BANC OF AMERICA INVESTMENT SERVICES INC.

06/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CO7050036 TO: Department of Enforcement NASD RE: Banc of America Investment Services, Inc., Respondent [CRD No. 16361] Pursuant to Rule 9216 of the NASD Code of Procedure, Banc of America Investment Services, Inc., 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.

Reference C07050036data-portal.finra.orgfinra.org

01/26/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062004038601 TO: Department of Enforcement NASD RE: Banc of America Investment Services, Inc., Respondent [CRD No. 16361] Pursuant to Rule 9216 of NASD Code of Procedure, Banc of America Investment Services, Inc. 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

Reference E062004038601data-portal.finra.orgfinra.org

12/01/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102003158301 TO: Department of Enforcement NASD RE: Quick & Reilly, Inc. (BD No. 11217) (''Quick & Reilly") now merged with and into Banc of America Investment Services, Inc. (BD No. 16361) Respondent Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the

Reference E102003158301data-portal.finra.orgfinra.org

06/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014187702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Banc of America Investment Services, Inc. ("BAIS" or the "Firm"), Respondent, FINRA Regulated Firm, CRD No. 16361 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

Reference 2008014187702data-portal.finra.orgfinra.org

08/08/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001870-01 TO: Market Regulation Department NASD RE: Banc of America Investment Services, Inc., Respondent Broker-Dealer CRD No. 16361 Pursuant to Rule 9216 of NASD Code of Procedure, Banc of America Investment Services, Inc. ("NBII" 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 Part II below. This AWC is submitted on the condition that, if

Reference 2005000187001data-portal.finra.orgfinra.org

12/19/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0401010002 TO: Department of Enforcement NASD RE: Banc of America Investment Services, Inc., Respondent BD No. 16361 Pursuant to Rule 9216 of the NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against Respondent

Reference EAF0401010002finra.orgdata-portal.finra.org

03/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181041-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Banc of America Investment Services, Inc., Respondent Broker-Dealer CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Banc of America Investment Services, Inc. (''NBII" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2009018104101data-portal.finra.orgfinra.org