{"id":17922,"date":"2025-03-14T04:12:33","date_gmt":"2025-03-13T19:12:33","guid":{"rendered":"https:\/\/www.sanctionlab.com\/?p=17922"},"modified":"2025-03-21T09:54:09","modified_gmt":"2025-03-21T00:54:09","slug":"%eb%a1%9c%eb%b9%88%ed%9b%84%eb%93%9c-%eb%98%90-%ea%b7%9c%ec%a0%9c-%ec%9c%84%eb%b0%98finra%ec%99%80-2975%eb%a7%8c%eb%8b%ac%eb%9f%ac-%eb%b2%8c%ea%b8%88-%ed%95%a9%ec%9d%98","status":"publish","type":"post","link":"https:\/\/www.sanctionlab.com\/?p=17922","title":{"rendered":"\ub85c\ube48\ud6c4\ub4dc, \ub610 \uaddc\uc81c \uc704\ubc18\u2026FINRA\uc640 2975\ub9cc\ub2ec\ub7ec \ubc8c\uae08 \ud569\uc758"},"content":{"rendered":"

| \uc790\uae08\uc138\ud0c1\ubc29\uc9c0\u00b7\uac70\ub798 \uac10\uc2dc \ubbf8\ud761\u2026SEC \uc774\uc5b4 \ub610 \ubc8c\uae08
\n| \uc554\ud638\ud654\ud3d0\u00b7\uc8fc\uc2dd \uac70\ub798 \ud655\ub300\uc5d0\ub3c4 \uaddc\uc81c \ub300\uc751 \ubd80\uc871<\/h3>\n

<\uac1c\uc694>
\n<\/strong>\ubbf8\uad6d \uae08\uc735 \uc11c\ube44\uc2a4 \ud68c\uc0ac \ub85c\ube48\ud6c4\ub4dc(Robinhood)\uac00 \uc9c0\ub09c 7\uc77c(\ud604\uc9c0\uc2dc\uac01) \ubbf8\uad6d \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uccad(FINRA)\uc640\uc758 \ud569\uc758\uae08\uc73c\ub85c 2975\ub9cc\ub2ec\ub7ec(\uc57d 431\uc5b5\uc6d0)\ub97c \uc9c0\ubd88\ud558\uae30\ub85c \uacb0\uc815\ud588\uc74c. FINRA\ub294 \ub85c\ube48\ud6c4\ub4dc\uac00 \uac10\ub3c5 \ubc0f \ucef4\ud50c\ub77c\uc774\uc5b8\uc2a4 \uad00\ud589\uc5d0\uc11c \uc5ec\ub7ec \ubb38\uc81c\ub97c \uc77c\uc73c\ucf30\ub2e4\uace0 \ud310\ub2e8\ud588\uace0, \uc774\ub85c \uc778\ud574 \uc790\uae08\uc138\ud0c1\ubc29\uc9c0(AML) \ubc0f \uace0\uac1d \ubcf4\ud638 \uc758\ubb34\ub97c \uc704\ubc18\ud588\ub2e4\uace0 \ubc1c\ud45c<\/a>\ud588\uc74c. \ud574\ub2f9 \ud569\uc758\ub294 \ub85c\ube48\ud6c4\ub4dc\uac00 1\uc6d4\uc5d0 \ubbf8 \uc99d\uad8c\uac70\ub798\uc704\uc6d0\ud68c(SEC)\uc640 4500\ub9cc\ub2ec\ub7ec(\uc57d 652\uc5b5\uc6d0) \uaddc\ubaa8\uc758 \ud569\uc758\ub97c \uccb4\uacb0\ud55c<\/a> \uc774\ud6c4 \ub450 \ub2ec \ub9cc\uc5d0 \uc774\ub904\uc9c4 \uac83\uc784.<\/p>\n

