Charles Schwab & Co. Inc.

07/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100228149-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Schwab & Co., Inc., (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

Reference 2010022814901data-portal.finra.orgfinra.org

06/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE,WAIVER AND CONSENT NO. 20090181146-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Schwab & Co., Inc. (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

Reference 2009018114601data-portal.finra.orgfinra.org

08/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110289412-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Schwab & Co., Inc. (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

Reference 2011028941201data-portal.finra.orgfinra.org

04/29/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070107368-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Charles Schwab & Co., Inc. (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 2007010736801data-portal.finra.orgfinra.org

08/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042873601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Schwab & Co., Inc. ("Schwab" 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 2014042873601data-portal.finra.orgfinra.org

07/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060058349 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Schwab & Co., Inc., Respondent FINRA Member Firm, CRD No. 5393 Pursuant to NASD 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

Reference 2006005834901data-portal.finra.orgfinra.org

01/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050002 TO: Market Regulation Department NASD RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to Rule 9216 of NASD Code of Procedure, Charles Schwab & Co., Inc. ("CHAS" 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

Reference CLG050002finra.orgdata-portal.finra.org

10/16/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160487988-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Schwab & Co., Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2016048798801data-portal.finra.orgfinra.org

04/26/2016: FINANCIAL INDUSTRY REGUIATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399400-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Schwab & Co., Inc. ([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 2014039940001data-portal.finra.orgfinra.org

11/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080149720-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Co., Inc., Respondent Broker-Dealer CRD No. 5393 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Charles Schwab & Co., Inc. (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 2008014972001data-portal.finra.orgfinra.org

06/08/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068047101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Schwab & Co., Inc. (Respondent) Member Firm CRD No. 5393 Pursuant to FINRA Rule 9216, Respondent Charles Schwab & Co., Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2020068047101data-portal.finra.orgfinra.org

09/01/2026: Between January 2018 and May 2025, Schwab failed to report or timely report approximately 2.8 million fractional share transactions to the FINRA/Nasdaq Trade Reporting Facility (TRF) or the Over-the-Counter Reporting Facility (ORF), in violation of FINRA Rules 6380A, 6622, and 2010. Additionally, from July 2022 to July 2023 Schwab inaccurately reported approximately 690,000 fractional share transactions to the TRF and ORF, in violation of FINRA Rules 6380A, 6622, 7230A, 7330, and 2010. Finally, from January 2018 through May 2025, the firm failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to comply with its trade reporting obligations, in violation of FINRA Rules 3110(a) and (b) and 2010. For these violations, the firm is censured, fined $175,000, and required to pay the regulatory transaction fees owed for the unreported fractional share trades pursuant to Section 3 of Schedule A to FINRA's By-Laws.

Reference 2022076789501data-portal.finra.orgfinra.org

12/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029074302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Schwab & Co., Inc., Respondent CRD No. 5393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Schwab & Co., Inc. ("Schwab") 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 2011029074302data-portal.finra.orgfinra.org