FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066382601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BofA Securities, Inc. (Respondent) Member Firm CRD No. 283942 Pursuant to FINRA Rule 9216, Respondent BofA Securities, Inc. (BofAS 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. 2023077959501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph G. Ritter (Respondent) Former Associated Person CRD No. 7682066 Pursuant to FINRA Rule 9216, Respondent Joseph G. Ritter submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.