DEUTSCHE BANK SECURITIES INC

09/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130375779-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

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03/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110296003-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. ("DBAB", the "Firm", or 'Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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01/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060065005-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities 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.

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12/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080136798-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

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12/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030737001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities, Inc. CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. ("DBSI" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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12/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20120316464-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc., (the "firrn") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

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05/01/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130379938-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc., (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

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03/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042569801 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc. Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Deutsche Bank Securities Inc. (the "Respondent" or "firm") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

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11/19/2025: FINRA’s research rules provide important investor protections and foster trust in the capital formation process by requiring transparency of conflicts in research reports that may inform investment decisions. Between January 2007 through May 2025, Deutsche Bank violated multiple research report disclosure requirements, impacting approximately 110,000 debt and equity research reports, in violation of FINRA Rules 2241 and 2242 and predecessor NASD rules. Additionally, from January 2007 to the present, Deutsche Bank has failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with the research disclosure requirements, in violation of FINRA Rules 3110 and 2010 and NASD Rules 3010 and 2110. For these violations, Deutsche Bank is censured, fined $2.5 million, and must certify that it has implemented a supervisory system that is reasonably designed to achieve compliance with FINRA Rules 2241 and 2242.

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02/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080163813-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

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02/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060050644-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Deutsche Bank Securities Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2006005064401data-portal.finra.orgfinra.org

09/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060054508-01 TO: Department of Enforcement Financial Industry Regulatory Authority RE: Deutsche Bank Securities Inc. CRD 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Deutsche Bank Securities Inc. ("DBSI") submits this Letter of Acceptance, Waiver and Consent for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

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04/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015717201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc. CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. ("Respondent" 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 2008015717201data-portal.finra.orgfinra.org

06/27/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041894101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Deutsche Bank Securities Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

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12/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090161645-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent BD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. ("Deutsche Bank" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

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07/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130393135-04 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No.2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities 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

Reference 2013039313504data-portal.finra.orgfinra.org

12/13/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150443249-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

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12/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023559301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. ("DBSI" 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 2010023559301finra.orgdata-portal.finra.org

10/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT ND.20140424194-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Deutsche Bank Securities Inc. (the "Respondent" or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2014042419401data-portal.finra.orgfinra.org

06/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013864402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent [CRD No. 2525] AdrienneTubridy, Respondent [CRD No. 1570968] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

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06/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044296601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc. Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. ("DB" 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

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12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2011030683701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") FROM: Deutsche Bank Securities Inc., CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Deutsche Bank Securities Inc. ("DBSI" 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.

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08/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140419100-01 TO: Department of Market Regulation Financial Industry Regulator Authority ("FINRA") RE: Deutsche Bank Securities Inc. Broker-Dealer CRD No. 2525 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure. Deutsche Bank Securities inc. ("DBAB" the "Firm" or "Respondent") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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06/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050018280-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Serenities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Deutsche Bank Securities Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of purposing a settlement of the alleged rule violations described

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09/10/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014043121001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deutsche Bank Securities Inc., Respondent Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities 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

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12/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140429134-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc.. Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Respondent Deutsche Bank Securities Inc. (the "Respondent," "firm" or "DBSI") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

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11/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110273488-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. (the "firm," "Respondent" or "Deutsche Bank Securities") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2011027348801data-portal.finra.orgfinra.org

06/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20060054835-01 TO: Department of Market Regulation NASD RE: Deutsche Bank Securities, Inc., Respondent Broker/Dealer CRD Number 2525 Pursuant to Rule 9216 of NASD Code of Procedure, Deutsche Bank Securities, 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 in Part II below. This AWC is submitted on the condition that,

Reference 2006005483501data-portal.finra.orgfinra.org

12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060067543-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities, Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Deutsche Bank Securities, Inc. (the "firm") submits this Letter of Acceptance,

