FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE. WAIVER AND CONSENT NO. 2016051549205 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GTS Securities LLC, Respondent Member Firm CRD No. 149224 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent GTS Securities LLC (GTS) 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061735701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Santander Investment Securities Inc. (Respondent) Member Firm CRD No. 37216 Pursuant to FINRA Rule 9216, Respondent Santander Investment 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.