FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082013401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ceondre Colvin (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7329753 Pursuant to FINRA Rule 9216, Respondent Ceondre Colvin 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. 2023077032101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: tastytrade, Inc. (Respondent) Member Firm CRD No. 277027 Pursuant to FINRA Rule 9216, Respondent tastytrade, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.