DOMESTIC SECURITIES INC.

10/13/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060058718-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Domestic Securities, Inc., Respondent Broker-Dealer CRD No. 34721 Pursuant to Rule 9216 of the FINRA Code of Procedure, Domestic 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. This AWC is

Reference 2006005871801finra.orgdata-portal.finra.org

01/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT Case #: 2005000264301 TO: Market Regulation Department NASD RE: Domestic Securities, Inc., Respondent Broker-Dealer CRD No. 34721 Pursuant to Rule 9216 of NASD Code of Procedure, Domestic Securities, Inc. ("DOMS" 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

Reference 2005000264301data-portal.finra.orgfinra.org

04/05/2011: LETTER OF ACCEPTANCE, WAIVER AND CONSENT FINANCIAL INDUSTRY REGULATORY AUTHORITY NO.20090170064-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Domestic Securities, Inc., Respondent Broker-Dealer CRD No. 34721 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Domestic Securities, Inc. ("DOMS" 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 2009017006401data-portal.finra.orgfinra.org

10/02/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Domestic Securities, Inc. Montvale, N J, Respondent. DECISION Complaint No. 2005001819101 Dated: October 2, 2008 Respondent failed to develop and implement written anti-money laundering policies and procedures reasonably designed to achieve and monitor compliance with the relevant laws, rules, and regulations. Held, findings affirmed and sanctions modified.

08/14/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOMESTIC SECURITIES, INC. (CRD No. 34721), Respondent. Disciplinary Proceeding No. 2005001819101 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION August 14,2007 Respondent violated NASD Rules 3011 and 2110 by failing to develop and implement a written anti-money laundering program reasonably designed to achieve and monitor compliance with applicable laws, rules, and regulations. For

Reference 2005001819101data-portal.finra.orgdata-portal.finra.orgfinra.org

08/09/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 2005000264801 TO: Department of Market Regulation NASD RE: Domestic Securities, Inc., d/b/a The Attain ECN, Respondent Broker/Dealer CRD Number 34721 Pursuant to Rule 9216 of NASD Code of Procedure, Domestic Securities, Inc. ("DOMS"), d/b/a The Attain ECN ("ATTN" 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

Reference 2005000264801data-portal.finra.orgfinra.org

01/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050031852-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Domestic Securities, Inc., Respondent Broker-Dealer CRD No. 34721 Pursuant to FINRA Rule 9216 (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, if accepted, FINRA

Reference 2005003185202data-portal.finra.orgfinra.org