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Rebecca Parrish Comment On Regulatory Notice 21-17

I strongly encourage FINRA to allow exams to last for 5-10 years rather than 2. For industry professionals who are also parents, many of them face losing their registrations if they choose to leave the workforce for a few years until their young children are schoolage. This predominantly affects women, as statistically it's most likely that the mother will stay home with the kids. Many other professions allow for licensing to be held as long as continuing education is current.

2019060701001 David Daniel Lopez CRD 2667397 AWC va (2021-1624062009435).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060701001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Daniel Lopez (Respondent) Former General Securities Principal CRD No. 2667397 Pursuant to FINRA Rule 9216, Respondent David Daniel Lopez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.