In the Matter of BNP Paribas Securities Corp.

BNP Paribas Securities Corp. allegedly failed to report over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system. BNP Paribas Securities Corp. allegedly failed to establish and maintain a supervisory system, including WSPs, reasonably designed to achieve compliance with FINRA Rule 2360(b)(5).

Summary generated from official Financial Industry Regulatory Authority press release