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FINRA fines Deutsche Bank Securities $4.1M over failure to report data on options positions

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FINRA fines Deutsche Bank Securities $4.1M over failure to report data on options positions

Deutsche BankAG unit Deutsche BankSecurities Inc. will pay $4.1 million for failing to timely reportdata on millions of options positions, according to a March 28 documentreleased by FINRA.

Large options positions report data is used extensively byFINRA and self-regulatory organizations to identity holders of large optionpositions who may be, among other things, attempting to manipulate the market orotherwise violate securities rules and regulations.

A FINRA investigation found that during a sampled periodbetween January 2010 and March 2015, Deutsche Bank Securities failed to report,or failed to accurately report, an unknown but significant number ofconventional options positions to the OptionsClearing Corp.'s large options positions report. Additionally, thecompany failed to maintain an adequate system of supervision, including systemsof follow-up and review, to comply with rules governing the reporting ofoptions positions to the large options positions report system and compliancewith position limits.

Deutsche Bank Securities did not admit to or deny FINRA'sfindings.