FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057937201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven R. Perlstein (Respondent) General Securities Principal Financial and Operations Principal CRD No. 2206197 Pursuant to FINRA Rule 9216. Respondent Steven R. Perlstein submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.