Foreign Listed Stock Index Futures und Optionen Zulassungen Chart Um diesen Artikel zu sehen, benötigen Sie einen PDF Viewer wie Adobe Reader. USA 1. Oktober 2014 1. Oktober 2014 Anbei finden Sie die aktualisierten Foreign Listed Stock Index Futures und Optionsgenehmigungen, die zum 1. Oktober 2014 aktuell sind. Alle früheren Versionen werden ersetzt und sollten verworfen werden. Bitte beachten Sie die folgenden Entwicklungen, da wir zuletzt die Zulassungskarte verteilt haben: (1) Die CFTC hat die folgenden Verträge für den Handel von US-Personen genehmigt: (i) Montreal Exchangersquos Futures-Kontrakt auf Basis des FTSE Emerging Markets Index (ii) London Stock Exchange Derivativesrsquo Futures-Kontrakt auf Basis des FTSE 100 Index und (iii) Londoner Börse Derivativesrsquo Futures-Kontrakt auf Basis des FTSE UK Large Cap Super Liquid Index. (2) Die SEC hat keine neuen ausländischen Aktienindexoptionen genehmigt, seit wir die Zulassungskarte zuletzt verteilt haben. Allerdings haben die ICE Futures Europe, die Osaka Exchange, Euronext Paris, Euronext Brüssel und Euronext Amsterdam im Rahmen des LIFFE AampM und der Class Relief SEC No-Action Letter (1. Juli 2013) eine Entlastung in Anspruch genommen. Siehe Anmerkung 16. (3) Der Derivatmarkt der Tokyo-Börse wurde in die Osaka-Börse integriert und diese Produkte handeln jetzt. (4) Der Status des Dow Jones Euro STOXX Banking Sektors, der auf Eurex gehandelt wurde, wurde geklärt. Siehe Anmerkung 8. Für weitere Informationen Die Angaben zum beigefügten Zulassungsblatt können jederzeit geändert werden. Wenn Sie Fragen haben oder eine Bestätigung über den Status eines bestimmten Vertrages wünschen, wenden Sie sich bitte an: James D. Van De Graaff 1.312.902.5227 james. vandegraaffkattenlaw Kenneth M. Rosenzweig 1.312.902.5381 kenneth. rosenzweigkattenlaw Kevin M. Foley 1.312.902.5372 kevin. Foleykattenlaw Gary DeWaal 1.212.940.6558 gary. dewaalkattenlaw Christian B. Hennion 1.312.902.5521 christian. hennionkattenlaw Blake J. Brockway 1.312.902.5438 blake. brockwaykattenlaw Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten an Das Ende dieser Tabelle. 1 Ausländische Listing Stock Index Futures und Optionsgenehmigungen (Oktober 2014) CountryExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen AustraliaASXASX Futures Exchange SampPASX 200 Genehmigt zum Verkauf an US-Personen (24. Juli 2002 No-Action Letter an ASX Futures Exchange ausgegeben ) Keine angebotene Genehmigte für zugelassene US-Institutionen (13. August 2007 SEC No-Action-Brief an ASX Limited ausgestellt) Nicht genehmigt AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Nicht genehmigt Keine angeboten Genehmigt für berechtigte US-Institutionen (13. August 2007 SEC No - Aktion Brief an ASX Limited ausgestellt) Keine angeboten AustralienASXASX Futures Exchange SampPASX 50 Genehmigt für den Verkauf an US-Personen (24. Juli 2002 No-Action Letter an ASX Futures Exchange ausgegeben) Keine angeboten Genehmigt für berechtigte US-Institutionen (13. August 2007 SEC No - Aktion Brief an ASX Limited ausgestellt) Keine angeboten AustralienASXASX Futures Exchange Einmalige Aktien Keine angeboten Keine angeboten Genehmigt für berechtigte US-Institutionen (13. August 2007 SEC No-Action Letter an ASX Limited ausgestellt) Keine angeboten AustralienSydney Futures Exchange (SFE) 1-Tag Optionsvertrag auf Basis des CBOT Mini-Dow Futures-Kontraktes Keine angeboten Anerkannt für den Verkauf an US-Personen (8. August 2006 No-Action Letter an SFE ausgestellt) Keine angeboten Keine angeboten AustralienSydney Futures Exchange (SFE) SPI 200 Zugelassen zum Verkauf an US Personen (10. August 1999 No-Action Letter an SFE ausgestellt) Zugelassen zum Verkauf an US-Personen (10. August 1999 No-Action Letter an SFE ausgestellt) Nicht genehmigt Keine angeboten AustriaWiener Borse ATX Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen finden Sie in den Endnoten am Ende dieser Tabelle. 