# EDGAR Filing Document

**Accession Number:** 0001920289
**File Stem:** 0001920289-23-000001
**Filing Date:** 2023-2
**Character Count:** 19525
**Document Hash:** 2e247c573973865c911f4d6f32094c64
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001920289-23-000001.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001920289-23-000001

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230227

**EFFECTIVENESS DATE**: 20230223

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Fidelity Stock Transfer Solutions LLC
- **CENTRAL INDEX KEY:** 0001920289
- **IRS NUMBER:** 880601256

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06838
- **FILM NUMBER:** 23670595

**BUSINESS ADDRESS:**
- **STREET 1:** 245 SUMMER STREET
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02210
- **BUSINESS PHONE:** 4012926071

**MAIL ADDRESS:**
- **STREET 1:** 245 SUMMER STREET
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02210

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** Fidelity Stock Transfer Solutions LLC

**FINS Number:** 370197

**Address of principal office where transfer agent activities are performed:** 245 Summer Street, Boston, MA, 02210

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** 245 Summer Street, Mail Zone OSGN Attn: TA Compliance, Boston, MA, 02210

**Telephone Number:** 4012926071

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 499 Washington Blvd, Jersey City, NJ, 07310

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Other

**Description (if Other):** LLC

**Does any other person control the management or policies of the applicant?:** Yes

- **Controlling Entity Name:** Schuyler Laird

- **Agreement Description:** Head of Fidelity Stock Transfer Solutions

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name   | Relationship Start Date   | Title or Status          | Authority Description               |
|:---|:---|:---|:---|
| Amy DeVasto   | 03/17/2022                | Chief Compliance Officer | Oversee compliance with regulations |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** No

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc.

    - **Action Title:** In the Matter of FBS and FIISC

    - **Action Date:** 07/12/2012

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** As indicated in the letter of acceptance, waiver and consent No. 2008013791601, FINRA found that during the periodDecember 1, 2006 thru December 31, 2008 FBS and FIISC (1) violated NASD Rules 2210 and 2110 and FINRA Rule 201and that FIISC violated NASD Rule 2211, by distributing certain sales materials that were unbalanced and misleading,contained unwarranted statements and failed to provide a sound basis by which to evaluate the risks of the Fidelity UltraShort Bond Fund ("Fund"), and (2) failed to establish, maintain and enforce adequate supervisory systems, including systeof follow-up and review which were reasonably designed to achieve compliance with NASD and FINRA Rules; as a result,certain sales materials failed to provide an accurate and balanced presentation concerning the nature, holdings and risks an investment in the Fund. FBS and FIISC thereby violated NASD Rules 3010(A) and (B), 2110 and 2211(B)(1)(B) andFINRA Rule 2010.

    - **Disposition:** FBS and FIISC submitted and FINRA accepted a settlement in the form of an AWC, in which the firms neither admitted nodenied the findings. FBS and FIISC were censured and jointly and severally fined $375,000.

  - **Details #2:**

    - **Entity Name:** Fidelity Brokerage Services LLC

    - **Action Title:** In the Matter of Fidelity Brokerage Services LLC

    - **Action Date:** 11/06/2012

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** WITHOUT ADMITTING OR DENYING THE FINDINGS, FBS HAS AGREED TO PAY A $65,000 FINE IN CONNECTIONWITH FINRA'S ALLEGATIONS THAT FBS VIOLATED MSRB RULE G-17 AND G-30(A) IN 17 MUNICIPAL SECURITIESTRANSACTIONS BY PROVIDING A PRICE THAT WAS NOT FAIR AND REASONABLE, TAKING INTO CONSIDERATIOALL RELEVANT FACTORS, INCLUDING THE BEST JUDGMENT OF THE BROKER, DEALER OR MUNICIPALSECURITIES DEALER AS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THE TRANSACTIOAND OF ANY SECURITIES EXCHANGED OR TRADED IN CONNECTION WITH THE TRANSACTION, THE EXPENSEINVOLVED IN EFFECTING THE TRANSACTION, THE FACT THAT THE BROKER, DEALER, OR MUNICIPAL SECURITDEALER IS ENTITLED TO A PROFIT, AND THE TOTAL DOLLAR AMOUNT OF THE TRANSACTION.

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS ANTO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $65,000 FOR MSRB RULESVIOLATIONS.

