FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059446101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC (Credit Suisse) 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. 2020067611801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shane Edward Perry (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 2163879 Pursuant to FINRA Rule 9216, Respondent Shane Edward Perry submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.