FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060263201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SI Securities, LLC (Respondent) Member Firm CRD No. 170937 Pursuant to FINRA Rule 9216, Respondent SI Securities, LLC 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. 2020067795501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated 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. 2019063914601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRDNo. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.