2020068693101 Victor Morales CRD 6552148 AWC lp (2022-1657930818378).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068693101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Victor A. Morales (Respondent) Former General Securities Representative CRD No. 6552148 Pursuant to FINRA Rule 9216, Respondent Victor A. Morales submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2021-029

Rule Filing Status:  Approved

Rule change to amend Rule 6732 to provide FINRA with authority to, subject to conditions, exempt transactions by a member alternative trading system (“ATS”) that meet specified criteria from the transaction reporting obligations of FINRA Rule 6730 (Transaction Reporting).

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