Letter of Consent; Section 17(a) of the Exchange Act and Exchange Act Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers; BZX Rule 5.1 - Supervision, 18.1 - Adherence to Law, 18.2 - Conduct and Compliance with the Rules, 20.7 - Audit Trail, and 24.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information
Letter of Consent; Section 17(a) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-3 - Records to be Made by Certain Exchange Members, Brokers and Dealers; BZX Rules 3.2 - Violations Prohibited, 4.1 - Requirements, 5.1 - Written Procedures, and 11.21 - Input of Accurate Information
Letter of Consent; BZX Rules 3.2 - Violations Prohibited, 5.1 - Written Procedures, 18.1 - Adherence to Law, 18.2 - Conduct and Compliance with the Rules, 20.7 - Audit Trail, and 24.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information
Letter of Consent; BZX Rules 3.2 - Violations Prohibited and 5.1 - Written Procedures; Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access
Letter of Consent; BZX Rules 24.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 18.1 - Adherence to Law and 5.1 - Written Procedures; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers
Letter of Consent; Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access; BZX Rule 3.2 - Violations Prohibited and BZX Rule 5.1 - Written Procedures
Letter of Consent; BZX Rules 3.2 - Violations Prohibited; 5.1 - Written Procedures; and 11.9 - Order and Modifiers; and Rule 611 of Regulation NMS - Order Protection Rule, promulgated under the Securities Exchange Act of 1934
