FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056458301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alternative Execution Group (Respondent) Member Firm CRD No. 167830 Richard Alter (Respondent) General Securities Principal CRD No. 2697740 Pursuant to FINRA Rule 9216, Respondents Alternative Execution Group and Richard Alter submit 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. 2018056458302 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Assatly (Respondent) General Securities Principal CRD No. 2152563 Pursuant to FINRA Rule 9216, Respondent William Assatly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.