# EDGAR Filing Document

**Accession Number:** 0001484219
**File Stem:** 0001484219-25-000017
**Filing Date:** 2025-12
**Character Count:** 53765
**Document Hash:** cc87318a0bb227731816483145416ce1
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001484219-25-000017.hdr.sgml**: 20251210

**ACCESSION NUMBER**: 0001484219-25-000017

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20251210

**DATE AS OF CHANGE**: 20251210

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Barclays Capital INC
- **CENTRAL INDEX KEY:** 0001484219

**ORGANIZATION NAME:**
- **EIN:** 000000000
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01287
- **FILM NUMBER:** 251562499

**BUSINESS ADDRESS:**
- **STREET 1:** 745 SEVENTH AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
- **BUSINESS PHONE:** 001 212 526 1755

**MAIL ADDRESS:**
- **STREET 1:** 745 SEVENTH AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001484219

**Filer CCC:** XXXXXXXX

**Contact Name:** Amber Humayun

**Contact Phone:** 212-412-6974

**Contact Email:** amber.humayun@barclays.com

**Notification Emails:** amber.humayun@barclays.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Barclays Capital INC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 19714

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 06-1031656

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00522-00

- **Municipal Advisor:** SEC File No: 867-01287

- **Broker-Dealer:** SEC File No: 008-41342, CRD No: 19714

- **SEC-Registered Investment Adviser:** SEC File No: 801-69700, CRD No: 19714

- **Other:** Description: SWAP FIRM, ID: 0228758

**Additional Registrations:**

- **COMMODITY POOL OPERATOR:** 0228758

- **COMMODITY TRADING ADVISOR:** 0228758

- **EXEMPT FOREIGN FIRM AGENT:** 0228758

- **FUTURES COMMISSION MERCHANT:** 0228758

- **Municipal Securities Dealer -- MSRB:** A6566

**E. Principal Office and Place of Business:** 745 SEVENTH AVENUE, NEW YORK, NY, 10019

**Telephone Number:** 212-526-7000

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.barcap.com

**G. Chief Compliance Officer (CCO):**

**Name:** Zacharia - Zacharia

**Titles:** Chief Compliance Officer

**Address:** 745 7th Avenue 13th Floor, New York, NY, 10019

**Phone Number:** 212-526-1843

**Email:** zack.zacharia@barclays.com

**H. Business Affiliates:**

- **Name:** BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A.

- **Name:** BARCLAYS CAPITAL SECURITIES LIMITED

  - **Issuing Agency:** Financial Conduct Authority

  - **Jurisdiction:** X0

- **Name:** BARCLAYS CAPITAL ASIA LIMITED

  - **Issuing Agency:** Securities and  Futures Commission

  - **Jurisdiction:** K3

- **Name:** BARCLAYS CAPITAL JAPAN LIMITED

  - **Issuing Agency:** Japan Securities Dealers Association

  - **Jurisdiction:** M0

- **Name:** DURLACHER NOMINEES LTD.

- **Name:** WESTFERRY INVESTMENTS LTD

- **Name:** BARCLAYS ASIA LIMITED

- **Name:** BARCLAYS CAPITAL CANADA INC

  - **Issuing Agency:** Investment Industry Regulatory Organization of Canada

  - **Jurisdiction:** Z4

- **Name:** BARCLAYS CAPITAL CASA DE BOLSA, S.A. DE C.V.

  - **Issuing Agency:** National Banking and Securities Commission

  - **Jurisdiction:** O5

- **Name:** BARCLAYS CAPITAL FUTURES (SINGAPORE) PRIVATE LTD.

  - **Issuing Agency:** Monetary Authority of Singapore

  - **Jurisdiction:** U0

- **Name:** BARCLAYS CAPITAL MAURITIUS LIMITED

- **Name:** BARCLAYS PRESTACADO DE SERVICOS - ACE

- **Name:** BARCLAYS PRIVATE CLIENTS INTERNATIONAL LIMITED

  - **Issuing Agency:** Financial Conduct Authority

  - **Jurisdiction:** Y8

- **Name:** WOOLWOCH PLAN MANAGERS LIMITED

  - **Issuing Agency:** Financial Conduct Authority

  - **Jurisdiction:** X0

- **Name:** EQUITY VALUE INVESTMENTS NO 1 LIMITED

- **Name:** BARCLAYS PLC

- **Name:** BARCLAYS BANK PLC.

  - **Issuing Agency:** Financial Conduct Authority; Prudential Regulation Authority

  - **Jurisdiction:** X0

- **Name:** BARCLAYS CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A.

