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2021069219701 BNP Paribas Securities Corp. CRD 15794 AWC vrp.pdf

From October 2019 to April 2024, BNPS failed to report 842 over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system in 167,520 instances in violation of FINRA Rules 2360(b)(5) and 2010. In addition, from October 2019 to April 2025, BNPS failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 2360 in violation of FINRA Rules 3110 and 2010. For these violations, the firm agrees to a censure and a fine of $125,000...

MQFP

Military Qualified Financial Planner (MQFP)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization The Military Financial Readiness Objective
Qualification and Training Requirements
Prerequisites

MQFP candidates must have:

  • at least one of the following professional certifications or credentials: CFP, AFC, CFA, ChFC, CPA or a license to practice law;
  • military affiliation as a service member, veteran, military spouse or former military spouse;
  • a satisfactory service record and under no disciplinary actions by their chain of command, if a service member;
  • a service characterization of honorable, general or other than honorable, if a veteran;
  • no felony convictions for violent crime or financially related crimes; and
  • no revocation or suspension of other financial certifications or licenses.
Designation Training Requirements

None
Designation Exam Type

Online, closed-book final exam
Continuing Education Requirements

4 hours annually
Verification and Complaints
Online Designation Resource

Online at MQFP Credentialed Professionals
Investor Complaint Process

Submit complaints via email to [email protected].
Published List of Disciplined Designees

None

2024080120101 BNY Mellon Capital Markets, LLC CRD 17454 AWC vrp.pdf

From April 2022 through May 2024, in approximately 1,725 instances, BNY Mellon Capital Markets reported transactions to the MSRB’s Real Time Transaction Reporting System (RTRS) without the required special condition indicator for transactions in new issue municipal securities, in violation of MSRB Rule G-14. From April 2022 through at least May 2024, the firm violated MSRB Rule G-27 by failing to establish and maintain a supervisory system, including written procedures, reasonably designed to ensure compliance with the firm’s reporting obligation under MSRB Rule G-14.
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