Header graphic for print
Securities Compliance Sentinel Analysis of cutting-edge securities industry issues

Category Archives: Options

Subscribe to Options RSS Feed

Trading and Markets Provides Relief For Option Markets’ Familiarization Activities

Posted in Options, SROs

The United States Securities and Exchange Commission Division of Trading and Markets granted class no-action relief from securities-exchange and broker-dealer registration requirements for foreign options markets and their members that engage in certain “familiarization activities.”  See LIFFE A&M, SEC No-Action Letter, avail. 7/1/13, http://www.sec.gov/divisions/marketreg/mr-noaction/2013/liffe-am-070113.pdf. The Staff noted it has granted similar relief on “numerous occasions” to… Continue Reading