BTIG LLC

10/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080150670-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BTIG, LLC, Respondent Broker-Dealer CRD No. 122225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BTIG, LLC submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2008015067001finra.orgdata-portal.finra.org

08/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120352125-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BTIG, LLC, Respondent Broker-Dealer CRD No. 122225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BTIG, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2012035212501data-portal.finra.orgfinra.org

04/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215902-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BTIG, LLC, Respondent Broker-Dealer CRD No. 122225 Pursuant to FINRA Rule 9216 of FINRA'S Code of Procedure, BTIG, LLC (the 'firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of ths alleged rule violations described below. This AWC is

Reference 2010021590201data-portal.finra.orgfinra.org

03/25/2026: Between at least January 2020 and July 2024, BTIG failed to reasonably supervise its employees’ use of unapproved communications platforms for business purposes and failed to preserve business-related communications sent and received through unapproved platforms by more than 50 current and former firm employees, including members of senior management. As a result, the firm violated Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rule 17a-4, and FINRA Rules 4511, 3110(a), and 2010. For these violations, the firm is censured and fined $600,000...

Reference 2023079613601data-portal.finra.orgfinra.org

12/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140409415-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BTIG, LLC, Respondent Broker-Dealer CRD No. 122225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BTIG, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014040941501data-portal.finra.orgfinra.org

06/26/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050006510-01 TO: Department of Market Regulation NASD RE: BTIG, LLC Broker-Dealer CRD No. 122225 pursuant to Rule 9216 of the NASD Code of Procedure, BTIG, LLC (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, NASD will not bring any future actions against the firm alleging

Reference 2005000651001data-portal.finra.orgfinra.org

09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090201884-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BTIG, LLC, Respondent Broker-Dealer CRD No. 122225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BTIG, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2009020188401data-portal.finra.orgfinra.org

10/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130355122-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BTIG, LLC, Respondent Broker-Dealer CRD No. 122225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BTIG, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013035512201data-portal.finra.orgfinra.org

03/07/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060039749-01 TO: Department of Enforcement NASD RE: BTIG, LLC, Respondent CRD No. 122225 Pursuant to Rule 9216 of NASD Code of Procedure, BTIG, LLC [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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

Reference 2006003974901data-portal.finra.orgfinra.org