FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056834001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wells Fargo Securities, LLC (Respondent) Member Firm CRD No. 126292 Pursuant to FINRA Rule 9216, Respondent Wells Fargo Securities, 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. 2021069495301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.