- **Name:** BARCLAYS INVESTMENT SOLUTIONS LIMITED

- **Name:** BARCLAYS BANK (SUISSE) SA

- **Name:** BARCLAYS BANK DELAWARE

- **Name:** BARCLAYS BANK IRELAND PLC

- **Name:** BARCLAYS BANK MEXICO SA

- **Name:** BARCLAYS SECURITIES (INDIA) PRIVATE LIMITED

- **Name:** BARCLAYS FUNDS & ADVISORY JAPAN LIMITED

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** CT

**D. Date of Organization:** 03-30-1998

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 2871

**B. Municipal Advisory Activities - Employees:** 6

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 6

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 1

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Swap Dealer, Security-based swap dealer, Commodity pool operator, Commodity trading advisor, Futures commission merchant, Banking/Thrift institution, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Futures commission merchant, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Company, Commodity trading advisor, Investment Company, Investment Adviser, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Futures commission merchant, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Insurance company or agency, Banking/Thrift institution, Investment Company, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Investment Company, Investment Adviser, Swap Dealer, Security-based swap dealer, Banking/Thrift institution

**Total Associated Persons:** 23

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** Yes

- **Applicant/Advisory Affiliate Charged with Felony?:** Yes

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** Yes

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** Yes

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** Yes

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** Yes

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** Yes

- **Named in Civil Proceeding Alleging Violation?:** Yes

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                    | Title/Status                                                     | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| BARCLAYS GROUP US INC.  | OWNS BARCLAYS CAPITAL INC                                        | 12-21-1999      | E - 75% or more   | Yes               | 13-3249618   |  |
| RAHUL NMN JAISING       | REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - PRIME SERVICES | 08-06-2013      | NA - less than 5% | No                |  | 4754959      |
| Andrew Michael Mogavero | CHIEF EXECUTIVE OFFICER                                          | 05-20-2024      | NA - less than 5% | Yes               |  | 3247485      |
| Claire Scholz O'Connor  | Board Director                                                   | 09-27-2018      | NA - less than 5% | No                |  | 1907247      |
| Zacharia - Zacharia     | CHIEF COMPLIANCE OFFICER                                         | 05-10-2019      | NA - less than 5% | No                |  | 2440444      |
| CAROL PEDERSEN MATHIS   | CHIEF FINANCIAL OFFICER                                          | 12-31-2020      | NA - less than 5% | No                |  | 4322657      |
| JULIAN JAVIER ABREU     | ROSFP - PRIME SERVICES                                           | 03-01-2019      | NA - less than 5% | No                |  | 5160018      |
| Juliette Sara Smith     | Chief Legal Officer                                              | 02-01-2021      | NA - less than 5% | No                |  | 5696210      |
| Bradley Wayne Rogoff    | HEAD OF RESEARCH                                                 | 10-18-2024      | NA - less than 5% | No                |  | 4569545      |
| Jai - Westwood          | CHIEF OPERATIONS OFFICER                                         | 08-30-2024      | NA - less than 5% | Yes               |  | 4611538      |
| Anthony Edward Mayer    | CHIEF RISK OFFICER                                               | 08-01-2025      | NA - less than 5% | No                |  | 8132690      |

### Schedule B: Indirect Owners

| Owning Entity                | Name                         | Title/Status      | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| BARCLAYS US HOLDINGS LIMITED | BARCLAYS BANK PLC            | SOLE SHAREHOLDER  | 09-01-2020      | E - 75% or more  | Yes               |  |
| BARCLAYS BANK PLC            | BARCLAYS PLC                 | SOLE SHAREHOLDER  | 01-01-1985      | E - 75% or more  | Yes               |  |
| BARCLAYS GROUP US INC.       | BARCLAYS US LLC              | SOLE SHAREHOLDER  | 04-27-2016      | E - 75% or more  | Yes               | 47-3808943   |
| BARCLAYS US LLC              | BARCLAYS US HOLDINGS LIMITED | SOLE SHARE HOLDER | 09-01-2020      | E - 75% or more  | Yes               | 98-1360124   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                | Name                         | Title/Status                                                     | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | BARCLAYS GROUP US INC.       | OWNS BARCLAYS CAPITAL INC                                        | 12-21-1999      | E - 75% or more   | Yes               | 13-3249618   |  |
|  | Indirect    | BARCLAYS US HOLDINGS LIMITED | BARCLAYS BANK PLC            | SOLE SHAREHOLDER                                                 | 09-01-2020      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | BARCLAYS BANK PLC            | BARCLAYS PLC                 | SOLE SHAREHOLDER                                                 | 01-01-1985      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | BARCLAYS GROUP US INC.       | BARCLAYS US LLC              | SOLE SHAREHOLDER                                                 | 04-27-2016      | E - 75% or more   | Yes               | 47-3808943   |  |
|  | Indirect    | BARCLAYS US LLC              | BARCLAYS US HOLDINGS LIMITED | SOLE SHARE HOLDER                                                | 09-01-2020      | E - 75% or more   | Yes               | 98-1360124   |  |
|  | Direct      |  | RAHUL NMN JAISING            | REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL - PRIME SERVICES | 08-06-2013      | NA - less than 5% | No                |  | 4754959      |
|  | Direct      |  | Andrew Michael Mogavero      | CHIEF EXECUTIVE OFFICER                                          | 05-20-2024      | NA - less than 5% | Yes               |  | 3247485      |
|  | Direct      |  | Claire Scholz O'Connor       | Board Director                                                   | 09-27-2018      | NA - less than 5% | No                |  | 1907247      |
|  | Direct      |  | Zacharia - Zacharia          | CHIEF COMPLIANCE OFFICER                                         | 05-10-2019      | NA - less than 5% | No                |  | 2440444      |
|  | Direct      |  | CAROL PEDERSEN MATHIS        | CHIEF FINANCIAL OFFICER                                          | 12-31-2020      | NA - less than 5% | No                |  | 4322657      |
|  | Direct      |  | JULIAN JAVIER ABREU          | ROSFP - PRIME SERVICES                                           | 03-01-2019      | NA - less than 5% | No                |  | 5160018      |
|  | Direct      |  | Juliette Sara Smith          | Chief Legal Officer                                              | 02-01-2021      | NA - less than 5% | No                |  | 5696210      |
|  | Direct      |  | Bradley Wayne Rogoff         | HEAD OF RESEARCH                                                 | 10-18-2024      | NA - less than 5% | No                |  | 4569545      |
|  | Direct      |  | Jai - Westwood               | CHIEF OPERATIONS OFFICER                                         | 08-30-2024      | NA - less than 5% | Yes               |  | 4611538      |
|  | Direct      |  | Anthony Edward Mayer         | CHIEF RISK OFFICER                                               | 08-01-2025      | NA - less than 5% | No                |  | 8132690      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 121562

