TradeStation Securities Inc.

02/09/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057023701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeStation Securities, Inc. (Respondent) Member Firm CRD No. 39473 Pursuant to FINRA Rule 9216, Respondent TradeStation 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. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2018057023701data-portal.finra.orgfinra.org

04/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094666 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: TradeStation Securities, Inc. FINRA Member Firm CRD No. 39473 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TradeStation Securities, Inc. ("Tradestation" 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 2007009466601data-portal.finra.orgfinra.org

12/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023934201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: TradeStation Securities, Inc., Respondent CRD No. 39473 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TradeStation Securities, Inc. ("Respondent," "TradeStation" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2010023934201finra.orgdata-portal.finra.org

03/02/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041812501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeStation Securities, Inc. (Respondent) Member Firm CRD No. 39473 Pursuant to FINRA Rule 9216, Respondent TradeStation 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 2014041812501data-portal.finra.orgfinra.org

07/25/2025: From July to September 2022, TradeStation Securities distributed retail communications concerning crypto assets or crypto asset-related services which failed to clearly disclose that crypto assets were not offered through a registered broker-dealer or which did not provide a fair and balanced presentation of the benefits and risks of the products discussed. Therefore, Tradestation Securities violated FINRA Rules 2210(d) and 2010 and is censured and fined $85,000.

Reference 2022076787401data-portal.finra.orgfinra.org

11/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316473-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TradeStation Securities, Inc., Respondent Broker-Dealer CRD No. 39473 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TradeStation Securities, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2012031647301data-portal.finra.orgfinra.org

11/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399429-04 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: TradeStation Securities, Inc., Respondent Broker-Dealer CRD No. 39473 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, TradeStation Securities, Inc.(“FILL”, the “Firm” or “Respondent”), submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the

Reference 2014039942904data-portal.finra.orgfinra.org

03/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100237704 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: TradeStation Securities, Inc., Respondent CRD No. 39473 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Trade Station Securities, Inc. ("Respondent" or the "Firm") submits this Letter of Acceptance, Wavier and Consent ("AWC") for the purpose of proposing a

Reference 2010023770401data-portal.finra.orgfinra.org

08/01/2007: NASD LETTER OE ACCEPTANCE, WAIVER AND CONSENT 20070090219-02 TO: Department of Market Regulation NASD RE: Tradestation Securities, Inc., Respondent Broker-Dealer CRD No. 39473 Pursuant to Rule 9216 of the NASD Code of Procedure, Tradestation 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 in Part II below.

Reference 2007009021902data-portal.finra.orgfinra.org

12/31/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050000074-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TradeStation Securities, Inc., Respondent Broker-Dealer CRD No. 39473 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, TradeStation Securities, Inc. (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2005000007401data-portal.finra.orgfinra.org

08/13/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050007251-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tradestation Securities, Inc. ("TRAD") Broker-Dealer CRD No. 39473 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Tradestation 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.

Reference 2005000725101data-portal.finra.orgfinra.org

07/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100242158-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: TradeStation Securities, Inc., Respondent Broker-Dealer CRD No. 39473 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, TradeStation Securities Inc. (''FILL" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010024215801data-portal.finra.orgfinra.org