ITG INC

03/03/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054643601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ITG, Inc. (Respondent) Member Firm CRD No. 29299 Pursuant to FINRA Rule 9216, Respondent ITG, Inc. (ITG), now known as Virtu Americas LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017054643601data-portal.finra.orgfinra.org

05/23/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050036195-01 TO: Department of Market Regulation NASD RE: ITG Inc., Respondent Broker-Dealer CRD No. 29299 Pursuant to Rule 9216 of NASD Code of Procedure, ITG 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against the firm alleging

Reference 2005003619501data-portal.finra.orgfinra.org

11/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060051917-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ITG Inc., Respondent Broker-Dealer CRD No. 29299 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, ITG 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 submitted on the condition that,

Reference 2006005191701data-portal.finra.orgfinra.org

01/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080132221-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ITG Inc., Respondent Broker-Dealer CRD No. 29299 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ITG 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 submitted on the

Reference 2008013222101data-portal.finra.orgfinra.org

05/04/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009494701 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ITG Inc., Respondent Broker-Dealer CRD No. 29299 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ITG 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 submitted on the condition

Reference 2007009494701data-portal.finra.orgfinra.org

08/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399402-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ITG Inc., Respondent Broker-Dealer CRD No. 29299 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ITG Inc. ("ITGI" 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 below.

Reference 2014039940201data-portal.finra.orgfinra.org

10/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100229762 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ITG Inc., Respondent CRD No. 29299 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ITG Inc., 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 2010022976201data-portal.finra.orgfinra.org

03/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110292903-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ITG Inc., Respondent Broker-Dealer CRD No. 29299 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ITG 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

Reference 2011029290301data-portal.finra.orgfinra.org

09/12/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150452812-03 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ITG Inc., Respondent Broker-Dealer CRD No. 29299 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, 1TG Inc. (the ''Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2015045281203data-portal.finra.orgfinra.org