<\uad6c\uccb4\uc801 \ub0b4\uc6a9>
\n<\/strong>\ub85c\ube48\ud6c4\ub4dc\ub294 FINRA\uc758 \uc870\uc0ac \uacb0\uacfc\uc5d0 \ub300\ud574 \uc778\uc815\ub3c4 \ubd80\uc778\ub3c4 \ud558\uc9c0 \uc54a\uc740 \ucc44 2975\ub9cc\ub2ec\ub7ec(\uc57d 430\uc5b59800\ub9cc\uc6d0)\uc758 \ud569\uc758\uae08\uc744 \uc9c0\ubd88\ud558\uae30\ub85c \uacb0\uc815\ud588\uc74c. \uc774 \uae08\uc561\uc740 2600\ub9cc \ub2ec\ub7ec(\uc57d 376\uc5b5\uc6d0)\uc758 \ubbfc\uc0ac \ubc8c\uae08\uacfc 375\ub9cc \ub2ec\ub7ec(\uc57d 54\uc5b5\uc6d0)\uc758 \uace0\uac1d \ubc30\uc0c1\uae08\uc73c\ub85c \uad6c\uc131\ub3fc \uc788\uc74c.<\/p>\n

FINRA\ub294 \ub85c\ube48\ud6c4\ub4dc \uc790\ud68c\uc0ac\uc778 \ub85c\ube48\ud6c4\ub4dc \uc99d\uad8c(Robinhood Financial)\uacfc \ub85c\ube48\ud6c4\ub4dc \uae08\uc735(Robinhood Securities)\uc774 \uc2dc\uc7a5 \uc870\uc791, \uc758\uc2ec\uc2a4\ub7ec\uc6b4 \uc790\uae08 \uc774\ub3d9, \uace0\uac1d \uacc4\uc815 \ud574\ud0b9 \ub4f1\uc758 \ubb38\uc81c\ub97c \ud0d0\uc9c0\ud558\uace0 \ubcf4\uace0\ud558\ub294 \ub370 \uc2e4\ud328\ud588\ub2e4\uace0 \uc9c0\uc801\ud588\uc74c. \ub610\ud55c, \ub85c\ube48\ud6c4\ub4dc \uc99d\uad8c\uc774 \uace0\uac1d \uc2e0\uc6d0\uc744 \ucda9\ubd84\ud788 \ud655\uc778\ud558\uc9c0 \uc54a\uc740 \uc0c1\ud0dc\uc5d0\uc11c \uc218\ucc9c \uac1c\uc758 \uacc4\uc88c\ub97c \uac1c\uc124\ud55c \uc810\ub3c4 \ubb38\uc81c\ub85c \uc9c0\uc801\ub410\uc74c. \uc774\uc5d0 \ub530\ub77c \ub85c\ube48\ud6c4\ub4dc\ub294 \uc801\uc808\ud55c AML \ud504\ub85c\uadf8\ub7a8\uc744 \uad6c\ucd95\ud558\uc9c0 \ubabb\ud588\ub2e4\ub294 \ud3c9\uac00\ub97c \ubc1b\uc558\uc74c.<\/p>\n

\ubfd0\ub9cc \uc544\ub2c8\ub77c, \ub85c\ube48\ud6c4\ub4dc\ub294 \uc720\ub8cc \uc18c\uc15c \ubbf8\ub514\uc5b4 \uc778\ud50c\ub8e8\uc5b8\uc11c\uc758 \ud64d\ubcf4\uc131 \uac8c\uc2dc\ubb3c\uc744 \ud65c\uc6a9\ud558\uba74\uc11c \uc774\ub97c \uc801\uc808\ud558\uac8c \uac10\ub3c5 \ubc0f \ubcf4\uad00\ud558\uc9c0 \ubabb\ud588\uc74c. FINRA\ub294 \uc77c\ubd80 \uac8c\uc2dc\ubb3c\uc774 \uacf5\uc815\uc131\uacfc \uade0\ud615\uc744 \uac16\ucd94\uc9c0 \ubabb\ud558\uace0 \ud22c\uc790\uc790\ub4e4\uc5d0\uac8c \uc624\ud574\ub97c \ubd88\ub7ec\uc77c\uc73c\ud0ac \uc18c\uc9c0\uac00 \uc788\uc5c8\ub2e4\uace0 \uc9c0\uc801\ud588\uc74c.<\/p>\n

