A broker-dealer settled FINRA charges for failing to make accurate reports of OTC options to the Large Options Positions Reporting system.
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In an Information Notice, FINRA advised members that the Options Clearing Corporation issued the latest version of "Characteristics and Risks of Standardized Options" (also known as the "Options Disclosure Document"), which supersedes and replaces the prior document and related supplements.
A broker-dealer settled FINRA charges for failing to report, or to report accurately, options positions to the FINRA Large Options Positions Reporting system.
A broker-dealer settled FINRA charges for (i) deficient filing of Large Options Position Reporting system ("LOPR") and (ii) establishing certain options positions that exceeded OTC position limits.
A broker-dealer settled FINRA charges for misreporting the covered quantity of OTC short positions to the Large Options Position Report.