FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077924101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeUP Securities, Inc. (Respondent) Member Firm CRD No. 18483 Pursuant to FINRA Rule 9216, Respondent TradeUP 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. 2021069395701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dalmore Group LLC (Respondent) Member Firm CRD No. 136352 Pursuant to FINRA Rule 9216, Respondent Dalmore Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.