Citadel Securities LLC

10/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080157728-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities 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 below. This AWC is

Reference 2008015772801data-portal.finra.orgfinra.org

09/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2012031643001 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC (the "firm" or "Respondent") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose ofproposing a settlement of

Reference 2012031643001finra.orgdata-portal.finra.org

03/25/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061038301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC (Respondent) Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216, Respondent Citadel Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019061038301data-portal.finra.orgfinra.org

10/09/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068778601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC (Respondent) Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216, Respondent Citadel Securities LLC 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 2020068778601data-portal.finra.orgfinra.org

10/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120331297-01 TO: Department of Market Regulation Financial Industry Regulator Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities 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 described

Reference 2012033129701finra.orgdata-portal.finra.org

11/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016051085001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC (Respondent) Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216, Respondent Citadel Securities LLC 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 2016051085001data-portal.finra.orgfinra.org

04/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150469278-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities 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 2015046927801data-portal.finra.orgfinra.org

05/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090182565-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC ("CDRG" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2009018256501data-portal.finra.orgfinra.org

06/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022334505 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC ("CDRG" 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 2010022334505data-portal.finra.orgfinra.org

09/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050036191-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC (formerly Citadel Derivatives Group LLC) ("CDRG" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2005003619101data-portal.finra.orgfinra.org

09/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140433406-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC (the "firm" or "Respondent") submits this Letter ofAcceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014043340601data-portal.finra.orgfinra.org

09/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215905-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC ("CDRG" 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 2010021590501data-portal.finra.orgfinra.org

09/03/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053653101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Citadel Securities 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 below.

Reference 2017053653101data-portal.finra.orgfinra.org

07/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041859401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC, Respondent Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Citadel Securities LLC (“Citadel Securities” 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 2014041859401data-portal.finra.orgfinra.org

12/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110292875-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC ("CDRG" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2011029287501data-portal.finra.orgfinra.org

11/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170061-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC ("CDRG" 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 2009017006101data-portal.finra.orgfinra.org

01/05/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140424690 01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Citadel Securities, LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities, LLC ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2014042469001data-portal.finra.orgfinra.org

09/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110279854-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities 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 below.

Reference 2011027985401data-portal.finra.orgfinra.org

07/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140409311-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities 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 2014040931101finra.orgdata-portal.finra.org

05/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Citadel Securities LLC, Respondent Broker-Dealer CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citadel Securities LLC ("CDRG" 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 AWC is

Reference 2007010875201data-portal.finra.orgfinra.org