BNP PARIBAS SECURITIES CORP

08/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140401118-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FlNRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

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12/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130367318-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

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03/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399404-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. ('the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

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10/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140430988-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the ''firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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12/13/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050017971-01 TO: Department of Market Regulation Financial Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker/Dealer CRD No. 15794 Pursuant to NASD Rote 9216 of FINRA Code of Procedure, BNP Paribas Securities Corp. ("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

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04/07/2014: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORIY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120338731-O1 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

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02/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150466955-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the ''firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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04/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130357162-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

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10/24/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063673101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BNP Paribas Securities Corp. (Respondent) Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216, Respondent BNP Paribas Securities Corp. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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08/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000071-01 TO: Department of Market Regulation NASD RE: BNF Paribas Securities Corp., Respondent CRD No. 15794 Pursuant to Rule 9216 of NASD Code of Procedure, BNP Paribas Securities Corp. (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

Reference 2005000007101finra.orgdata-portal.finra.org

07/11/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039188301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. ("BNP Paribas" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

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02/05/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044231302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BNP Paribas Securities Corp., (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.

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12/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 201630364608-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm'' or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013036460801data-portal.finra.orgfinra.org

01/12/2026: From October 2019 to April 2024, BNPS failed to report 842 over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system in 167,520 instances in violation of FINRA Rules 2360(b)(5) and 2010. In addition, from October 2019 to April 2025, BNPS failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 2360 in violation of FINRA Rules 3110 and 2010. For these violations, the firm agrees to a censure and a fine of $125,000...

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03/15/2013: FINANCIAL INDUSTRY REGULATORY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110261578-01 TO: Department of Market Regulation Financial Industry-Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (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

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11/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120343894-01 TO: Department of Market Regulation Financial lndustry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CKD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

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Civil Money Penalty, $246,375,000 and cease and desist order

Programme US-FED-ENFfederalreserve.govfederalreserve.gov

04/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100238925-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2010023892501finra.orgdata-portal.finra.org

08/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215892-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (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 2010021589201data-portal.finra.orgfinra.org

04/27/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060066657-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp.(the "firm") submits this Letter of Acceptance

Reference 2006006665701data-portal.finra.orgfinra.org

03/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358482-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2013035848201data-portal.finra.orgfinra.org

06/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080146724-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm") submits this letter of Acceptance, Waiver and Consent ("AWC")

Reference 2008014672401data-portal.finra.orgfinra.org

10/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150463347-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (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 2015046334701finra.orgdata-portal.finra.org

07/27/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049876001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. ("BNP" 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.

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10/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120313203-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp. Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

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07/30/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037641201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BNP Paribas Securities Corp., Respondent Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BNP Paribas Securities Corp. ("BNP Paribas" 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.

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07/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442562-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "Firm" or "PARI") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015044256201data-portal.finra.orgfinra.org

01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER QF ACCEPTANCE WAIVER AND CONSENT NO. 20070087335-01 TO: Department of Market Regulation Financial hdustry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm") submits, this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

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08/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080135451-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2008013545101data-portal.finra.orgfinra.org

12/08/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013504201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Member Firm CRD No. 15794 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

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04/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316572-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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10/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051105201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Member Firm BD No. 15794 BNP Paribas Prime Brokerage, Inc., Respondent Member Firm BD No. 24962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents BNP Paribas Securities Corp, and BNP Paribas Prime Brokerage, Inc. submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

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03/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007861301 RE: BNP Paribas Securities Corp., Respondent Broker-Dealer CRD No. 15794 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, BNP Paribas Securities Corp. the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2007007861301data-portal.finra.orgfinra.org