  - **Details #3:**

    - **Entity Name:** National Financial Services LLC

    - **Action Title:** In the Matter of National Financial Services LLC

    - **Action Date:** 06/24/2013

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** AT VARIOUS TIMES BETWEEN MID-FEBRUARY AND JUNE 2009, IN VIOLATION OF NASD RULE 3010 AND FINRARULE 2010, NATIONAL FINANCIAL SERVICES, LLC ("NFS" OR THE "FIRM") FAILED TO ESTABLISH, ENFORCE ANDUPDATES ITS WRITTEN SUPERVISORY PROCEDURES IN CONNECTION WITH MARKING ITS FIXED INCOMEINVENTORY DAILY AND ACCURATE MARKING TO MARKET FIXED INCOME SECURITIES HELD IN INVENTORY.AMONG OTHER THINGS, FROM MID-FEBRUARY 2009 UNTIL MAY 2009, THE FIRM FAILED TO MONITOR FIXEDINCOME TRADERS' MARKS FOR POTENTIAL MISMARKING BY COMPARING TRADERS' MARKS AGAINST THIRDPARTY VENDOR MARKS AS REQUIRED BY THE WSPS.

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS ANTO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED AND FINED $250,000.

  - **Details #4:**

    - **Entity Name:** National Financial Services LLC

    - **Action Title:** In the Matter of National Financial Services LLC

    - **Action Date:** 11/01/2013

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** NFS SUBMITTED, AND FINRA ACCEPTED, A SETTLEMENT IN THE FORM OF AN ACCEPTANCE, WAIVER ANDCONSENT ("AWC") IN WHICH THE FIRM NEITHER ADMITTED OR DENIED THE FINDINGS. THE AWC ALLEGED THAT DURING THE 3RD QUARTER 2012 NFS FAILED TO TIMELY REPORT TRADES IN TRACE-ELIGIBLE SECURITIZEDPRODUCTS WITHIN THE TIME REQUIRED IN VIOLATION OF FINRA RULES 6730(A) AND 2010.

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS ANTO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $7,500 WHICH WAS PAID ON11/19/2013

  - **Details #5:**

    - **Entity Name:** National Financial Services LLC

    - **Action Title:** In the Matter of National Financial Services LLC

    - **Action Date:** 11/13/2013

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBEDSANCTIONS ANTO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED$60,000. FINRA ACKNOWLEDGETHAT THE FIRM SELF-REPORTED THE ISSUES DESCRIBED HEREINAND UNDERTOOK AN INTERNAL REVIEW OFITS SUPERVISORY POLICIES, PROCEDURES, ANDSYSTEMS RELATING TO THESE ISSUES. THE SANCTIONSBELOW REFLECT THE CREDIT THAT THEFIRM HAS BEEN GIVEN FOR SELF-REPORTING THESE ISSUES ANDPROVIDING INFORMATIONOBTAINED AS A RESULT OF ITS INTERNAL INVESTIGATION TO FINRA

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBEDSANCTIONS ANTO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED$60,000

  - **Details #6:**

    - **Entity Name:** Fidelity Brokerage Services LLC

    - **Action Title:** In the Matter of Fidelity Brokerage Services LLC

    - **Action Date:** 11/13/2013

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBEDSANCTIONS ANTO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED$60,000. FINRA ACKNOWLEDGETHAT THE FIRM SELF-REPORTED THE ISSUES DESCRIBED HEREINAND UNDERTOOK AN INTERNAL REVIEW OFITS SUPERVISORY POLICIES, PROCEDURES, ANDSYSTEMS RELATING TO THESE ISSUES. THE SANCTIONSBELOW REFLECT THE CREDIT THAT THEFIRM HAS BEEN GIVEN FOR SELF-REPORTING THESE ISSUES ANDPROVIDING INFORMATIONOBTAINED AS A RESULT OF ITS INTERNAL INVESTIGATION TO FINRA.

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBEDSANCTIONS ANTO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED$60,000

  - **Details #7:**

    - **Entity Name:** Fidelity Brokerage Services LLC

    - **Action Title:** In the Matter of Fidelity Brokerage Services LLC

    - **Action Date:** 11/26/2013

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** FINRA alleged that in seven transactions for or with a customer, FBS violated FINRA Rule 2010 and NASD Rule 2320 byfailing to use reasonable diligence to ascertain the best inter-dealer market and by failing to provide a price to the customethat was as favorable as possible under prevailing market conditions.

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS ANTO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $60,000.

  - **Details #8:**

    - **Entity Name:** NATIONAL FINANCIAL SERVICES LLC

    - **Action Title:** IN THE MATTER OF NATIONAL FINANCIAL SERVICES LLC

    - **Action Date:** 05/02/2014

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** DURING THE PERIOD JAN 1, 2009 THROUGH JULY 31, 2011 (TRADE REPORTING REVIEW PERIOD) AND ON TRADDATES MAY 8 AND 9, 2012 (TMMS REVIEW PERIOD), NFS FAILED TO REPORT TO THE FINRA AND NASDAQ TRADREPORTING FACILITY THE CORRECT SYMBOL INDICATING THE CAPACITY IN WHICH THE FIRM EXECUTED 93TRANSACTIONS DURING THE TRADE REPORTING REVIEW PERIOD AND 2O TRANSACTIONS DURING THE TMM REVIEW PERIOD IDENTIFIED FROM A SAMPLE OF TRANSACTIONS REVIEWED. THE FIRM REPORTED PRINCIPACAPACITY WHEN IT ACTED AS AGENT IN VIOLATION OF FINRA RULE 7230A.

