Featured Jobs
|
EPIC RPS
|
|
Retirement Plan Consultants
|
|
Mergers & Acquisition Specialist Compass
|
|
Regional Vice President, Sales MAP Retirement USA LLC
|
|
Managing Director - Operations, Benefits Daybright Financial
|
|
Compass
|
|
Relationship Manager for Defined Benefit/Cash Balance Plans Daybright Financial
|
|
ESOP Administration Consultant Blue Ridge Associates
|
|
July Business Services
|
|
Retirement Plan Administration Consultant Blue Ridge Associates
|
|
Strongpoint Partners
|
|
Anchor 3(16) Fiduciary Solutions
|
|
Cash Balance/ Defined Benefit Plan Administrator Steidle Pension Solutions, LLC
|
|
DC Retirement Plan Administrator Michigan Pension & Actuarial Services, LLC
|
|
Combo Retirement Plan Administrator Strongpoint Partners
|
Free Newsletters
“BenefitsLink continues to be the most valuable resource we have at the firm.”
-- An attorney subscriber
|
|
|
SEC Charges Chicago Board Options Exchange for Regulatory Failures
U.S. Securities and Exchange Commission [SEC] 
June 11, 2013
"CBOE agreed to pay a $6 million penalty and implement major remedial measures to settle the SEC's charges. The financial penalty is the first assessed against an exchange for violations related to its regulatory oversight.... An SEC investigation found that CBOE failed to adequately police and control this conflict for a member firm that later became the subject of an SEC enforcement action. CBOE put the interests of the firm ahead of its regulatory obligations by failing to properly investigate the firm's compliance with Regulation SHO and then interfering with the SEC investigation of the firm."
|
| Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the linked news item's title). |
| An important word about authorship: BenefitsLink® created this link to the news item, but we are not the news item's author (unless expressly shown above). |