On December 15, the Chicago Board Options Exchange (CBOE) issued Regulatory Circular RG09-144 to remind members and members organizations that are approved to conduct business with non-members of the annual report to be filed with the CBOE by April 1 of each year. Under CBOE Rule 9.8(g), the filing must detail the member organization’s supervision and compliance effort, including its options compliance program, during the preceding year and report on the adequacy of the member organization’s ongoing compliance processes and procedures.

Click here to read CBOE Regulatory Circular RG09-144.