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NEW YORK STOCK EXCHANGE LLC LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020121500013TO:New York Stock Exchange LUCRE:Mullett Person Financial Services LLC, Respondent CRD No. 28196On one known
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Obtain the necessary forms and documents from FINRA's website or office.
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Fill out all required information accurately and completely.
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Include any supporting documents or evidence as needed.
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Review the completed form to ensure accuracy and compliance with FINRA guidelines.
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Submit the form and any additional documents to FINRA for review and processing.

Who needs finra letter of acceptance?

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Individuals or firms who are seeking approval to participate in the securities industry or who are facing a regulatory investigation may need a FINRA letter of acceptance.
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Finra Letter of Acceptance is a written agreement between a respondent and Finra that settles a disciplinary action.
Individuals or firms that are involved in a disciplinary action with Finra are required to file a Finra Letter of Acceptance.
Finra Letter of Acceptance should be filled out accurately and completely, following the instructions provided by Finra.
The purpose of Finra Letter of Acceptance is to settle disciplinary actions in a transparent and efficient manner.
Finra Letter of Acceptance must include details of the disciplinary action, the respondent's acceptance of the charges, and any agreed-upon sanctions or penalties.
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