2 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen AustriaWiener Borse CECE Indizes (CEX, CTX, HTX, PTX) Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten AustriaWiener Borse Russisch Traded Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten AustriaWiener Borse Einzelbezeichnung Aktien Keine angeboten Keine angeboten Nicht genehmigt4 Keine angeboten BelgienEuronext Brüssel16 BEL 20 Zugelassen zum Verkauf an US-Personen (31. August 2011 No-Action Brief an Euronext Brüssel) Keine angeboten Genehmigt für berechtigte US-Institutionen (17. September 2014 Vertretungsbrief von Euronext Brüssel Nach SEC) 4 Keine angeboten BelgienEuronext Brüssel16 Mini BEL 20 (Index Beteiligungseinheiten) Keine angeboten Keine angeboten Nicht genehmigt Keine angeboten BelgienEuronext Brüssel16 Mini Dow Jones Euro STOXX (Index Beteiligungseinheiten) Keine angeboten Keine angeboten Nicht genehmigt Keine angeboten BelgienEuronext Brüssel16 Einzelname Aktien Nicht Genehmigt Keine angebotene Zulassung für zugelassene US-Institutionen für zuschussfähige Optionen auf einzelne Aktien, die an Euronext Brüssel notiert sind und gehandelt werden (17. September 2014 Vertretungsbrief von Euronext Brüssel an SEC) 4 Keine angeboten Brasilien BMampF Bovespa SA BSE Sensitive Genehmigt zum Verkauf an US-Personen (März 12, 2013 Zertifizierung) Nicht genehmigt Nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA FTSEJSE Top 40 Zugelassen zum Verkauf an US Personen (12. März 2013 Zertifizierung) Nicht genehmigt Nicht genehmigt Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und Für weitere erläuternde Informationen siehe die Endnoten am Ende dieser Tabelle. 3 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen Brasilien BMampF Bovespa SA Hang Seng Zulassung zum Verkauf an US-Personen (12. März 2013 Zertifizierung) Nicht genehmigt Nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA Ibovespa Zugelassen zum Verkauf an US Personen ( 26. August 2009 No-Action-Brief an BMampF Bovespa SA) 2 Zugelassen zum Verkauf an US-Personen (26. August 2009 No-Action-Brief an BMampF Bovespa SA ausgestellt) Nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA Ibovespa Flex Keine angeboten Keine angeboten Nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA IBrX 50 Index Futures Vertrag Genehmigung ausstehend Nicht genehmigt Nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA MICEX Zugelassen zum Verkauf an US Personen (12. März 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Brasilien BMampF Bovespa SA Mini Ibovespa Zugelassen zum Verkauf an US-Personen (26. August 2009 No-Action Brief an BMampF Bovespa SA) Keine angeboten Keine angeboten Keine angeboten Brasilien BMampF Bovespa SA SampP 500 Index Zugelassen zum Verkauf an US-Personen (24. September 2012 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten KanadaMontreal Exchange (Bourse de Montreacuteal) FTSE Emerging Markets Index Genehmigt zum Verkauf an US-Personen (21. März 2014 CFTC No-Action-Brief an Montreal Exchange ausgestellt) Keine angeboten Keine angeboten Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und LdquoElable Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 4 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen KanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSE 60 Index Partizipationsfonds (i60 Fonds) Keine angeboten Keine angeboten Keine angeboten Genehmigt für US-Personen im Allgemeinen gemäß Registrierungserklärung (siehe SampPTSX Canada 60 Oben) KanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Energy Index Fonds Keine angeboten Keine angeboten Keine angeboten Genehmigt für US-Personen im Allgemeinen gemäss Registrierungserklärung (siehe SampPTSX Canada 60 oben) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Financials Index Fund Keine angeboten Keine angeboten Keine angeboten Anerkannt für US-Personen im Allgemeinen gemäss Registrierungserklärung (siehe SampPTSX Kanada 60 oben) KanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Gold Index Fonds Keine angeboten Keine angeboten Keine angeboten Genehmigt für US-Personen im Allgemeinen gemäss Registrierungserklärung (Siehe SampPTSX Canada 60 oben) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Information Technology Index Fonds Keine angeboten Keine angeboten Keine angeboten Genehmigt für US-Personen im Allgemeinen gemäss Registrierungserklärung (siehe SampPTSX Canada 60 oben) CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX 60 Index Mini Futures Zugelassen zum Verkauf an US Personen (19. April 2012 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle . 