Search for: "CBOE Exchange, Inc."
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2 Aug 2023, 9:33 pm
Cboe Futures Exchange, LLC 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]
21 Jan 2021, 7:12 am
Typically, these products are tied to the CBOE volatility index or VIX. [read post]
16 Nov 2020, 7:20 am
Edwards & Company Inc., Royal Alliance Associates Inc., Securities America Advisors Inc., and Summit Financial Group Inc. [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]
14 Mar 2020, 5:38 pm
Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by Cboe Exchange, Inc. to facilitate the continued operation of Cboe's options exchange in light of Cboe's decision to temporarily suspend…Read the Full Press ReleaseHave a securities law question? [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]
8 Feb 2019, 4:22 am
But if big players are able to direct trades its way, then “NYSE, Nasdaq, and Cboe will be ... [read post]
28 Aug 2018, 11:10 am
” On August 23, 2018, the SEC notified NYSE Group, Inc. and Cboe Global Markets that it will review the Orders and they are stayed until the SEC orders otherwise. [read post]
20 Aug 2018, 5:00 am
The case arose from allegations by the regulatory unit of the Chicago Board Options Exchange, Inc. that ABN AMRO Clearing Chicago LLC violated the SEC’s market access rule. [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]
27 Jul 2018, 8:59 am
Securities and Exchange Commission (“SEC”) denied an application by the CBOE Bats BZX Exchange, Inc., (“BZX”) seeking to list and trade shares of the Winklevoss Bitcoin Trust. [read post]
15 Apr 2018, 6:10 am
In the Matter of Instinet, LLC, Respondent, (FINRAAWC 2013036836015, April 12, 2018)http://www.finra.org/sites/default/files/instinet_awc_041218.pdf The Financial Industry Regulatory Authority, BOX Options Exchange LLC; the CBOE BZX Exchange, Inc.; Investors Exchange LLC; the NASDAQ Stock Market LLC; and the New York Stock Exchange; and certain of their affiliated Exchanges censured and imposed a $1.575 million fine on Instinet, LLC… [read post]
2 Apr 2018, 5:00 am
Cboe Global Markets, Inc. [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]
8 Jan 2018, 2:15 pm
” The Statement is of particular significance because on December 1, 2017, the Chicago Mercantile Exchange Inc. [read post]
15 Dec 2017, 9:01 am
An increased interest in this asset class from fund managers, financial institutions and various government leaders and regulators throughout the world has led to an exponential growth of cryptocurrency investments, the CFTC’s approval of two exchanges to trade Bitcoin futures contracts has increased attention on the asset class. [read post]
15 Dec 2017, 9:01 am
An increased interest in this asset class from fund managers, financial institutions and various government leaders and regulators throughout the world has led to an exponential growth of cryptocurrency investments, the CFTC’s approval of two exchanges to trade Bitcoin futures contracts has increased attention on the asset class. [read post]
11 Dec 2017, 6:46 am
On December 1, 2017, the CFTC announced that the Chicago Mercantile Exchange Inc. [read post]
