FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014041809401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Interactive Brokers LLC (Respondent) Member Firm CRD No. 36418 Pursuant to FINRA Rule 9216, Respondent Interactive Brokers LLC (Interactive) 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. 2021070397401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mitchell S. Morrison (Respondent) Former General Securities Representative CRD No. 728484 Pursuant to FINRA Rule 9216, Respondent Mitchell S. Morrison submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.