FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054643601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ITG, Inc. (Respondent) Member Firm CRD No. 29299 Pursuant to FINRA Rule 9216, Respondent ITG, Inc. (ITG), now known as Virtu Americas LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued December 1, 2020 Decided February 26, 2021 No. 20-1092 KIMBERLY SPRINGSTEEN-ABBOTT, PETITIONER v. SECURITIES AND EXCHANGE COMMISSION, RESPONDENT On Petition for Review of an Order of the Securities & Exchange Commission Dominic E. Draye argued the cause for petitioner. With him on the briefs was Steven M. Felsenstein. Daniel Staroselsky, Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief was John W. Avery, Deputy Solicitor.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065315901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Scott Shelley, Respondent Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 2671545 Pursuant to FINRA Rule 9216, Respondent Richard Scott Shelley submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.