REGAL SECURITIES INC

11/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTBR OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027363402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Regal Securities, Inc., Respondent CRD No. 7297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Regal Securities, Inc. ("Regal") 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

Reference 2011027363402data-portal.finra.orgfinra.org

04/17/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057188801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Regal Securities, Inc. (Respondent) Member Firm CRD No. 7297 Pursuant to FINRA Rule 9216, Respondent Regal Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018057188801data-portal.finra.orgfinra.org

12/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070073448 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Regal Securities, Inc., Respondent FINRA Member Firm CRD No.7297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Regal Securities, Inc. [Regal 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 AWC

Reference 2007007344801finra.orgdata-portal.finra.org

12/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043657202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Regal Securities, Inc., Respondent CRD Number: 7297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, 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 2015043657202data-portal.finra.orgfinra.org

05/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No: 2011025857201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Regal Securities, Inc. CRD No.: 7297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, 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 accepted, FINRA will

Reference 2011025857201data-portal.finra.orgfinra.org

05/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20090207692-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Regal Securities, Inc. Broker-Dealer CRD No. 7297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Regal Securities, 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

Reference 2009020769201finra.orgdata-portal.finra.org

02/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022046701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Regal Securities, Inc., Respondent CRD No. 7297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Regal Securities, Inc. ("Regal Securities" or 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. This AWC is

Reference 2010022046701data-portal.finra.orgfinra.org