FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Member Firm CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BNY Mellon Capital Markets, LLC ("BNY" or "the Firm") 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. 2014042444001 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Moors & Cabot, Inc., Respondent Member Firm CRD No. 594 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Moors & Cabot, Inc. (“Moors” or the “Firm”) 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. 2019062875201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Micah W. Patterson, Respondent Investment Company and Variable Contracts Products Representative and Investment Company and Variable Contracts Products Principal CRD No. 5562392 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Micah W. Patterson