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Tim Thompson

Tim Thompson

Senior Vice President, Trading and Execution Program, FINRA

Timothy Thompson is a Senior Vice President in FINRA’s Department of Market Regulation. More specifically, Mr. Thompson serves as the Firm Group Leader for the Trading and Execution (T&E) firm group.  In that role, Mr. Thompson is responsible for FINRA’s examination and risk monitoring program related to broker-dealers engaged in trading on the U.S. equities and options trading markets. The firms included in the T&E firm group include proprietary trading firms, market making firms, alternative trading systems and institutional brokerage firms. The T&E firm group also performs trading reviews of firms in other firm groups (i.e., broker-dealers whose primary business is not trading). In addition, T&E performs examination work 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 10 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. The insider trading surveillance 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 cum laude from the University of Michigan Law School and summa cum laude from the University of Notre Dame.

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