OPTIONSXPRESS INC

05/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030742601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: optionsXpress, Inc., Respondent Registered Broker-Dealer CRD No. 103849 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, optionsXpress, Inc. (“optionsXpress" or the “Firm") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged

Reference 2012030742601data-portal.finra.orgfinra.org

03/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120313109-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: optionsXpress, Inc., Respondent Broker-Dealer CRD No. 103849 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, optionsXpress, Inc., ("OXPS", 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

Reference 2012031310901data-portal.finra.orgfinra.org

01/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060055253-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: optionsXpress, Inc., Respondent Broker-Dealer CRD No. 103849 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, optionsXpress, Inc. (the "firm" or "OXPS") 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 2006005525301data-portal.finra.orgfinra.org

04/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130387090-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: optionsXpress, Inc., Respondent Broker-Dealer CRD No. 103849 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, optionsXpress, Inc. (the "firm" or Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013038709001finra.orgdata-portal.finra.org

03/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0.# 20050005755-01 TO: Department of Market Regulation NASD RE: optionsXpress, Inc., Respondent Broker-Dealer CRD No. 103849 Pursuant to Rule 9216 of NASD Code of Procedure, optionsXpress, 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

Reference 2005000575501data-portal.finra.orgfinra.org

07/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130384274-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: optionsXpress, Inc. ("OXPS"), Respondent Broker-Dealer CRD No. 103849 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, optionsXpress, 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

Reference 2013038427401data-portal.finra.orgfinra.org

03/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034190001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: optionsXpress, Inc., Respondent CRD No. 103849 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, optionsXpress, Inc. ("OX" 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. This AWC is submitted

Reference 2012034190001finra.orgdata-portal.finra.org

12/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100240333-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: OptionsXpress, Inc., Respondent Broker-Dealer CRD No. 103849 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, OptionsXpress, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2010024033301data-portal.finra.orgfinra.org