2020068758101 William Wright Jr. CRD 3048195 AWC va (2021-1632097255385).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068758101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Wright Jr. (Respondent) Former General Securities Representative CRD No. 3048195 Pursuant to FINRA Rule 9216, Respondent William Wright Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2020-011

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 1011(p) (“specified risk event”), to correct an inadvertent drafting error and clarify the “final regulatory actions” that are included in the “specified risk event” definition for purposes of the Rule 1000 Series (Member Application and Associated Person Registration).

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