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.
21-01354(4).pdf
Order to Confirm
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.