About CBOE


OFFICE OF ENFORCEMENT

The Office of Enforcement is responsible for resolving disciplinary matters on behalf of the CBOE, CBSX, C2 and CFE as well as the exchanges with which the CBOE has entered into a Regulatory Services Agreement. The Office of Enforcement negotiates settlements in disciplinary cases for the Business Conduct Committee's ("BCC") consideration. In situations where a respondent in a disciplinary matter does not seek settlement, the Office of Enforcement prepares and presents the case for hearing before the BCC and handles any subsequent appeals.

 
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