BNY MELLON CAPITAL MARKETS LLC.

04/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2008013055201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Member Firm BD No. 17454 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

Reference 2008013055201data-portal.finra.orgfinra.org

02/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100249375-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC ("BKCM" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010024937501data-portal.finra.orgfinra.org

09/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442570-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC, (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2015044257001finra.orgdata-portal.finra.org

12/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442691-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC, (the "firm" submits this Letter of Acceptance, Wavier and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015044269101data-portal.finra.orgfinra.org

09/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140400270-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC (the (“firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing

Reference 2014040027001data-portal.finra.orgfinra.org

12/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100213120-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: MBSC Securities Corporation ("MBSC") (BD No. 231); BNY Mellon Capital Markets LLC (BD No. 17454); and BNY Mellon Securities LLC ("BNYMS") (BD No; 47268) Respondents Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, MBSC, BNY Mellon Capital Markets and BNYMS (collectively, the "Respondents") submit this Letter of

Reference 2010021312001data-portal.finra.orgfinra.org

01/08/2026: From April 2022 through May 2024, in approximately 1,725 instances, BNY Mellon Capital Markets reported transactions to the MSRB’s Real Time Transaction Reporting System (RTRS) without the required special condition indicator for transactions in new issue municipal securities, in violation of MSRB Rule G-14. From April 2022 through at least May 2024, the firm violated MSRB Rule G-27 by failing to establish and maintain a supervisory system, including written procedures, reasonably designed to ensure compliance with the firm’s reporting obligation under MSRB Rule G-14. For these violations, BNY Mellon Capital Markets is censured and fined $60,000...

Reference 2024080120101data-portal.finra.orgfinra.org

01/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080147371-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC

Reference 2008014737101data-portal.finra.orgfinra.org

06/25/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Member Firm CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BNY Mellon Capital Markets, LLC ("BNY" 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 2018057742601data-portal.finra.orgfinra.org

06/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140410517-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC, (the "firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014041051701finra.orgdata-portal.finra.org

12/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120329950-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC (BD No. 17454) MBSC Securities Corporation (BD No. 231) Pershing LLC (BD No. 7560) Pershing Advisor Solutions LLC (BD No. 36671) Respondents Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC ("Capital Markets"), MBSC

Reference 2012032995001data-portal.finra.orgfinra.org

02/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150453840-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC, (the "firm") submits this Letter of Acceptance, Waiver and Consent "AWC" for the purpose of proposing a

Reference 2015045384001data-portal.finra.orgfinra.org

11/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130367793-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC'') for the purpose of proposing

Reference 2013036779301data-portal.finra.orgfinra.org

10/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442330-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015044233001finra.orgdata-portal.finra.org