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Federal Election Commission | United States of America

ADR 426

Chicago Board of Options Exchange, Inc. Political Action Committee

Summary

REFERRING OFFICE: FEC Reports Analysis Division

RESPONDENT: Chicago Board of Options Exchange, Inc. PAC

ELECTION CYCLE: 2006

OPENING DATE: 10/29/2007

CLOSING DATE: 11/19/2008

DISPOSITION: The Commission decided by a vote of 4-0 to take the following actions in ADR 426 (RAD 07L-46):1. Approve the settlement agreement of Chicago Board of Options Exchange, Inc. PAC and Alan J. Dean, Treasurer, as recommended in the ADR's Memorandum dated November 6, 2008.2. Approve the appropriate letters.3. Close the file on this matter.

Disposition

Disposition Penalty Respondent Citation
Settlement Agreement $3,000.00 Chicago Board of Options Exchange, Inc. PAC 2 U.S.C. §434(a)(1)
2 U.S.C. §434(b)(2)
11 CFR 104.1
11 CFR 104.3(a)
Dean, Alan J. 2 U.S.C. §434(a)(1)
2 U.S.C. §434(b)(2)
11 CFR 104.1
11 CFR 104.3(a)
Attend FEC seminar Non-monetary term Chicago Board of Options Exchange, Inc. PAC
Dean, Alan J.

Documents

Date Type Title
11/25/2008 ADR Settlement Agreements Chicago Board of Options Exchange, Inc. PAC and Alan J. Dean, Treasurer 221 KB
11/06/2008 ADR Memoranda, Notifications and Responses Withdrawal and Resubmission of Recommendation to Approve Settlement Agreement 68 KB
01/04/2008 Response from Chicago Board of Options Exchange, Inc. PAC and Alan J. Dean, Treasurer 47 KB
12/07/2007 Notification to Chicago Board of Options Exchange, Inc. PAC and Alan J. Dean, Treasurer 42 KB
12/07/2007 Commitment to Submit Matter to ADR Program and Statement of Designation of Representative/Counsel 121 KB
11/19/2007 Notification to Chicago Board of Options Exchange, Inc. PAC and Alan J. Dean, Treasurer 148 KB
11/07/2007 Recommendation to Assign 78 KB
10/29/2007 Reports Analysis Referral to Alternative Dispute Resolution Office 188 KB
11/19/2008 Certifications Chicago Board of Options Exchange, Inc. PAC and Alan J. Dean, Treasurer (RAD 07L-46) 30 KB
11/14/2007 Chicago Board of Options Exchange, Inc. PAC and Alan J. Dean, Treasurer (RAD 07L-46) 25 KB
11/25/2014 Civil Penalties, Disgorgements, Other Payments and Letters of Compliance Memorandum of Compliance 35 KB

Participants

Relationship Name
Respondent Chicago Board of Options Exchange, Inc. PAC
Treasurer Dean, Alan J.
Complainant Reports Analysis Division
Respondent's counsel Ginsberg, Benjamin L. , Esq.
Willard, Glenn M., Esq.
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