From: State of Indiana Office of the Secretary of State Securities Division

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IN THE MATTER OF:

STIFEL NICOLAUS & COMPANY, INCORPORATED,
)Cause No. 09-0198 SC

ORDER TO SHOW CAUSE

The office of the Secretary of State, Securities Division, filed an Administrative Complaint against Respondent alleging violations of the Indiana Securities Act, Ind. Code 23-2-1 (2007) ("the Act").

Pursuant to Ind. Code 23-19-6-4-(a), the Securities Commisioner ("Commissioner") may enter an order to show cause without prior hearing when in the public interest.

After reviewing the Administrative Complaint and being duly advised, the Commissioner finds that ground exist under the Act to order Respondent to show cause as to why an administrative penalty should not be levied against them, why an order of rescission, restitution or disgorgement should not be entered against them, and why they should not be barred from the securities industry in Indiana. The Commissioner finds this order is in the public interest.

The commissioner therefore ORDERS the Respondent to file a written answer or other response to the Administrative Complaint within fifteen (15) days of receipt of this Order AND to appear at a hearing on NOVEMBER 18, 2009 at 9:00 a.m. in the conference room of the Securities Division, located in room E-111 of the Indiana Government Center South, 302 West Washington Street, Indianapolis, Indiana 46204.

If Respondent request an earlier hearing in writing, a hearing will be set within fifteen (15) days after receipt of a request in writing from the person. The Commissioner is seeking a civil penalty and costs of the investigation against the Respondent.

ORDERED at Indianapolis, Indiana, this 1st day of OCTOBER, 2009.