A broker-dealer settled FINRA charges for failing to report OTC options positions to the Large Options Position Reporting system.
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A broker-dealer settled FINRA charges for failing to accurately report over-the-counter options positions to the Large Options Position Reporting system and for related supervisory violations.
FINRA solicited comment on a proposal to require daily trade reporting for OTC options transactions.
A broker-dealer settled FINRA charges for failing to comply with Large Option Positions Reporting system requirements.
Public statements in response to a petition to review a recently approved FINRA rule change are due by May 10, 2022.