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FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049876001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Member Firm CRD No. 15794 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Securities Corp. ("BNP" or the "firm") 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. 2017053708001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hilltop Securities, Inc. CRD No. 6220 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hilltop Securities, Inc. (“Hilltop,” “Respondent,” or “the Firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.