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Broker-Dealer Settles FINRA Trade Reporting Charges Relating to Exercise of OTC Options

A broker-dealer settled FINRA charges of failing to report transactions arising from the exercise of OTC options, and of related supervisory violations.

To settle the charges, the firm agreed to a censure and a fine of $100,000.

Primary Sources

  1. FINRA Letter of Acceptance, Waiver and Consent: BNP Paribas Securities Corp.

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Tags

Regulated Activities
Trade Reporting
Regulated Entities
Broker-Dealers
Regulated Products
Options
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA