FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062705801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SoFi Securities LLC (Respondent) Member Film CRD No. 151717 Pursuant to FINRA Rule 9216, Respondent SoFi Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the propose of proposing a settlement of the alleged rule violations described below.