AXA Advisors LLC

11/19/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008362001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: AXA Advisors, LLC, Respondent (CRD No. 6627) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, AXA Advisors, LLC ("AXA," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent

Reference 2007008362001finra.orgdata-portal.finra.org

03/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2009017466202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: AXA Advisors, LLC, Respondent CRD No. 6627 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, AXA Advisors, LLC ("Respondent," "AXA," or the "Firm") submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2009017466202data-portal.finra.orgfinra.org

05/02/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047560501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: AXA Advisors, LLC, Respondent, CRD No. 6627 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, AXA Advisors, LLC ("AXA," the "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2015047560501data-portal.finra.orgfinra.org

03/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020149901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: AXA Advisors, LLC, Respondent CRD No. 6627 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, AXA Advisors, LLC ("Respondent," "AXA Advisors" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2009020149901data-portal.finra.orgfinra.org

12/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0401030001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: AXA Advisors, LLC, Respondent CRD No. 6627 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, AXA Advisors, LLC ("AXA," "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 below. This AWC is submitted

Reference EAF0401030001data-portal.finra.orgfinra.org

06/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE1050004 RE: AXA Advisors, LLC, Respondent Member Firm (CRD No. 6627) Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent AXA Advisors, LLC ("Respondent" or "AXA") 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 alleging

Reference CE1050004data-portal.finra.orgfinra.org

01/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AMENDED) NO. C10040013 TO: Department of Enforcement NASD RE: AXA Advisors, LLC, Respondent Broker-Dealer BD No. 6627 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent AXA Advisors, LLC ("AXA" 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, and as an amendment to the original AWC accepted by NASD on February 25, 2004 (the

Reference C10040013data-portal.finra.orgfinra.org

02/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034518801 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: AXA Advisors, LLC, Respondent Member Firm CRD No. 6627 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 condition

Reference 2012034518801data-portal.finra.orgfinra.org

10/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045369801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: AXA Advisors, LLC, Respondent CRD No. 6627 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, AXA Advisors, LLC ("AXA" 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 2015045369801finra.orgdata-portal.finra.org

09/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050001784-01 TO: Department of Market Regulation NASD RE: AXA Advisors, LLC, Respondent Broker/Dealer CRD Number 6627 Pursuant to Rule 9216 of NASD Code of Procedure, AXA Advisors, LLC ("AXAA" 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 accepted,

Reference 2005000178401data-portal.finra.orgfinra.org

09/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002269401 TO: Department of Enforcement NASD RE: AXA Advisors, LLC, Respondent Broker-Dealer (BD No. 6627) Pursuant to Rule 9216 of NASD Code of Procedure, AXA Advisors, LLC ("AXA") 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, NSD will not bring any future actions against

Reference 2005002269401data-portal.finra.orgfinra.org