.finra.orgfinra.org

11/24/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061735701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Santander Investment Securities Inc. (Respondent) Member Firm CRD No. 37216 Pursuant to FINRA Rule 9216, Respondent Santander Investment Securities 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 2019061735701data-portal.finra.orgfinra.org

05/21/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041254102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Santander Investment Securities Inc., Respondent Member Firm CRD No. 37216 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Santander Investment Securities Inc. ("Santander" 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 2014041254102data-portal.finra.orgfinra.org

03/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100235451 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Santander Investment Securities, Inc. ("SIS" or the "Firm"), Respondent CRD No. 3721 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Santander Investment Securities, 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 2010023545101data-portal.finra.orgfinra.org