State Street Global Markets LLC

06/01/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050070 TO: Market Regulation Department NASD RE: State Street Global Markets, LLC, Respondent CRD No. 30107 Pursuant to Rule 9216 of NASD Code of Procedure, State Street Global Markets, LLC ("SSBS" 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

Reference CLG050070data-portal.finra.orgfinra.org

04/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080151598-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: State Street Global Markets, LLC, Respondent Broker-Dealer CRD No. 30107 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, State Street Global Markets, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2008015159801data-portal.finra.orgfinra.org

09/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100214561-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: State Street Global Markets, LLC, Respondent Broker-Dealer CRD No. 30107 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent State Street Global Markets, LLC ("SSLL" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2010021456101data-portal.finra.orgfinra.org

06/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140421450-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: State Street Global Markets, LLC, Respondent Broker-Dealer CRD No. 30107 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, State Street Global Markets, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2014042145001finra.orgdata-portal.finra.org

04/24/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003803901 TO: Department of Enforcement NASD RE: State Street Global Markets, LLC Member CRD No. 30107 Pursuant to Rule 9216 of the NASD Code of Procedure, State Street Global Markets, LLC ("SSGM") 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

Reference 2006003803901data-portal.finra.orgfinra.org

04/04/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060042020-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: State Street Global Markets, LLC, Respondent Broker/Dealer CRD No. 30107 Pursuant to Rule 9216 of the FINRA Code of Procedure, State Street Global Markets, IXC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2006004202001data-portal.finra.orgfinra.org

07/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070078161-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: State Street Global Markets, LLC, Respondent Broker-Dealer CRD No. 30107 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, State Street Global Markets, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent

Reference 2007007816101finra.orgdata-portal.finra.org

12/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120330640 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: State Street Global Markets, LLC, Respondent CRD No. 30107 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, State Street Global Markets, LLC (“State Street" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2012033064001data-portal.finra.orgfinra.org

11/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112004017902 TO: Department of Enforcement NASD RE: State Street Global Markets, LLC Member CRD No. 30107 Pursuant to Rule 9216 of the NASD Code of Procedure, State Street Global Markets, LLC ("SSGM") 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

Reference E112004017902data-portal.finra.orgfinra.org

07/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051821601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: State Street Global Markets, LLC, CRD No. 30107 (Now known in relevant part as State Street Global Markets, LLC, CRD No. 285852) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, State Street Global Markets, LLC, CRD No. 30107 ("SSGM"), now known in relevant part as State Street Global Markets, LLC, CRD No. 285852

Reference 2016051821601data-portal.finra.orgfinra.org

09/03/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048614401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: State Street Global Markets, LLC, Respondent Member Firm CRD No. 2858521 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent State Street Global Markets, LLC (CRD No. 285852) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016048614401data-portal.finra.orgfinra.org

08/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20140409774-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: State Street Global Markets, LLC, Respondent Broker-Dealer CRD No. 30107 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, State Street Global Markets. LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2014040977401data-portal.finra.orgfinra.org