Thomas Marcone Comment On Regulatory Notice 25-04


What specific FINRA rules should be a focus for modernization based on their economic costs and benefits; changes in markets, products, services, or technology; or otherwise? What groups of FINRA requirements should be a focus? Please include FINRA rules that may be mandated or derived from a statutory or other non-FINRA regulatory requirement applicable to FINRA or its members. 


Rules 3110, 3120, 3130, 3210, 3270, 3280, 1010, 4590, 1210, 1220, and 1230 should be in focus. 


2022073296301 Anthony Neil Wenham CRD 4531762 Order Accepting Offer of Settlement vr (2025-1745713199879).pdf

It has been determined that the Offer be accepted and that findings be made as follows: Between June 13, 2022, and August 26, 2022 (relevant period), while he was associated with Cantor Fitzgerald & Co. (Cantor), Respondent Anthony Neil Wenham recorded or caused to be recorded 440 inaccurate marks for four forward start reverse repurchase positions (Positions 1-4) in his trading book at the firm, thereby concealing unrealized losses. By reason of the foregoing, Wenham falsified firm records and therefore violated FINRA Rule 2010....
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