Reference 2006006754301data-portal.finra.orgfinra.org

03/07/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041813501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deutsche Bank Securities Inc. (Respondent) Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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09/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006015001 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities, Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Deutsche Bank Securities, 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

Reference 2006006015001finra.orgdata-portal.finra.org

07/16/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080128087 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., ("DBSI") CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, DBSI 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

Reference 2008012808701data-portal.finra.orgfinra.org

03/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20041000088-01 TO: Department of Market Regulation NASD RE: Deutsche Bank Securities, Inc., Respondent Broker/Dealer CRD Number 2525 Pursuant to Rule 9216 of NASD Code of Procedure, Deuslche Bank Securities, Inc. ("DBAB") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2004100008801data-portal.finra.orgfinra.org

06/16/2014: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110260972-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities 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

Reference 2011026097201data-portal.finra.orgfinra.org

01/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100237658-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securitics Inc. Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010023765801finra.orgdata-portal.finra.org

11/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150464546-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Deutsche Bank Securities Inc. (the "Respondent" or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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12/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050014655-01 TO: Department of Market Regulation NASD RE: Deutsche Bank Securities, Inc., Respondent Broker/Dealer CRD Number 2525 Pursuant to Rule 9216 of NASD Code of Procedure, Deustche Bank Securities, Inc. ("DBAB")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

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05/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030143501 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

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02/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050004905-01 TO: Department of Market Regulation NASD RE: Deutsche Bank Securities, Inc., Respondent Broker/Dealer CRD Number 2525 Pursuant to Rule 9216 of NASD Code of Procedure, Deustche Bank Securities, Inc. ("DBAB") 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 2005000490501data-portal.finra.orgfinra.org

08/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023096302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Member Firm CRD No. 2525 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

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03/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION CLG050032 TO: Department of Market Regulation NASD RE: Deutsche Bank Securities, Inc., Respondent Broker/Dealer CRD Number 2525 Pursuant to Rule 9216 of NASD Code of Procedure, Deutsche Bank Securities, Inc. ("DBAB") 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

Reference CLG050032data-portal.finra.orgfinra.org

09/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120339358-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Deutsche Bank Securities Inc. (the "Respondent" or "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2012033935801data-portal.finra.orgfinra.org

08/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140409465-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA s Code of Procedure, Deutsche Bank Securities Inc. ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

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09/28/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20060047177-01 TO: Department of Market Regulation NASD RE: Deutsche Bank Securities, Inc., Respondent Broker/Dealer CRD Number 2525 Pursuant to Rule 9216 of NASD Code of Procedure, Deutsche Bank Securities, 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 in Part II below. This AWC is submitted on the condition

Reference 2006004717701data-portal.finra.orgfinra.org

02/16/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080144505 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent CRD# 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the 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 condition that, if

Reference 2008014450501finra.orgdata-portal.finra.org

11/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080161674-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA"') RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc., ("DBAB" 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 2008016167401data-portal.finra.orgfinra.org

08/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012035003201 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA" RE: Deutsche Bank Securities, Inc., Respondent (CRD No. 2525) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Deutsche Bank Securities, Inc. (''DBSI" 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 2012035003201data-portal.finra.orgfinra.org

12/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110288146-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

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11/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090174106-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., Respondent Broker-Dealer CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

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12/31/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055691901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Deutsche Bank Securities Inc. (Respondent) Member Firm CRD No. 2525 Pursuant to FINRA Rule 9216, Respondent Deutsche Bank Securities Inc. (DBSI) 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

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12/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029270401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc. CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Deutsche Bank Securities Inc. (DBSI) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged role violations described below. This AWC is submitted on the condition

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09/09/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050004547-01 TO: Department of Market Regulation NASD RE: Deutsche Bank Securities, Inc., Respondent Broker/Dealer CRD Number 2525 Pursuant to Rule 9216 of NASD Code of Procedure, Deustche Bank Securities, Inc. ("DBAB") 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 2005000454701finra.orgdata-portal.finra.org