2020068942001 Lisa Marie Stevenson CRD 6191058 AWC jlg (2021-1614903601835).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068942001
TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lisa Marie Stevenson (Respondent)
Former Investment Company and Variable Contracts Products Representative CRD No. 6191058 Pursuant to FINRA Rule 9216, Respondent Lisa Marie Stevenson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Cybersecurity: Incident Response Plans and Tabletop Exercises
FINRA's Virtual Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on a variety of topics including Cybersecurity and Anti-Money Laundering (AML) and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting. Participants gain valuable insights on compliance activities for immediate application in the workplace.