Intesa Sanpaolo IMI Securities Corp.

12/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058464601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Intesa Sanpaolo IMI Securities Corp. (Respondent) Member firm CRD No. 19418 Pursuant to FINRA Rule 9216, Respondent Intesa Sanpaolo IMI Securities Corp. 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

Reference 2018058464601data-portal.finra.orgfinra.org

12/01/2025: From July 2018 to April 2024, the firm failed to report or inaccurately reported more than 12,000 transactions to the Trade Reporting and Compliance Engine (TRACE) in violation of FINRA Rules 6730 and 2010. Separately, from at least July 2018 to September 2024, the firm violated the Securities Exchange Act of 1934 Rule 10b-10 and FINRA Rules 2232 and 2010 by failing to disclose the price of the security on over 11,000 customer confirmations and violated FINRA Rules 3110 and 2010 by failing to supervise for compliance with trade confirmation disclosure requirements. For these violations, the firm is censured and fined $125,000.

Reference 2024081858901finra.orgdata-portal.finra.org