Cobra Trading Inc.

04/03/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072501001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cobra Trading, Inc. (Respondent) Member Firm CRD No. 132078 Pursuant to FINRA Rule 9216, Respondent Cobra Trading, Inc. 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 2021072501001data-portal.finra.orgfinra.org

06/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110288105-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cobra Trading, Inc., Respondent Broker-Dealer CRD No. 132078 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cobra Trading, 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 described

Reference 2011028810501data-portal.finra.orgfinra.org

02/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035340001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cobra Trading, Inc., Respondent Member Firm CRD No. 132078 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 2013035340001data-portal.finra.orgfinra.org