Monitoring for Insider Trading and Understanding FINRA’s Regulatory Tip Process

During this free, 60-minute webinar, FINRA senior staff discuss handling fraud-related matters. From insider-trading inquiries to investigations of customer complaints and whistleblower tips, you’ll hear examples and cases from FINRA’s Office of Fraud Detection and Market Intelligence. Panelists address a range of topics, including:

  • what triggers an insider-trading investigation;
  • insider trading provision of FINRA’s new supervision rule (3110 (d));
  • suggestions for responding to regulatory inquiries;
  • “red flags” for identifying potential insider trading and other fraud; and
  • an overview of the regulatory tip and intelligence gathering process.

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Panelists:

  • Tony Cavallaro, Sr. Vice President, Central Review Group
  • Sam Draddy, Sr. Vice President, Office of Fraud Detection & Market Intelligence
  • Chip Jones, Sr. Vice President, Member Relations and Education (moderator)
  • Joe Ozag, Senior Director, Office of Whistleblower

FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.

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