Senior Vice President, Market Regulation Department
- Short Bio:Timothy Thompson is a Senior Vice President in FINRA’s Trading and Financial Compliance Examinations (“TFCE”) group within the Department of Market Regulation. The TFCE group performs examinations related to trading activity of broker-dealers engaged in trading on the U.S. equities and options trading markets. The TFCE group also performs financial and operational examinations of trading firms and fixed income examinations related to reporting obligations and other trading related responsibilities of broker-dealers. Much of the work done by TFCE is performed on behalf of the U.S. securities exchanges, which have an obligation to oversee such activity. Prior to joining FINRA in January 2015, Mr. Thompson served for over ten years as the Chief Regulatory Officer of the Chicago Board Options Exchange where he oversaw a comprehensive regulatory program consisting of, among others, trading examinations, financial and operational examinations, market surveillance, and insider trading surveillance (this last one was performed on behalf of all U.S. options exchanges). Mr. Thompson also oversaw the Cboe’s regulatory program for the Cboe Futures Exchange during his tenure. Prior to becoming the CRO for Cboe, Mr. Thompson served as the Chief Compliance Officer and General Counsel for Botta Capital Management, the Associate General Counsel for Cboe, and a Branch Chief for the Securities and Exchange Commission in the financial responsibility area of the SEC’s Division of Market Regulation (which is now the Division of Trading and Markets). Mr. Thompson graduated from the University of Michigan Law School (cum laude) and the University of Notre Dame (summa cum laude).