CIBC World Markets Corp.

12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENTNO. 20060067556-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, CIBC World Markets Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2006006755601data-portal.finra.orgfinra.org

11/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090178862-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CIBC World Markets Corp. ("CWMK" 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 2009017886201data-portal.finra.orgfinra.org

10/29/2025: Between April 2019 and September 2025, CIBC failed to report or inaccurately reported 7,501 over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system in 1,418,430 instances, in violation of FINRA Rules 2360(b)(5) and 2010. Between April 2019 and July 2025, the firm also failed to maintain and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with FINRA Rule 2360 in violation of FINRA Rules 3110 and 2010. For these violations, CIBC is censured and fined $425,000.

Reference 2022075778501data-portal.finra.orgfinra.org

05/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050004892-01 TO: Department of Market Regulation NASD RE: CIBC World Markets Corp., Respondent Broker-Dealer No. 630 Pursuant to Rule 9216 of the NASD Code of Procedure, CIBC World Markets Corp. (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

Reference 2005000489201data-portal.finra.orgfinra.org

12/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008127671-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CIBC World Markets Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2008012767101data-portal.finra.orgfinra.org

05/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050036 TO: Department of Enforcement NASD RE: CIBC World Markets Corp. Respondent [BD NO. 630] Pursuant to Rule 9216 of the NASD Code of Procedure. CIBC World Markets Corp. ("CCIBC") 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.

Reference C10050036data-portal.finra.orgfinra.org

12/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090189094 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp. CRD No. 630 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CIBC World Markets Corp. (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 the condition that,

Reference 2009018909401data-portal.finra.orgfinra.org

09/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080141893-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CIBC World Markets Corp. (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 2008014189301finra.orgdata-portal.finra.org

01/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060044641-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, CIBC World Markets Corp. ("CIBC" 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. This

Reference 2006004464101finra.orgdata-portal.finra.org

08/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080136275-01 TO: Department of Market Regulation Financial industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CIBC World Markets Corp. (the "firm*) submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2008013827501data-portal.finra.orgfinra.org

10/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316755-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CIBC World Markets Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2012031675501data-portal.finra.orgfinra.org

01/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070108085-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CIBC World Markets Corp., Respondent Broker-Dealer CRD No. 630 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, CIBC World Markets Corp., (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 2007010808501data-portal.finra.orgfinra.org