FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079735101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elizabeth Bautista (Respondent) Former General Securities Principal CRD No. 5245573 Pursuant to FINRA Rule 9216, Respondent Elizabeth Bautista submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.