Options Report Cards
Large Options Positions Report (LOPR) – Listed
FINRA is providing Listed LOPR exceptions from FINRA’s Listed LOPR Audit Exception Report. The LOPR Listed report contains three types of exceptions for exchange-traded options: The Effective Date, LOPR Reporting Exceptions and In-Concert Exceptions.
Large Options Positions Report (LOPR) – Over-the-Counter
FINRA is providing OTC LOPR exceptions from FINRA’s OTC LOPR Report. These exceptions represent OTC exceptions generated based on the following: Long/Short exception, In-Concert exception, Address exceptions, and Tax ID exceptions.
Cross Market Options Supervision: Potential Intrusion Report Card
FINRA is providing firms with lists of trades related to potentially fraudulent options transactions being facilitated by account takeover schemes as outlined in FINRA Regulatory Notice 20-32.