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

FINRA Unscripted

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.

Find us: X / YouTube /LinkedIn / Facebook / E-mail