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 661887

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 661888

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 661889

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 232184

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1169498

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1230813

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1292950

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1302267

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1377638

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1423960

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1479997

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1501367

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1527472

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1536027

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1541779

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1548853

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1548854

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1557230

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1566770

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D3, 9-D4, 9-D5)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1584877

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D3, 9-D4, 9-D5)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1584876

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1593136

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1617028

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1616860

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1616860

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1616860

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1629130

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1644385

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1643596

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1643608

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1653764

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1660460

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1661681

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1668873

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1677554

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1679221

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1680347

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1680149

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1683302

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1686202

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1687100

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1688826

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1702248

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1702485

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1707531

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1708662

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1710329

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1710965

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1710212

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1717797

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1724254

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1723395

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1724926

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1732899

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1734623

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1736351

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1740501

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1771735

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1786350

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1774522

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1774522

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1774522

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1786357

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1786358

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1786358

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1786359

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1786359

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1789028

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1793634

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1796827

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1797971

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1796828

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1800637

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1796826

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1795262

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

- **CRD Number:** 19714

- **Disclosure Number:** 1815873

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1827780

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1833219

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1845255

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1855026

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for BARCLAYS CAPITAL INC.

  - **Disclosure Number:** 1855026

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1822936

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1821633

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc.

- **CRD Number:** 19714

- **Disclosure Number:** 1858546

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc.

- **CRD Number:** 19714

- **Disclosure Number:** 1859484

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc.

- **CRD Number:** 19714

- **Disclosure Number:** 1858552

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc.

- **CRD Number:** 19714

- **Disclosure Number:** 1864046

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc.

- **CRD Number:** 19714

- **Disclosure Number:** 1864058

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc.

- **CRD Number:** 19714

- **Disclosure Number:** 1862621

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1883572

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1886207

**Regulatory DRP for: Applicant (Responding to Questions: 9-E3)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1889768

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1893501

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1894556

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1894137

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1903220

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 1903220

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1909678

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 1918315

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 1920232

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1929201

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1929380

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1929388

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1932764

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1934852

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1947461

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1954556

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1954404

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1954400

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1953823

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1966889

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1978804

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1978830

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 1978833

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2009341

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2009498

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital Inc

  - **Disclosure Number:** 2049497

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2075435

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2085318

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2098775

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2099017

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2126093

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2124790

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2126201

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2126227

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2129779

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2129779

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2158383

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2158384

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2166784

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2172683

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2185151

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2174009

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2174006

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2173974

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2213046

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2230750

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2230750

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2231246

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2232234

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2237644

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2237644

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2237679

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2239395

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2239395

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2242431

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for BARCLAYS CAPITAL, INC

- **CRD Number:** 19714

- **Disclosure Number:** 2269007

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2334212

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2350974

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2352346

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2352362

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2352389

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2354602

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2366308

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2374981

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2405987

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2405986

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2405980

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2405953

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2408736

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2408782

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2408783

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2409211

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2417633

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2417634

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2417635

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2417637

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2417638

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2417639

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2417640

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2419262

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2428706

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2428705

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2447788

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 19714

  - **Filed On (AP):** Form ADV/BD/U4 for Barclays Capital, Inc

  - **Disclosure Number:** 2453652

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Barclays Capital, Inc

- **CRD Number:** 19714

- **Disclosure Number:** 2454379

### Execution Page

**Signature:** Mary Beth Coffey

**Signer Name:** Mary Beth Coffey

**Title:** VP, Registrations

**Date:** 12-10-2025