CBOE Holdings and affiliated exchanges - CBOE, CBSX, C2 - having previously adopted Regulatory Independence Policies, recently answered these FAQ's: Q:       What communications do the Regulatory Independence Policies apply to? Answer:   The Policies apply to communications about regulatory matters. Q:       What's a 'regulatory matter'? A:  For purposes of the Policies, a 'regulatory matter' includes an existing or anticipated regulatory investigation, examination or complaint. 'Regulatory matters' also include surveillance and investigative activities of the Regulatory Services Division. Q:       Who can I speak with at the Exchange about general regulatory questions that do not relate to a specific regulatory matter? A:  There are no restrictions under the Regulatory Independence Policies on speaking with  anyone, including non-regulatory and non-legal staff, about regulatory questions or issues that do not relate to a specific regulatory matter. However, please keep in mind that non-regulatory and non-legal staff are not going to be able to provide regulatory guidance regarding TPH obligations on behalf of the Exchange.  Feel free to contact the Regulatory Interpretations and Guidance team about questions relating to requirements existing under Exchange rules and regulatory circulars, how a particular rule applies, the meaning of a particular rule provision, or other questions of a regulatory nature that do not relate to a specific regulatory matter. If you have a regulatory question that does not relate to a specific regulatory matter, contact the Regulatory Interpretations and Guidance team at (312) 786-8141. Otherwise contact SEC's Division of Trading and Markets - contact info in Regulatory Circular. Q: If I am involved ain a regulatory matter and I have a question about it, who should I contact? A:   Contact the regulatory staff handling the matter.  If you do not know who this is, contact the Regulatory Interpretations and Guidance team at (312) 786-8141. Q: Should I speak with non-regulatory staff about a regulatory matter? A: No.  Under the Regulatory Independence Policies, non-regulatory staff are not permitted to speak with regulatory staff about regulatory matters, so direct any questions regarding a regulatory matter to the regulatory staff handling the matter or the Regulatory Interpretations and Guidance team at (312) 786-8141. Q: If I have a concern about the way a regulatory manner is being handled, who can I contact? A:   Contact Chief Regulatory Officer Timothy Thompson at (312) 786-7135 if you have an issue, concern or complaint about the way a regulatory matter is being handled by the Exchange. For questions regarding the application of the Exchange's Regulatory Independence Policy, contact CRO Timothy Thompson at (312) 786-7135 or General Counsel Joanne Moffic-Silver at (312) 786-7462. [CBOE RegCirc 11-133;  C2 RegCirc 11-032, 11/10/11]