FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054054101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Electronic Transaction Clearing, Inc., Respondent Member Firm CRD No. 146122 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Electronic Transaction Clearing, Inc. (ETC 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. 2017053051001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TPEG Securities, LLC, Respondent Member Firm CRD No. 146726 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent TPEG Securities, LLC (“TPEG Securities” 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.