FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065116601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CICC US Securities, Inc. Member Firm CRD No. 143221 Pursuant to FINRA Rule 9216, Respondent CICC US Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.