SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 106546 / September 30, 2026 Admin. Proc. File No. 3-22557 In the Matter of the Application of JOSE L. CENTENO For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING FINRA suspended and fined associated person of member firm after finding that he falsely stated in firm records that he had reviewed exception reports. Held, FINRA’s findings of violations and imposition of sanctions are affirmed.