FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065116601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CICC US Securities, Inc. Member Firm CRD No. 143221 Pursuant to FINRA Rule 9216, Respondent CICC US 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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071851101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sanford Graham Simmons (Respondent) Former General Securities Representative CRD No. 1018907 Pursuant to FINRA Rule 9216, Respondent Sanford Graham Simmons submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079291701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mark G. Beesley (Respondent) Former General Securities Principal & General Securities Representative CRD No. 5362689 Pursuant to FINRA Rule 9216, Respondent Mark G. Beesley (Beesley) submits Ibis Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.