Chicago Board Options Exchange / Options Clearing Corporation / C. OX Trading / The Charles Schwab Corporation / optionsXpress Holdings Inc. / brokersXpress LLC / D. OX Trading / Internal OX Trading / optionsXpress International Inc. / OX TRADING LLC / Financial Industry Regulatory Authority / B. OX Trading / A. OX Trading / optionsXpress Inc. / /
Country
United States / /
Currency
USD / /
Event
Company Listing Change / Person Communication and Meetings / /
Facility
Enterprise Services Center Accounts Receivable Branch HQ Bldg. / /
IndustryTerm
bank account / on-line broker / retail / outside auditor / bank / head trader / market maker / direct payment / 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 / Stern Respondents / /
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 / Murphy Secretary / 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 / /
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 22, 2013 ADMINISTRATIVE PROCEEDING