\uc774\ubc88 \ud569\uc758\ub294 \ub85c\ube48\ud6c4\ub4dc\uac00 1\uc6d4 13\uc77c \ubbf8\uad6d SEC\uc640 \uccb4\uacb0\ud55c 4500\ub9cc\ub2ec\ub7ec(\uc57d 652\uc5b5\uc6d0) \uaddc\ubaa8\uc758 \ud569\uc758 \uc774\ud6c4 \ubd88\uacfc \ub450 \ub2ec \ub9cc\uc5d0 \uc774\ub8e8\uc5b4\uc9c4 \uac83\uc784. \ub2f9\uc2dc \ub85c\ube48\ud6c4\ub4dc\ub294 \uace0\uac1d \uc804\uc790 \ucee4\ubba4\ub2c8\ucf00\uc774\uc158 \ubcf4\uad00 \ubc0f \uc720\uc9c0 \uc758\ubb34\ub97c \ud3ec\ud568\ud55c 10\uac1c \uc774\uc0c1\uc758 \uc99d\uad8c\ubc95 \uc870\ud56d\uc744 \uc704\ubc18\ud588\ub2e4\ub294 \ud610\uc758\ub97c \uc77c\ubd80 \uc778\uc815\ud55c \ubc14 \uc788\uc74c.<\/p>\n

\ud55c\ud3b8, \ub85c\ube48\ud6c4\ub4dc\ub294 2024\ub144 4\ubd84\uae30\uc5d0 \uc0ac\uc0c1 \ucd5c\ub300 \uc2e4\uc801\uc778 9\uc5b51600\ub9cc\ub2ec\ub7ec(\uc57d 1\uc8703270\uc5b5\uc6d0)\uc758 \uc21c\uc774\uc775\uc744 \uae30\ub85d\ud588\uc74c. \uc554\ud638\ud654\ud3d0 \uac70\ub798 \uc218\uc775\uc740 3\uc5b55800\ub9cc\ub2ec\ub7ec(\uc57d 5186\uc5b5\uc6d0)\ub85c, \uac70\ub798 \uc218\uc218\ub8cc \uae30\ubc18 \uc218\uc775(\uc57d 9735\uc5b5\uc6d0)\uc758 \uc808\ubc18 \uc774\uc0c1\uc744 \ucc28\uc9c0\ud588\uc73c\uba70, \uc804\ub144 \ub300\ube44 200% \uc99d\uac00\ud588\uc74c.<\/p>\n

<\uc2dc\uc0ac\uc810>
\n<\/strong>\ub85c\ube48\ud6c4\ub4dc\uac00 \uac10\ub3c5 \ubc0f \uaddc\uc81c \uc900\uc218\uc5d0 \ub300\ud55c \ubb38\uc81c\ub97c \uc9c0\uc18d\uc801\uc73c\ub85c \uc9c0\uc801\ubc1b\uace0 \uc788\uc74c. \ud22c\uc790\uc790 \ubcf4\ud638 \ubc0f AML \uc758\ubb34 \uc704\ubc18\uc774 \ubc18\ubcf5\uc801\uc73c\ub85c \ubc1c\uc0dd\ud588\uace0, \uc774\ub294 \ub354 \uac15\ub825\ud55c \uc81c\uc7ac\ub85c \uc774\uc5b4\uc84c\uc74c. \uc554\ud638\ud654\ud3d0 \uc2dc\uc7a5\uc774 \ube60\ub974\uac8c \uc131\uc7a5\ud558\uba74\uc11c \uaddc\uc81c\ub3c4 \uac15\ud654\ub418\ub294 \ucd94\uc138\uc774\ubbc0\ub85c, \uae08\uc735 \ud50c\ub7ab\ud3fc\ub4e4\uc740 \ub0b4\ubd80 \ud1b5\uc81c\uc640 \uac10\ub3c5 \uccb4\uacc4\ub97c \ub354\uc6b1 \ucca0\uc800\ud788 \uad6c\ucd95\ud574\uc57c \ud560 \ud544\uc694\uac00 \uc788\uc74c.<\/p>\n

