A broker-dealer settled FINRA charges for failing to make accurate reports of OTC options to the Large Options Positions Reporting system.

The SEC set a comment deadline of August 9, 2023 on a proposal to amend FINRA margin requirements for specified index option transactions.

FINRA proposed rule amendments to provide margin relief for specified index option transactions and warrant positions.

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.