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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A broker-dealer settled FINRA charges for failing to report, or to report accurately, options positions to the FINRA Large Options Positions Reporting system.
An investment adviser settled SEC charges for failing to file a Form 13-F, which requires quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.
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.