FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073705601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SageTrader, LLC (Respondent) Member Firm CRD No. 137862 Pursuant to FINRA Rule 9216, Respondent SageTrader, 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. 2020065178201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BNA Wealth, Inc. (Respondent) Member Firm CRD No. 39326 Pursuant to FINRA Rule 9216, Respondent BNA Wealth, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.