FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057240801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan H. New, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 2892508 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Alan H. New 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. 2018058642601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Jun Lu, Respondent Investment Company and Variable Contracts Products Representative CRD No. 6856088 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Steven Jun Lu 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. 2017054642101 T0: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Northwestern Mutual Investment Services, LLC, Respondent Member Firm CRD No. 2881 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Northwestern Mutual Investment Services, LLC (“NMIS,” the “Firm,” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the