Search for: "CBOE Exchange, Inc."
Results 21 - 40
of 44
Sorted by Relevance
|
Sort by Date
2 Aug 2017, 3:15 pm
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
28 Jun 2017, 7:11 am
Brad Katsuyama, CEO of the IEX Group, Inc. and Investors Exchange LLC, agreed that exchanges have conflicts of interest related to selling market data. [read post]
14 Mar 2007, 9:54 pm
Chicago Board Options Exchange, Inc., et al. v. [read post]
2 Feb 2018, 7:11 am
(CME) and the CBOE Futures Exchange, LLC over the self-certification and listing of Bitcoin related futures products in early December, 2017. [read post]
16 Apr 2014, 7:10 am
Options Exch, Inc. v. [read post]
15 Aug 2018, 5:56 am
National Securities Corporation is registered with the SEC and three self-regulatory organizations: Nasdaq, Cboe BZX Exchanged, Inc., and the Financial Industry Regulatory Authority (FINRA) – and it is with the latter agency that the company has come under intense scrutiny over the last couple of decades. [read post]
3 Feb 2020, 6:14 am
District Judge Manish Shah in Chicago found no proof that Cboe Global Markets Inc. intended to defraud investors by letting the “John Doe” traders manipulate options and futures tied to the fear gauge, known as the VIX, to generate higher transaction fees. [read post]
1 Dec 2017, 11:54 am
" He described the new bitcoin futures products being proposed by the Chicago Mercantile Exchange Inc. [read post]
8 Jan 2018, 2:15 pm
” The Statement is of particular significance because on December 1, 2017, the Chicago Mercantile Exchange Inc. [read post]
20 Nov 2012, 1:08 pm
CBOE Sues International Securities Exchange Over Patents, Bloomberg BusinessWeek (11/13/12) A.K. v. [read post]
20 Nov 2012, 1:08 pm
CBOE Sues International Securities Exchange Over Patents, Bloomberg BusinessWeek (11/13/12) A.K. v. [read post]
10 Oct 2022, 5:11 am
The following comments with respect to SRO matters may also have been affected:SR-BOX-2022-08: BOX Exchange LLC; Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 12140 (Imposition of Fines for Minor Rule Violations), to Expand the List of Violations Eligible for Disposition under the Exchange's Minor Rule Violation Plan and to Update the Fine Schedule Applicable to Minor Violations of Certain Rules.SR-CboeBZX-2021-083: Cboe BZX Exchange,… [read post]
4 Jun 2007, 1:08 am
Chicago Board Options Exchange Inc. [read post]
26 Aug 2008, 9:34 am
Last year, Van der Moolen Holding said it would shut its U.S. specialist activities to focus on brokerage and trading activities at the CBOE Stock Exchange. [read post]
17 Jan 2017, 8:08 am
Unfortunately for investors in May 2016, Citigroup Inc. early redeemed its C-Tracks Exchange-Traded Notes Based on the Citi Volatility Index Total Return Due November 12, 2020.The last day of trading for CVOL was May 23, 2016. [read post]
19 Dec 2011, 2:26 am
Luparello, MF Global was not completely candid with the Chicago Board of Options Exchange ("CBOE") and FINRA. [read post]
1 Jun 2020, 5:01 am
Menton’s FINRA Brokercheck Report also shows that he was sanctioned by the Chicago Board Options Exchange (CBOE) in 1995. [read post]
1 Jun 2020, 5:01 am
Menton’s FINRA Brokercheck Report also shows that he was sanctioned by the Chicago Board Options Exchange (CBOE) in 1995. [read post]
2 Aug 2023, 9:33 pm
Cboe Futures Exchange, LLC v. [read post]
30 Dec 2015, 8:34 am
Bader entered the securities industry in 2011 with brokerage firm Brookstone Securities, Inc. [read post]
