Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
2017054488401 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC gg (2024-1717892414676).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2017054488401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent)
Member Firm
CRD No. 7691
Pursuant to FINRA Rule 9216, Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2023079878401 Kris Min Lee-Kim CRD 6899858 AWC lp (2024-1717892414997).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079878401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kris Min Lee-Kim (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 6899858
Pursuant to FINRA Rule 9216, Respondent Kris Min Lee-Kim submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.