FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061642801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Apex Clearing Corporation, Respondent Member Firm CRD No. 13071 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Apex Clearing Corporation ("Apex" or "Respondent") 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. 2018057690301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis Cook, Respondent Investment Company Products/Variable Contracts Representative CRD No. 2469412 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Louis Cook (“Respondent” or “Cook”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.