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BGC Group, Inc.

For the period ended Sep 30, 2026. Filed Nov 9, 2026.

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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Sep 30, 2026 · Filed Nov 9, 2026

BGC$10.97+4.7%Stored close · as of Nov 9, 2026

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ITEM 4. Controls and Procedures

Evaluation of Disclosure Controls and Procedures

BGC Group maintains disclosure controls and procedures that are designed to ensure that information required to be disclosed by BGC Group is recorded, processed, accumulated, summarized and communicated to its management, including its Co-Chief Executive Officers and its Chief Financial Officer, to allow timely decisions regarding required disclosures, and reported within the time periods specified in the SEC’s rules and forms. The Co-Chief Executive Officers and the Chief Financial Officer have performed an evaluation of the effectiveness of the design and operation of BGC Group’s disclosure controls and procedures as of September 30, 2026. Based on that evaluation, the Co-Chief Executive Officers and the Chief Financial Officer concluded that BGC Group’s disclosure controls and procedures were effective as of September 30, 2026.

Changes in Internal Control over Financial Reporting

As previously disclosed, BGC Group closed its acquisitions of Macro Hive and AMCOM on October 1, 2025 and December 31, 2025, respectively. BGC Group is currently integrating Macro Hive and AMCOM into its operations and internal control processes. SEC regulations allow companies to exclude acquisitions from their assessment of internal control over financial reporting during the first year following an acquisition. Management has excluded the acquired operations of Macro Hive and AMCOM from its assessment of the effectiveness of BGC Group’s internal control over financial reporting as of September 30, 2026. Macro Hive and AMCOM constituted 0.0% and 0.2% of total assets, 0.2% and 0.8% of net assets, and 0.2% and 0.4% of total revenues, respectively, as reflected in our unaudited Condensed Consolidated Financial Statements as of and for the three months ended September 30, 2026.

Other than the exclusion of Macro Hive and AMCOM as described above, there were no changes in our internal control over financial reporting during the quarter ended September 30, 2026, that have materially affected, or are reasonably likely to materially affect, our internal control over financial reporting.

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