Office Of The Chief Regulatory Officer

The Office of the Chief Regulatory Officer is responsible for overseeing a number of Regulatory Services Division ("Division") functions including: SEC relations and correspondence; representing Exchange interests at the Intermarket Surveillance Group; representing the Division's interests in certain business-side matters; setting Division-wide policies and procedures and maintaining Division procedure manuals; managing the relationship with Regulatory Services Agreement clients; setting the budgetary and strategic direction of the Division; Business Conduct Committee administration and providing Enforcement and Legal support to the rest of the Division. This group is managed by the Chief Regulatory Officer with one of the two Deputy Chief Regulatory Officers. Employees in this group are also responsible for organizing and directing the Division employee education and training program. This group also takes responsibility for overseeing the Exchange's regulatory interpretations process, through which Exchange Trading Permit Holders may seek interpretations from the Division related to Exchange rules and also acts as a liaison between the Legal Division to evaluate the regulatory impact of proposed rule filings.

Special Offers
*Third Party Advertisements

Advertisement Advertisement