FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057165801 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. 2020065435401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christine A. Warner (Respondent), General Securities Principal CRD No. 4001584 Pursuant to FINRA Rule 9216, Respondent Christine A. Warner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.