CBOE Trading Permit Holders are advised of their "2010 year-end regulatory reporting requirements."  For complete details, go to:   [Reg'y Circular 11-22, 2/4, "Summary of 2010 .."]

• OE-418 (ITSFEA) Form.   Contact Dept of Regulated Entities:  Pat Sizemore (sizemore@cboe.com).
• FOCUS Report Part IIA (CBOE) and Schedule I.   Contact Dept of Member Firm Regulation:  Mike LaGioia (lagioia@cboe.com), Don Sitarz (sitarz@cboe.com), Leo Rutkowski (rutkowsk@cboe.com).
• Anti-Money Laundering Compliance Program.  Contact Dept of Member Firm Regulation:  Tyson Wilson (wilsont@cboe.com), Dan Sieracki (sieracki@cboe.com).
• SIPC.   Contact SIPC directly at (202) 371-8300.

1.  OE-418 (ITSFEA) Form (Due 3/1).   Exchange Rule 4.18 requires every TPH, to establish, maintain and enforce WSP's reasonably designed to prevent the misuse of material nonpublic information by the TPH or its associated persons.  The Exchange created the OE-418 forms for TPH's that are individuals or small organizations, and meet one of these profiles:

• Individual TPH with no employees;
• Individual TPHs who employ no more than 3 non-TPH employees;
• TPH organizations with no more than 3 nominees and which employ no more than 6 non-TPH employees.

2.  FOCUS Report Part IIA (CBOE) and Schedule I  (Due 3/1).   Every TPH registered with the SEC as a broker/dealer for which the Exchange is the Designated Examining Authority (“DEA”) and does not file FOCUS monthly must file a FOCUS Report Form X-17A-5 Part IIA (CBOE) and Schedule I.  Members that are a nominee and a registered B/D must submit a separate FOCUS Report Form X-17A-5 Part IIA (CBOE) and Schedule I for your personal broker-dealer activity.  Your TPH must also submit forms for its activities.  See other details and parameters on the Circular.

3.  Anti-Money Laundering (AML) Compliance Program.   Every TPH registered with the SEC as a broker/dealer for which the Exchange is the DEA and who does not file FOCUS monthly is required to demonstrate compliance with CBOE Rule 4.20 by submitting the following:

• Name of the B/D's designated AML Compliance Officer;
• Copy of B/D's AML supervisory procedures, approved in writing.
• Evidence of continuing AML training for appropriate associated persons.
• Copy of the independent review letter for the B/D's AML program.

Those TPH's who submitted these documents in 2010, and who have made no changes since that filing, will only be required to submit evidence of continuing training and a copy of the 2010 independent review letter.  See other details on the Circular. 

4.  SIPC.   In 2009, SIPC changed the manner in which they calculate and collect their assessment.  SIPC forms and any assessments are now due twice a year.  Please contact SIPC directly WITH any questions at (202) 371-8300.