E* TRADE CLEARING LLC

07/26/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ##E102004013001 TO: Department of Enforcement NASD RE: E*Trade Clearing LLC (BD No. 25025) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, E*Trade Clearing LLC ("E*Trade Clearing" or "Respondent"), 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 accepted, NASD will not bring any

Reference E102004013001data-portal.finra.orgfinra.org

12/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 20060043950-01 Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Clearing, LLC, Respondent Broker-Dealer CRD No. 25025 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, E*Trade Clearing, 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 submitted

Reference 2006004395001finra.orgdata-portal.finra.org

09/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130353993-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*TRADE Clearing LLC, Respondent Broker-Dealer CRD No. 25025 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*TRADE Clearing 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 2013035399301data-portal.finra.orgfinra.org

10/05/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCECPTANCE, WAIVER AND CONSENT NO. 2014039663401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Clearing LLC, Respondent CRD No. 25025 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 condition that,

Reference 2014039663401data-portal.finra.orgfinra.org

12/31/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO: 2006004297301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities, LLC (CRD No. 29106) and E*Trade Clearing, LLC (CRD No. 25025) Pursuant to Rule 9216 of FINRA's Code of Procedure, Respondents E*TRADE Securities, LLC and E*Trade Clearing, LLC (collectively "E*Trade," "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the pupose of

Reference 2006004297301data-portal.finra.orgfinra.org

11/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120322530-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Clearing LLC, Respondent Broker-Dealer CRD No. 25025 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Clearing LLC ("ETCL," "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

Reference 2012032253001data-portal.finra.orgfinra.org

01/13/2014: FTNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215760-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Clearing LLC, Respondent Broker-Dealer CRD No. 25025 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Clearing 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 2010021576001data-portal.finra.orgfinra.org

05/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094711-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Clearing LLC (CRD No. 25025), Respondent 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 2007009471101data-portal.finra.orgfinra.org

12/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050002086-01 TO: Department of Market Regulation NASD RE: E*Trade Clearing LLC, Respondent Broker/Dealer CRD Number 25025 Pursuant to Rule 9216 of NASD Code of Procedure, E*Trade Clearing LLC ("ETRS") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2005000208601data-portal.finra.orgfinra.org

11/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060046999-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Clearing LLC, Respondent Broker-Dealer CRD No. 25025 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Clearing LLC (the "firm'') submits this Letter of Acceptance,

Reference 2006004699901data-portal.finra.orgfinra.org

03/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080153511-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Clearing LLC, Respondent Broker-Dealer CRD No. 25025 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Clearing 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 2008015351101data-portal.finra.orgfinra.org