2023078213501 Nicole Bolton CRD 7279951 AWC gg (2024-1718410809557).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078213501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Nicole Bolton (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 7279951
Pursuant to FINRA Rule 9216, Respondent Nicole Bolton (Bolton) submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Registration Systems Foundation Training (Virtual)
Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.
Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.
Registration Systems Foundation Training (Virtual)
Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.
Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.