Cowen and Company LLC

12/17/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040293001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cowen and Company, LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen and Company, 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 below.

Reference 2014040293001data-portal.finra.orgfinra.org

12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY NO. 20060067547-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") LETTER OF ACCEPTANCE, WAIVER AND CONSENT RE: Cowen and Company, LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Cowen and Company, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2006006754701finra.orgdata-portal.finra.org

03/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130361514-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cowen and Company, LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen and Company, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2013036151401data-portal.finra.orgfinra.org

10/31/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140425124-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Cowen and Company, LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen and Company, 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

10/31/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 8140425124-01 TO: Department ofMarket Regulation Financial Industry Regulatory Authority (''FINRA") RE: Cowen and Company, LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FE\TRA Rule 9216 ofFINRA's Code ofProcedure, Cowen and Company, LLC (the "fnn" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement ofthe alleged rule violations describe

Reference 2014042512401data-portal.finra.orgdata-portal.finra.orgfinra.org

12/04/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION No. 2005000269003 TO: Department of Market Regulation NASD RE: Cowen and Company, LLC, Respondent Broker/Dealer CRD Number 7616 Pursuant to Rule 9216 of NASD Code of Procedure, Cowen and Company ("COWN" 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

Reference 2005000269003data-portal.finra.orgfinra.org

03/18/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049867901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cowen and Company, LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cowen and Company, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2016049867901finra.orgdata-portal.finra.org

05/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060061841-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cowen and Company, LLC, Respondent Broker/Dealer CRD No. 7616 Pursuant to Rule 9216 of the FINRA Code of Procedure, Cowen and Company, 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 2006006184101data-portal.finra.orgfinra.org

07/09/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053655601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cowen and Company LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Cowen and Company 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 2017053655601data-portal.finra.orgfinra.org