FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067139101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Instinet, LLC (Respondent) Member Firm CRD No. 7897 Pursuant to FINRA Rule 9216, Respondent Instinet, LLC 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. 2020068197401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC 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. 2021069368801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CoreCap Investments, LLC (Respondent) Member Firm CRD No. 37068 Pursuant to FINRA Rule 9216, Respondent Corecap Investments, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 98102 / August 10, 2023 Admin. Proc. File No. 3-20317 In the Matter of the Application of SANDEEP VARMA For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION – REVIEW OF FINRA ACTION Associated person of FINRA member firm filed application for review of FINRA’s denial of his request to expunge information about a Letter of Acceptance, Waiver, and Consent from FINRA’s Central Registration Depository.