(1\ub2ec\ub7ec=1449\uc6d0)<\/p>\n","protected":false},"excerpt":{"rendered":"

| \uc790\uae08\uc138\ud0c1\ubc29\uc9c0\u00b7\uac70\ub798 \uac10\uc2dc \ubbf8\ud761\u2026SEC \uc774\uc5b4 \ub610 \ubc8c\uae08 | \uc554\ud638\ud654\ud3d0\u00b7\uc8fc\uc2dd \uac70\ub798 \ud655\ub300\uc5d0\ub3c4 \uaddc\uc81c \ub300\uc751 \ubd80\uc871 <\uac1c\uc694> \ubbf8\uad6d \uae08\uc735 \uc11c\ube44\uc2a4 \ud68c\uc0ac \ub85c\ube48\ud6c4\ub4dc(Robinhood)\uac00 \uc9c0\ub09c 7\uc77c(\ud604\uc9c0\uc2dc\uac01) \ubbf8\uad6d \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uccad(FINRA)\uc640\uc758 \ud569\uc758\uae08\uc73c\ub85c 2975\ub9cc\ub2ec\ub7ec(\uc57d 431\uc5b5\uc6d0)\ub97c \uc9c0\ubd88\ud558\uae30\ub85c \uacb0\uc815\ud588\uc74c. FINRA\ub294 \ub85c\ube48\ud6c4\ub4dc\uac00 \uac10\ub3c5 \ubc0f \ucef4\ud50c\ub77c\uc774\uc5b8\uc2a4 \uad00\ud589\uc5d0\uc11c \uc5ec\ub7ec \ubb38\uc81c\ub97c \uc77c\uc73c\ucf30\ub2e4\uace0 \ud310\ub2e8\ud588\uace0, \uc774\ub85c \uc778\ud574 \uc790\uae08\uc138\ud0c1\ubc29\uc9c0(AML) \ubc0f \uace0\uac1d \ubcf4\ud638 \uc758\ubb34\ub97c \uc704\ubc18\ud588\ub2e4\uace0 \ubc1c\ud45c\ud588\uc74c. \ud574\ub2f9 \ud569\uc758\ub294 \ub85c\ube48\ud6c4\ub4dc\uac00 1\uc6d4\uc5d0 \ubbf8 \uc99d\uad8c\uac70\ub798\uc704\uc6d0\ud68c(SEC)\uc640 4500\ub9cc\ub2ec\ub7ec(\uc57d […]<\/p>\n","protected":false},"author":24,"featured_media":17969,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[607,612,1,8],"tags":[719,1567,1833,58,36],"class_list":{"0":"post-17922","1":"post","2":"type-post","3":"status-publish","4":"format-standard","5":"has-post-thumbnail","7":"category-ai-coin","8":"category-usa","9":"category-money-laundering","10":"category-compliance","11":"tag-aml","12":"tag-finra","13":"tag-1833","14":"tag-58","15":"tag-36"},"yoast_head":"\n\ub85c\ube48\ud6c4\ub4dc, \ub610 \uaddc\uc81c \uc704\ubc18\u2026FINRA\uc640 2975\ub9cc\ub2ec\ub7ec \ubc8c\uae08 \ud569\uc758 SanctionLab<\/title>\n<meta name=\"description\" content=\"\ubbf8\uad6d \uae08\uc735 \uc11c\ube44\uc2a4 \ud68c\uc0ac \ub85c\ube48\ud6c4\ub4dc\uac00 \uc9c0\ub09c 7\uc77c \ubbf8\uad6d \uae08\uc735\uc0b0\uc5c5\uaddc\uc81c\uccad\uc640\uc758 \ud569\uc758\uae08\uc73c\ub85c 2975\ub9cc\ub2ec\ub7ec\ub97c \uc9c0\ubd88\ud558\uae30\ub85c \uacb0\uc815\ud588\uc74c. 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