FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082083001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Stuart Kocen (Respondent) General Securities Principal CRD No. 2119036 Pursuant to FINRA Rule 9216, Respondent Bryan Stuart Kocen 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.2023079075201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thrivent Investment Management Inc. (Respondent) Member Firm CRD No. 18387 Pursuant to FINRA Rule 9216, Respondent Thrivent Investment Management Inc. (Thrivent) 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. 2020066382601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BofA Securities, Inc. (Respondent) Member Firm CRD No. 283942 Pursuant to FINRA Rule 9216, Respondent BofA Securities, Inc. (BofAS or the firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.