FINRA Fines BNP Paribas Securities Corp $125,000

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BNP Paribas Securities Corp agreed to a $125,000 fine in a FINRA settlement for failing to report 842 OTC options positions to the Large Options Positions Reporting (LOPR) system in 167,520 instances from October 2019 to April 2024, violating FINRA Rules. From October 2019 to April 2025, the firm also failed to maintain adequate supervisory systems and written procedures for LOPR compliance, again breaching FINRA Rules. 

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