SCOTTRADE INC

11/03/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000037-02 TO: Market Regulation Department NASD RE: Scottrade, Inc., Respondent CRD No. 8206 Pursuant to Rule 9216 of NASD Code of Procedure, Scottrade, Inc. ("SSIC") 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

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01/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100241196-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, 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 2010024119601data-portal.finra.orgfinra.org

01/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C04040062 To: Department of Enforcement NASD Re: Scottrade, Inc. Member (CRD No. 8206) Pursuant to NASD Procedural Rule 9216, Scottrade, Inc. (Scottrade) 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 Scottrade alleging violations based on the

Reference C04040062data-portal.finra.orgfinra.org

01/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140411132-02 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Scottrade, 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 violations described below.

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09/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140400291-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, 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 violations described below.

Reference 2014040029101data-portal.finra.orgfinra.org

09/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005000003201 TO: Market Regulation Department NASD RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 37674 Pursuant to Rule 9216 of NASD Code of Procedure, Scottrade, Inc. ("SSIC" 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 in Part II below. This AWC is submitted on the

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03/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316433-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, Inc. (the “firm" or “SSIC") submits this Letter of Acceptance, Waiver and Consent (“AWC'') for the purpose of proposing a settlement of the alleged rule violations described

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01/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420050093-01 To: Department of Enforcement NASD Re: Scottrade, Inc. Member (CRD No. 8206) Pursuant to NASD Procedural Rule 9216, Scottrade, Inc. (Scottrade) 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

Reference E042005009301data-portal.finra.orgfinra.org

11/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090185059-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, Inc. (the ''Firm" or "SSIC") 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

Reference 2009018505901data-portal.finra.orgfinra.org

12/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110283587-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, 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 2011028358701data-portal.finra.orgfinra.org

06/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20041000164-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Scottrade, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2004100016401finra.orgdata-portal.finra.org

06/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090182559-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, 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

Reference 2009018255901data-portal.finra.orgfinra.org

07/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025332401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent (BD No. 8206) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, Inc. (the "firm" or "Scottrade") 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 2010025332401data-portal.finra.orgfinra.org

10/26/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE. WAIVER AND CONSENT NO. 2007009026302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade Inc. (CRD No. 8206) Pursuant to Rule 9216 of FINRA's Code of Procedure, Respondent Scottrade Inc. ("Scottrade" or "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 2007009026302data-portal.finra.orgfinra.org

09/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150440852-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2015044085201data-portal.finra.orgfinra.org

07/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140397412-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, 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 violations described below. This AWC

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11/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160486084-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA 's Code of Procedure, Scottrade, Inc.

Reference 2016048608401finra.orgdata-portal.finra.org

06/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050000057-01 TO: Department of Market Regulation NASD RE: Scottrade, Inc., Respondent Broker/Dealer CRD Number 8206 Pursuant to Rule 9216 of NASD Code of Procedure, Scottrade, Inc. ("SSIC" 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 in Part II below.

Reference 2005000005701finra.orgdata-portal.finra.org

06/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035000501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Member Firm CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Scottrade, Inc. ("Scottrade" 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 2013035000501data-portal.finra.orgfinra.org

01/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031796401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade Inc., Respondent CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade Inc. ("Scottrade") 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 2012031796401data-portal.finra.orgfinra.org

01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE) WAIVER AND CONSENT NO. 20050025075-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, 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

Reference 2005002507502data-portal.finra.orgfinra.org

02/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181376-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, Inc. ("SSIC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2009018137601data-portal.finra.orgfinra.org

11/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039991001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc. Respondent Member Firm CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure Respondent Scottrade, Inc. ("Scottrade" or the "Firm") submit this Letter of Acceptance Waiver and Consent ("AWC") for the purpose of proposing

Reference 2014039991001data-portal.finra.orgfinra.org

11/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080160501-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scotrrade, Inc. Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, 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 2008016050101data-portal.finra.orgfinra.org

04/01/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007126901 To: Department of Enforcement Financial Industry Regulatory Authority Re: Scottrade, Inc. Member (CRD No. 8206) Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Scottrade, Inc. (Scottrade) 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 2007007126901data-portal.finra.orgfinra.org

10/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2013038369901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade. Inc., Respondent ("Scottrade") CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade 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 2013038369901data-portal.finra.orgfinra.org

01/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090199136-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, Inc., ("SSIC" 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

Reference 2009019913601finra.orgdata-portal.finra.org

07/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050096 TO: Department of Market Regulation NASD RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to Rule 9216 of NASD Code of Procedure, Scottrade, Inc. ("SSIC" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference CLG050096data-portal.finra.orgfinra.org

08/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050023240-01 TO: Department of Market Regulation NASD RE: Scottrade, Inc, Respondent Broker/Dealer CRD Number 8206 Pursuant to Rule 9216 of NASD Code of Procedure, Scottrade, Inc. ("SSIC" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD

Reference 2005002324001data-portal.finra.orgfinra.org

12/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029102701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc. CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, Inc. ("Scottrade") 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,

Reference 2011029102701finra.orgdata-portal.finra.org

06/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021776501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc. ("Scottrade" or the "Firm") CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade 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,

Reference 2010021776501data-portal.finra.orgfinra.org

12/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100233013-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottrade, Inc., Respondent Broker-Dealer CRD No. 8206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottrade, 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 2010023301301finra.orgdata-portal.finra.org