FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064352201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GTS Securities LLC (Respondent) Member Firm CRD No. 149224 Pursuant to FINRA Rule 9216, Respondent GTS Securities LLC (GTS) 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. 2023079243401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Emily J. Smith (Respondent) Former General Securities Representative CRD No. 6287728 Pursuant to FINRA Rule 9216, Respondent Emily J. Smith submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.