FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062530501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MML Investors Services, LLC (Respondent) Member Firm CRD No. 10409 Pursuant to FINRA Rule 9216, Respondent MML Investors Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057201801 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. 2016049188701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wells Fargo Advisors, LLC (n/k/a Wells Fargo Clearing Services, LLC) Member Firm CRD No. 19616 Wells Fargo Advisors Financial Network, LLC Member Firm CRD No. 11025 Pursuant to FINRA Rule 9216, Respondents Wells Fargo Advisors, LLC (n/k/a/ Wells Fargo Clearing Services, LLC) (WFA) and Wells Fargo Advisors Financial Network, LLC (WFAFN)