Chicago Board Options Exchange / Options Clearing Corporation / The Charles Schwab Corporation / optionsXpress Holdings Inc. / brokersXpress LLC / Internal OX Trading / optionsXpress International Inc. / OX Trading LLC / Financial Industry Regulatory Authority / optionsXpress Inc. / /
Country
United States / /
Currency
USD / /
Event
Product Issues / Company Listing Change / Person Communication and Meetings / Product Recall / /
Facility
Enterprise Services Center Accounts Receivable Branch HQ Bldg. / /
IndustryTerm
bank account / on-line broker / retail / outside auditor / bank / head trader / market maker / brokerage subsidiary / annual audit / /
Organization
Trading and Markets office of Financial Responsibility / Mellon Independence Center / CBOE’s Department of Member Firm Regulation / CBOE AIM / CBOE’s AIM / Market Abuse Unit / Commission’s Division of Trading / Division of Enforcement / Securities and Exchange Commission / NASD / /
Person
Daniel M. Hawke / Questionnaire / Brenda Murray / THOMAS E. STERN / /
Position
Chief Financial Officer / counsel / board member / cashier / broker / registered dealer / head trader / registered broker-dealer / head / Chief Financial Officer / Secretary / Director / and Chief Compliance Officer / Broker-Dealer / Chief Compliance Officer / CEO / Compliance Officer / Murphy Secretary / Director / outside auditor / President and Chief Executive Officer / Chief Compliance Officer and Director / Chief Financial Officer and Director / Chief Financial Officer and Chief Compliance Officer / Chief Administrative Officer / outside counsel / dealer / CFO / Judge / Chief / /
Product
Review of the Initial / NASDAQ Options Market system / NASDAQ Options / /