BANC ONE SECURITIES CORPORATION

11/01/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006064101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Banc One Securities Corporation, Respondent CRD No. 16999 Pursuant to Rule 9216 of FINRA 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 that, if

Reference 2006006064101data-portal.finra.orgfinra.org

01/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CAF 040116 TO: Department of Enforcement NASD RE: Banc One Securities Corporation, Respondent CRD No. 16999 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Banc One Securities Corporation ("BOSC" or the "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

Reference CAF040116data-portal.finra.orgfinra.org

10/31/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2005001601 TO: Department of Enforcement NASD Re: Banc One Securities Corporation ("Banc One") (CRD No. 16999) Pursuant to Rule 9216 of NASD Code of Procedure, Banc One Securities Corporation ("Respondent" or "Banc One") 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

Reference E8A2005001601data-portal.finra.orgfinra.org