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, NFS ENTERED INTO A SETTLEMENT WITH FINRA IN THFORM OF AN ACCEPTANCE, WAIVER AND CONSENT (AWC) AND AGREED TO THE FINDINGS AND TO THEIMPOSITION OF A CENSURE AND $55,000 FINE.

  - **Details #9:**

    - **Entity Name:** NATIONAL FINANCIAL SERVICES LLC

    - **Action Title:** IN THE MATTER OF NATIONAL FINANCIAL SERVICES LLC

    - **Action Date:** 05/02/2014

    - **Court/Body Name and Location:** NASDAQ

    - **Action Description:** THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIODJANUARY 1, 2009 THROUGH JULY 31, 2011 IT ENTERED ORDERS INTO THE NASDAQ MARKET CENTER THATFAILED TO INDICATE THE CORRECT CAPACITY IDENTIFIED FROM A SAMPLE OF TRANSACTIONS REVIEWED. FOTHESE ORDERS, THE FIRM REPORTED A PRINCIPAL CAPACITY WHEN IT ACTED AS AGENT. AS A RESULT, THEFIRM VIOLATED NASDAQ RULE 4611(A)(6).

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, NFS ENTERED INTO A SETTLEMENT WITH FINRA IN THFORM OF AN ACCEPTANCE, WAIVER AND CONSENT (AWC) AND AGREED TO THE FINDINGS AND TO THEIMPOSITION OF A CENSURE AND $10,000 FINE.

  - **Details #10:**

    - **Entity Name:** FIDELITY BROKERAGE SERVICES LLC

    - **Action Title:** In the Matter of FIDELITY BROKERAGE SERVICES LLC

    - **Action Date:** 01/16/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT, AT VARIOUS TIMES FROM JANUARY 2006 TO SEPTEMBER 2013, EXCESS FEES WERCHARGED TO 20,633 CUSTOMER ACCOUNTS, TOTALING APPROXIMATELY $2.4 MILLION.

    - **Disposition:** a. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM IS CENSURED AND FINED $350,000. INDETERMINING THE APPROPRIATE SANCTIONS, FINRA CONSIDERED THE FIRM'S INTERNAL REVIEW THROUGHWHICH IT SELF-IDENTIFIED THE VIOLATIONS ADDRESSED IN THIS AWC.

  - **Details #11:**

    - **Entity Name:** NATIONAL FINANCIAL SERVICES LLC

    - **Action Title:** IN THE MATTER OF NATIONAL FINANCIAL SERVICES LLC

    - **Action Date:** 08/18/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTION AND TO THE ENTOF FINDINGS THAT IT INCORRECTLY DESIGNATED THE TAPE ELIGIBLE FLAG OF "R" FOR REPORTS TO THEFINRA/NASDAQ TRADE REPORTING FACILITY (TRF) AND REPORTED THE INCORRECT RELATED MARKET CENTINDICATOR CODE IN REPORTS TO THE FINRA/NASDAQ TRF.

    - **Disposition:** WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTION OF A FINE OF$5,000

  - **Details #12:**

    - **Entity Name:** NATIONAL FINANCIAL SERVICES LLC

    - **Action Title:** IN THE MATTER OF NATIONAL FINANCIAL SERVICES LLC

    - **Action Date:** 08/18/2015

    - **Court/Body Name and Location:** NASDAQ

    - **Action Description:** FINRA, ON BEHALF OF CBOE, FOUND THAT NATIONAL FINANCIAL SERVICES LLC FAILED TO IMPLEMENT,MAINTAIN, AND ENFORCE A WRITTEN PROCEDURE PROVIDING THE STEPS THE FIRM SHOULD TAKE IN THEEVENT AN OVERAGE WAS IDENTIFIED SO THAT THE FIRM COULD TAKE PROMPT ACTION TO BRING A POSITIOINTO COMPLIANCE AND FOR FAILING TO HAVE A PROCESS TO PREVENT THE EXECUTION OF OPTION TRADESACCOUNT IN WHICH THE FIRM HAD AN INTEREST THAT WOULD RESULT IN THE BREACH OF THE POSITION LIMAS A RESULT, CBOE FOUND THAT NATIONAL FINANCIAL SERVICES LLC VIOLATED CBOE RULES 4.11 AND 4.24.

    - **Disposition:** NATIONAL FINANCIAL SERVICES LLC, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THEIMPOSITION OF THE FOLLOWING SANCTIONS: (1) CENSURE, AND (2) A MONETARY FINE IN THE AMOUNT OF$7,500 PAID ON OCTOBER 6, 2020.

