BNP Paribas Securities Corp. Fined by FINRA
11 July 2019
An AWC was issued in which the firm was censured and fined $100,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to report and failed to timely report to the FINRA/Nasdaq Trade Reporting Facility® (FNTRF) transactions effected pursuant to the exercise of an overthe-counter (OTC) option that required a special trade report modifier.
