2021073232401 Jae Hun Kim CRD 4620963 AWC vr (2024-1713572402320).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073232401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jae Hun Kim (Respondent) Former General Securities Principal; Former General Securities Representative; Former Registered Options Principal CRD No. 4620963 Pursuant to FINRA Rule 9216, Respondent Jae Hun Kim submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2023-010

Rule Filing Status: Approved:

Rule change to amend FINRA Rule 4210 (Margin Requirements) to provide margin relief for specified index option transactions, known as “protected options,” and to make other minor conforming revisions with regard to the margin relief.

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