A brokerage firm settled NYSE Arca, Inc. charges for failing to report OTC options positions to the Large Options Position Reporting system.
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The Cboe BZX Exchange charged a France-based custodian bank with failure to comply with Large Options Position Report system requirements.
A broker-dealer settled Nasdaq Stock Market LLC charges for failure to maintain "a continuous two-sided trading interest during regular market hours at prices within certain percentages away from the National Best Bid or Offer."