*Letters

CBOE Rules Governing Doing Business with the Public

Published on:
October 16, 2007

The Options Committee and the Self-Regulation and Supervisory Practices Committee of SIFMA provide comments to the Securities and Exchange Commission (SEC) on a proposed Chicago Board Options Exchange (CBOE) rule change relating to CBOE rules governing doing business with the public, Release No. 34-56492; File No. SR-CBOE-2007-106.  The proposal would, among other things, eliminate the need for separate designations of the Senior Registered Options Principal (“SROP”) and Compliance Registered Options Principal (“CROP”) functions and instead assimilate them into the overall supervisory and compliance programs of the member firms.  SIFMA fully supports the proposal and believes the proposal would be improved with some clarifications and modifications to the current proposal.

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