FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077489001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tracy Lynn Morton (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4880691 Pursuant to FINRA Rule 9216, Respondent Tracy Lynn Morton (Morton) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.