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** Yes

  - **Details #1:**

    - **Entity Name:** FMR LLC

    - **Action Title:** IN THE MATTER OF FMR LLC

    - **Action Date:** 04/21/2014

    - **Court/Body Name and Location:** HELLENIC REPUBLIC CAPTIAL MARKET COMMISSION (THE "HCMC")

    - **Action Description:** FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC REPUBLCAPTIAL MARKET COMMISSION (THE "HCMC") THAT THE HCMC WAS ISSUING A FINE, EQUIVALENT TOAPPROXIMATELY $6,300, AGAINST FMR LLC BASED ON A FINDING THAT, IN 2007, FMR LLC, FOR SHARES HELD CLIENT FUNDS AND ACCOUNTS MANAGED BY FMR LLC'S INVESTMENT ADVISORY SUBSIDIARIES, FAILED TOTIMELY DISCLOSE A LARGE SHAREHOLDING IN A GREEK LISTED ISSUER TO THE HCMC AND TO THE ISSUER, PROVIDED FOR BY CERTAIN ARTICLES OF LASW 3556/2007.

    - **Disposition:** ON APRIL 21, 2014,FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVEDNOTICE FROM THEHELLENIC REPUBLIC CAPITAL MARKET COMMISSION (THE "HCMC") THAT THEHCMC WAS ISSUING A FINE,EQUIVALENT TO APPROXIMATELY $6,300.

  - **Details #2:**

    - **Entity Name:** FMR LLC

    - **Action Title:** In the matter of FMR LLC

    - **Action Date:** 02/24/2014

    - **Court/Body Name and Location:** SWEDEN'S FINANSINSKEPTIONEN (THE "SFSA")

    - **Action Description:** ON FEBRUARY 24, 2014, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROMSWEDEN'S FINANSINSKEPTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TOAPPROXIMATELY US$9,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE INSHAREHOLDINGS IN A SWEDISH CORPORATION, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGEBY FMR LLC'S INVESTMENT ADVISORY SUBSIDIARIES, HAD BEEN MADE FOUR DAYS LATE. THE LATENOTIFICATION WAS A RESULT OF INCORRECT DATA THAT HAD BEEN SUPPLIED TO FMR LLC'S FILING AGENT BTHIRD-PARTY VENDOR. FMR LLC IS APPEALING THE SFSA'S DECISION

    - **Disposition:** FMR LLC SUBMITTED AN APPEAL TO THE ADMINISTRATIVE COURT ON MARCH 13, 2014 AND IS AWAITINGFURTHER ACTION BY THE COURT

  - **Details #3:**

    - **Entity Name:** FMR LLC

    - **Action Title:** IN THE MATTER OF FMR LLC

    - **Action Date:** 04/14/2014

    - **Court/Body Name and Location:** LUXEMBOURG'S COMMISSION DE SURVEILLANCE DUE SECTEUR FINANCIER (THE CSSF)

    - **Action Description:** LUXEMBOURG'S COMMISSION DE SURVEILLANCE DUE SECTEUR FINANCIER (THE "CSSF") WAS ISSUING ANADMINSTRATIVE FINE OF APPROXIMATELY US$5,000 AGAINST FMR LLC BASED ON THE FINDINGS THAT FMR LFOR SHARES HELD BY CLIENT FUNDS AND ACCOUNTS MANAGED BY FMR LLC'S INVESTMENT ADVISORYSUBSIDIARIES, FAILED TIMELY TO COMPLY WITH DEADLINES FOR THE NOTIFICATION OF MAJOR SHARHOLDININ A LUXEMBOURGE BASED COMPANY PROVIDED FOR BY ARTICLE 11(2) OF THE TRANSPARENCY LAW.

    - **Disposition:** ON APRIL 14, 2014, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPNAY, RECEIVED NOTICE FROMLUXEMBOURG'S COMMISSION DE SURVEILLANCE DUE SECTEUR FINANCIER (THE "CSSF") THAT THE CSSF WAISSUING AN ADMINISTRATIVE FINE OF APPROXIMATELY US$5000 AGAINST FMR LLC

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** Yes

  - **Details #1:**

    - **Entity Name:** Fidelity Brokerage Services LLC

    - **Action Title:** IN THE MATTER OF FIDELITY BROKERAGE SERVICES LLC

    - **Action Date:** 01/26/2022

    - **Court/Body Name and Location:** Massachusetts Securities Division

    - **Action Description:** E-2021-0030

    - **Disposition:** CENSURE;HIRE INDEPENDENT COMPLIANCE CONSULTANT TO REVIEW POLICIES & RECOMMEND REVISIONS;ADMINISTRATIVE FINE.

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Amy DeVasto

**Title:** Chief Compliance Officer

**Date:** 02/13/2023

**Phone Number:** 4012926017