SUSQUEHANNA FINANCIAL GROUP LLLP.

09/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016310101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Susquehanna Financial Group, LLLP, Respondent Member CRD No. 35865 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

Reference 2009016310101data-portal.finra.orgfinra.org

03/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025597501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Susquehanna Financial Group, LLLP, Respondent Member CRD No. 35865 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

Reference 2011025597501data-portal.finra.orgfinra.org

04/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021239801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Susquehanna Financial Group, LLLP, Respondent Member CRD No. 35865 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

Reference 2010021239801finra.orgdata-portal.finra.org

08/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049362701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Susquehanna Financial Group, LLLP, Respondent CRD No. 35865 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

Reference 2016049362701data-portal.finra.orgfinra.org

06/09/2025: From February 2021 to May 2023, Susquehanna inaccurately reported to the Trade Reporting and Compliance Engine (TRACE) approximately 74,000 transactions in TRACE-Eligible Securities without the required “No Remuneration” (NR) indicator, in violation of FINRA Rules 6730(d) and 2010. From at least February 2021 to May 2023, Susquehanna also failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 6730(d), in violation of FINRA Rules 3110 and 2010. For these violations, Susquehanna is censured and fined $100,000.

Reference 2023077506401data-portal.finra.orgfinra.org

10/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150468691-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Susquehanna Financial Group, LLLP, Respondent Broker-Dealer CRD No. 35865 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Susquehanna Financial Group, LLLP (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 2015046869101data-portal.finra.orgfinra.org

01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080123490-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Susquehanna Financial Group, LLLP, Respondent Broker-Dealer CRD No. 35865 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Susquehanna Financial Group, LLLP (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2008012349001data-portal.finra.orgfinra.org