BGC Financial L.P.

12/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140393963-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent BD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BGC Financial, L.P. ("BGC" 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 2014039396301data-portal.finra.orgfinra.org

07/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140400275-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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 2014040027501data-portal.finra.orgfinra.org

04/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110283528-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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

Reference 2011028352801data-portal.finra.orgfinra.org

01/20/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068558701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BGC Financial, L.P. (Respondent) Member Firm CRD No. 19801 Pursuant to FINRA Rule 9216, Respondent BGC Financial, L.P. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2020068558701data-portal.finra.orgfinra.org

04/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020627602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Member Firm CRD No. 19801 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 that, if

Reference 2009020627602finra.orgdata-portal.finra.org

10/19/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015044336601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BGC Financial, L.P. (Respondent) Member Firm CRD No. 19801 Pursuant to FINRA Rule 9216, Respondent BGC Financial, L.P. 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 accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2015044336601data-portal.finra.orgfinra.org

08/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060046649-01 TO; Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to Rule 9216 of the FINRA Code of Procedure, BGC Financial, L.P. (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 2006004664901data-portal.finra.orgfinra.org

06/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060678201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BGC Financial, L.P. (Respondent) Member Firm CRD No. 19801 Pursuant to FINRA Rule 9216, Respondent BGC Financial, L.P. 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 accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2018060678201finra.orgdata-portal.finra.org

04/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150453918-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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

Reference 2015045391801data-portal.finra.orgfinra.org

04/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150477614-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA")RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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

Reference 2015047761401data-portal.finra.orgfinra.org

11/12/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051256201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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 2016051256201data-portal.finra.orgfinra.org

08/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055128201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BGC Financial, L.P., Respondent Member Firm CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BGC Financial, L.P. (“BGC Financial” 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 2017055128201finra.orgdata-portal.finra.org

11/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120336580-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2012033658001finra.orgdata-portal.finra.org

11/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150443297-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2015044329701data-portal.finra.orgfinra.org

01/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20130378519-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CR.D No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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

Reference 2013037851901finra.orgdata-portal.finra.org

04/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20130367883-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013036788301finra.orgdata-portal.finra.org

08/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100216453-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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 on

Reference 2010021645301data-portal.finra.orgfinra.org

09/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080141747-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, LP. (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 2008014174701finra.orgdata-portal.finra.org

08/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080143763-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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

Reference 2008014376301data-portal.finra.orgfinra.org

12/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150464733-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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

Reference 2015046473301finra.orgdata-portal.finra.org

10/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150440081-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BGC Financial, L.P., Respondent Broker-Dealer CRD No. 19801 Pursuant to FTNRA Rule 9216 of FINRA's Code of Procedure, BGC Financial, L.P. (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

Reference 2015044008101data-portal.finra.orgfinra.org