FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050947701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Citigroup Global Markets Inc., Respondent CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Citigroup Global Markets Inc. (“CGMI” 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

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056422401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward D. Jones & Co., L.P. ("Edward Jones") Respondent CRD No. 250 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward Jones submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations