ANZ Securities Inc.

07/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20150478183-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ANZ Securities, Inc., Respondent Broker-Dealer CRD No. 36654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ANZ Securities, Inc. ("ANZS" 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 2015047818301data-portal.finra.orgfinra.org

09/18/2025: From July 2016 through June 2023, ANZ inaccurately reported to the Trade Reporting and Compliance Engine (TRACE) approximately 36,500 transactions without the required “No Remuneration” (NR) Indicator and approximately 22,500 of those transactions also without the required Non-Member Affiliate-Principal Transaction (NMA-PT) Indicator, in violation of FINRA Rules 6730(d) and 2010. In addition, between July 2016 through at least June 2023, ANZ’s supervisory system, including its written supervisory procedures (WSPs), was not reasonably designed to achieve compliance with FINRA Rule 6730(d), in violation of FINRA Rules 3110 and 2010. For these violations, ANZ is censured, fined $50,000, and consents to an undertaking to take corrective action.

Reference 2023077446701data-portal.finra.orgfinra.org