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2021072601101 Joseph Michael Cucinotta, Jr. CRD 3272604 AWC gg (2024-1712881224257).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072601101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Joseph Michael Cucinotta, Jr. (Respondent)
General Securities Representative
CRD No. 3272604
Pursuant to FINRA Rule 9216, Respondent Joseph Michael Cucinotta, Jr. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
19-02755(2).pdf
Order to Confirm
SR-FINRA-2023-015
Rule Filing Status: Approved
Rule change to (1) amend FINRA Rules 6710 and 6750 to provide that FINRA will disseminate information on individual transactions in U.S. Treasury Securities that are On-the-Run Nominal Coupons reported to FINRA’s Trade Reporting and Compliance Engine (“TRACE”) on an end-of-day basis with specified dissemination caps for large trades, and (2) amend FINRA Rule 7730 to include U.S. Treasury Securities within the existing fee structure for end-of-day and historic TRACE data.