Zhong Guo Jing Ji Wang·2025-07-09 06:15Core Points - The Chongqing Securities Regulatory Bureau issued a warning letter to Xiong Jiaoyan for unauthorized stock sales and falsifying transaction records during her tenure at a securities firm [1][3][4] - Xiong's actions violated specific provisions of the Securities Brokerage Business Management Measures, particularly regarding unauthorized trading and record falsification [2][3] - The warning letter will be recorded in the securities and futures market integrity archive, emphasizing the need for compliance with securities laws and regulations [4] Regulatory Framework - The Securities Brokerage Business Management Measures prohibit securities firms and their employees from engaging in unauthorized trading, accepting commissions without proper authorization, and falsifying transaction records [2] - Administrative measures for violations include issuing warning letters, requiring corrections, and conducting regulatory discussions [2][4] - Xiong has the right to appeal the administrative measures within 60 days or file a lawsuit within 6 months [4]