First New York Securities L.L.C.

09/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050002450-03 TO: Department of Market Regulation NASD RE: First New York Securities L.L.C. BD No. 16362 Michael Lawrence Friedman CRD No. 214675 Pursuant to Rule 9216 of the NASD Code of Procedure, First New York Securities L.L.C. (the "firm" or "FNYS") and Michael Lawrence Friedman ("Friedman") (together "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2005000245003data-portal.finra.orgfinra.org

09/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100237623-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities, L.L.C., Respondent Broker-Dealer CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities, L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010023762301data-portal.finra.orgfinra.org

02/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033432302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.L.C., Respondent Member Firm CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities L.L.C. (the "firm" or "First New York") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012033432302finra.orgdata-portal.finra.org

03/25/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120353680-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.L.C., Respondent Broker-Dealer CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities L.L.C. (the ''firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2012035368001finra.orgdata-portal.finra.org

12/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050007960-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.L.C, Respondent Broker-Dealer CRD No. 16362 Joseph E. Edelman, Respondent CRD No. 2115413 Larry Chachkes, Respondent CRD No. 4132788 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, First New York Securities L.L.C. ("FNYS" or the "firm"), Joseph E. Edelman ("Edelman"), Larry Chachkes

Reference 2005000796001data-portal.finra.orgfinra.org

11/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033562801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.L.C., Respondent Member Firm CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities L.L.C. ("FNYS" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012033562801data-portal.finra.orgfinra.org

01/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060052710-03 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.L.C, Respondent Broker-Dealer CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities L.L.C. ("FNYS" 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 2006005271003data-portal.finra.orgfinra.org

10/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20100250298-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.L.C., Respondent Broker-Dealer CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities L.L.C.(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 2010025029801data-portal.finra.orgfinra.org

10/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080136045-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.L.C., Respondent Broker-Dealer CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2008013604501data-portal.finra.orgfinra.org

08/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140413104-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.L.C., Respondent Broker-Dealer CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2014041310401finra.orgdata-portal.finra.org

10/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090205298-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First New York Securities L.LC., Respondent Broker-Dealer CRD No. 16362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First New York Securities L.L.C. (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 2009020529801data-portal.finra.orgfinra.org