FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081402501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rod C. Dayton (Respondent) General Securities Representative CRD No. 729831 Pursuant to FINRA Rule 9216, Respondent Rod C. Dayton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.