FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070547501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Ameritrade Clearing, Inc. (Respondent) Member Firm CRD No. 5633 Pursuant to FINRA Rule 9216, Respondent TD Ameritrade Clearing, Inc. (TDAC) 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. 2020066352101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kale KH Young (Respondent) General Securities Representative CRD No. 2270954 Pursuant to FINRA Rule 9216, Respondent Kale KH Young (Young) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.