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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
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- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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CBOE, CBOE Stock Exchange: Registration, Qualification Deadline Extended
October 31, 2011
The 10/29/11 deadline for complying with the registration and qualification requirements under Rule 3.6A has been delayed by one week, to 11/5/11.
The new registration/qualification requirements for individual Trading Permit Holders and individual associated persons include the following registration categories: (i) PT - Proprietary Trader Registration (Series 56); (ii) CT - Proprietary Trader Compliance Officer Registration (Series 56, Series 14); and, (iii) TP - Proprietary Trader Principal Registration (Series 56, Series 24).
Failure to properly register and qualify by the new deadline, 11/5, may subject a Trading Permit Holder, TPH organization and/or individual associated person to disciplinary action.
For additional information, Trading Permit Holders should refer to CBOE Rule 3.6A and/or several rule filings that can be access from the Circulars referenced below.
For further information, go to: [CBOE, CBOE Stock Exch. Regy Circular 11-125, 10/28/11] and [CBOE, CBOE Stock Exch. RegCirc 11-124, 11/28/11]
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