FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074465001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Quang V. Mai (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6937503 Pursuant to FINRA Rule 9216, Respondent Quang V. Mai submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.