Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity

FINRA Unscripted

FINRA द्वारा प्रदान की गई सामग्री. एपिसोड, ग्राफिक्स और पॉडकास्ट विवरण सहित सभी पॉडकास्ट सामग्री FINRA या उनके पॉडकास्ट प्लेटफ़ॉर्म पार्टनर द्वारा सीधे अपलोड और प्रदान की जाती है। यदि आपको लगता है कि कोई आपकी अनुमति के बिना आपके कॉपीराइट किए गए कार्य का उपयोग कर रहा है, तो आप यहां बताई गई प्रक्रिया का पालन कर सकते हैं https://hi.player.fm/legal।

5M ago 23:39

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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 from Sam Draddy, a Senior Vice President of the Market Abuse Unit within FINRA's Market Regulation and Transparency Services, and Karen Braine, Vice President of the Insider Trading Detection Program, about how they connect trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.

Resources mentioned in this episode:

Episode 23: Insider Trading: Finding the Needle in the Haystack

Blog: FINRA Plays a Vital Role in Exposing Insider Trading

SEC Litigation Release: Sean R. Steward et al.

SEC Litigation Release: Andreas Bechtolsheim

SEC Litigation Release: Joseph C. Lewis et al.

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