E* TRADE SECURITIES LLC

06/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120335949-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Securities LLC, ("firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2012033594901data-portal.finra.orgfinra.org

12/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140418532-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2014041853201data-portal.finra.orgfinra.org

06/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036881501 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Securities 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 2013036881501data-portal.finra.orgfinra.org

04/07/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020040486-01 TO: Department of Enforcement NASD RE: E*TRADE Securities LLC, Respondent CRD No. 29106 Pursuant to Rule 9216 of NASD Code of Procedure, the undersigned ("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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

Reference E102004048601data-portal.finra.orgfinra.org

05/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094711-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities LLC (CRD No. 29106), 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 2007009471102data-portal.finra.orgfinra.org

10/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120339779-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*TRADE Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*TRADE Securities LLC ("the firm"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2012033977901finra.orgdata-portal.finra.org

03/25/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358225-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*TRADE Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*TRADE Securities 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 2013035822501data-portal.finra.orgfinra.org

01/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080117278-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities LLC, Respondent Member Firm BD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Securities LLC ("E*Trade" 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. This

Reference 2008011727801finra.orgdata-portal.finra.org

06/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060055189-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities, LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, E*Trade Securities, 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 2006005518901data-portal.finra.orgfinra.org

01/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014039952901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: E*TRADE Securities LLC (Respondent) Member Firm CRD No. 29106 Pursuant to FINRA Rule 9216, Respondent E*TRADE Securities LLC 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 2014039952901data-portal.finra.orgfinra.org

09/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047010401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: E*TRADE Securities LLC, Respondent Member Firm CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, E*TRADE Securities LLC (E*TRADE 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 2015047010401data-portal.finra.orgfinra.org

05/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442258-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*TRADE Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*TRADE Securities 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

05/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442258-01 TO: Department ofMarket Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*TRADE Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, E*TRADE Securities 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 desc

Reference 2015044225801data-portal.finra.orgdata-portal.finra.orgfinra.org

05/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130393981-01 TO: Department of Market Regulation Financial Industy Regulatory Authority ("FINRA") RE: E*TRADE Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*TRADE Securities LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement ofthe alleged rule violations describe

Reference 2013039398101data-portal.finra.orgfinra.org

04/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 200.90202452-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2009020245201data-portal.finra.orgfinra.org

04/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070076245-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities, LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, E*Trade Securities, LLC (the "firm" or "E*Trade Securities") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

Reference 2007007624501data-portal.finra.orgfinra.org

04/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080164377-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2008016437701data-portal.finra.orgfinra.org

06/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100209529-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Securities LLC, Respondent Member Firm BD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent E*Trade Securities LLC ("E*Trade" 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 2010020952901data-portal.finra.orgfinra.org

07/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEF?ANCE, WAIVER AND CONSENT NO. 20140430420-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: E*TRADE Securities LLC, Respondent Broker-Dealer CRD No. 29106 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*TRADE Securities 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 2014043042001finra.orgdata-portal.finra.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