Timothy H. Thompson

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Timothy H. Thompson
Occupation Senior Vice President and Chief Regulatory Officer
Employer CBOE
Location Chicago, IL
Website www.cboe.com

Timothy H. Thompson is a senior vice president and the chief regulatory officer of Chicago Board Options Exchange (CBOE).[1]

Background

Thompson first joined CBOE in October 1994 and has worked at the exchange since that time with the exception of a one-year stint at a CBOE member firm. He was promoted to his current position in June 2003. In his current role, Thompson is responsible for managing the exchange’s Regulatory Services Division, charged with ensuring that the exchange’s members comply with the rules established by CBOE and federal securities laws. He maintains regular communications with staff of the Securities and Exchange Commission (SEC) and participates on a number of professional forums with staff of other exchanges and of the SEC to improve coordinated efforts of the various self-regulatory organizations.

The CBOE also conducts insider-trading reviews on behalf of all of the U.S. options exchanges pursuant to the Options Regulatory Surveillance Authority (ORSA) Plan [2] under Thompson’s direction.

Prior to joining CBOE, he was an associate at a large Washington, D.C., law firm for two years, during which time he focused on corporate and securities matters. He then spent about four years working at the SEC in Washington, D.C., where he attained the position of branch chief in the Commission’s Division of Market Regulation. At the SEC, his work focused on broker-dealer regulation. Finally, he left the exchange for one year to serve as the general counsel and the chief compliance officer for a large market maker organization.

Education

Thompson received his Bachelor of Business Administration in Finance with highest honors from the University of Notre Dame. He was a member of Beta Gamma Sigma and was awarded the Hamilton Award for Finance in his senior year for distinguishing himself in his academic work. He received his Juris Doctor with high honors from the University of Michigan Law School.

References

  1. Comments on CBOE Rulemaking. U.S. Securities Exchange Commission.
  2. NATIONAL MARKET SYSTEM PLAN OF THE OPTIONS REGULATORY SURVEILLANCE AUTHORITY. SEC.