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.
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.
A brokerage firm settled NYSE Arca, Inc. charges for failing to report OTC options positions to the Large Options Position Reporting system.