FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067552001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TP ICAP Global Markets Americas LLC, formerly known as ICAP Securities USA LLC (Respondent) Member Firm CRD No. 2762 Pursuant to FINRA Rule 9216, Respondent TP ICAP Global Markets Americas LLC, formerly known as ICAP Securities USA LLC (ICAP), 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. 2023079691201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elba M. Nogueras (Respondent) Former General Securities Representative CRD No. 4459340 Pursuant to FINRA Rule 9216, Respondent Elba M. Nogueras submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.