5 LandExchange Basiswert Futures-Kontrakte Optionen auf Futures-Kontrakte Aktienoptionen ETF-Optionen KanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Kanada 60 Zugelassen zum Verkauf an US-Personen (9. Dezember 1999 CFTC No-Action-Brief an Montreal Exchange) 3 Keine angeboten Genehmigt, einschließlich Genehmigung aller anderen Indexoptionen, zum Verkauf an US-Personen, die in der Regel jetzt oder in der Zukunft aufgeführt werden (Post-Effective Amendment Nr. 27 zur Registrierungserklärung auf Formular S-20 eingereicht von kanadischen Derivaten Clearing Corp. SEC File Nr. 2-69458) Keine angeboten KanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Capped Sector Nicht genehmigt Keine angeboten Genehmigt für US-Personen im Allgemeinen gemäss Registrierungserklärung (siehe SampPTSX Canada 60 oben) Keine angeboten KanadaMontreal Exchange (Bourse de Montreacuteal) Einzelname Aktien Keine angeboten Keine angebotene Genehmigung für alle Optionen auf einzelne Wertpapiere, die an der Montreal Exchange notiert sind, die jetzt oder in der Zukunft zum Verkauf an US-Personen im Allgemeinen (Post-Effective Amendment Nr. 27 zur Registrierungserklärung auf Formular S-20, eingereicht von kanadischen Derivaten) aufgeführt werden Clearing Corp. SEC-Datei Nr. 2-69458) Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoElable Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 6 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF-Optionen China (siehe auch Hongkong und Taiwan) China Finanzterminkontrakte CSI 300 Index Futures Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DänemarkFUTOP Markt KFX (LargeSmall Vertrag) Nicht genehmigt Keine angeboten Nicht Genehmigt Keine angeboten DänemarkOMX Nordic Exchange Kopenhagen AS Einzelname Aktien Keine angeboten Keine angeboten Nicht genehmigt4,11 Keine angeboten FinlandOMX Nordic Exchange Helsinki Einzelname Aktien Keine angeboten Keine angeboten Nicht genehmigt4,5 Keine angeboten FranceEuronext Paris SA16 CAC40 Zugelassen zum Verkauf an US Personen ( 17. Dezember 1991 No-Action-Brief an ParisBourse erteilt) 3 Keine angeboten Für zugelassene US-Institutionen genehmigt (17. Juli 1996 SEC-No-Action-Schreiben an MONEP, bestätigt am 6. Dezember 1999 SEC-No-Action-Brief an ParisBourse) 4 Keine angeboten FranceEuronext Paris SA16 CAC40 Mini zugelassen zum Verkauf an US-Personen (13. September 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten FranceEuronext Paris SA16 Dow Jones Euro STOXX 50 Zugelassen zum Verkauf an US-Personen (29. Februar 2000 CFTC No - Aktionsschreiben an ParisBourse) 3 Keine angeboten Genehmigt für berechtigte US-Institutionen (26. Oktober 1998 SEC-No-Action-Meldung an MONEP, bestätigt am 6. Dezember 1999 SEC-No-Action-Brief an ParisBourse) Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoElable Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 7 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen FrankreichEuronext Paris SA16 Dow Jones STOXX 50 Zugelassen zum Verkauf an US-Personen (29. Februar 2000 CFTC No-Action-Brief an ParisBourse) 3 Keine angeboten Genehmigt für berechtigte US-Institutionen ( 26. Oktober 1998 SEC No-Action-Letter an MONEP, bestätigt am 6. Dezember 1999 SEC No-Action-Brief an ParisBourse ausgestellt) Keine angeboten FranceEuronext Paris SA16 Dow Jones STOXX 600 Sektoren (Bank, Energie, Gesundheitswesen, Technologie, Telekommunikation) Nicht zugelassen Keine angeboten Nicht genehmigt Keine angeboten FranceEuronext Paris SA16 FTSE EPRANAREIT Euro Zone Zugelassen zum Verkauf an US-Personen (10. Juli 2008 CFTC No-Action Brief an Euronext LIFFE, im Auftrag von Euronext Paris SA) Keine angeboten Keine angeboten Nicht genehmigt FranceEuronext Paris SA16 FTSE EPRANAREIT Europe Zugelassen zum Verkauf an US-Personen (10. Juli 2008 CFTC No-Action Brief an Euronext LIFFE im Auftrag von Euronext Paris SA) Keine angeboten Keine angeboten Nicht genehmigt FranceEuronext Paris SA16 FTSEurofirst 100 Zugelassen zum Verkauf An die US-Personen (5. März 2007 CFTC No-Action-Brief an Euronext LIFFE im Auftrag von Euronext Paris SA) Keine angeboten Keine angeboten4 Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am ende dieses tisches 8 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Options FranceEuronext Paris SA16 FTSEurofirst 80 Zugelassen zum Verkauf an US-Personen (5. März 2007 CFTC No-Action-Brief an Euronext LIFFE im Auftrag von Euronext Paris SA) Keine angebotene Genehmigung Für zugelassene US-Institutionen (17. September 2014 Vertretungsbrief von Euronext Paris an SEC) 4 Keine angebotene FranceEuronext Paris SA16 Einmalige Aktien Nicht genehmigt Keine angeboten Genehmigte für berechtigte US-Institutionen für berechtigte Optionen für einzelne Aktien, die an Euronext Paris notiert und gehandelt werden Oder andere spezifizierte Märkte18 (17. September 2014 Vertretungsbrief von Euronext Paris an SEC) 4,5 Keine angeboten DeutschlandBoumlrse Frankfurt Einzelname Aktien Keine angeboten Keine angeboten Nicht genehmigt4,5 Keine angeboten DeutschlandEurex DAX Zugelassen zum Verkauf an US-Personen (20. Dezember 1994) CFTC-No-Action-Brief an die Deutsche Terminborse) 3 Keine angeboten Für zugelassene US-Institutionen genehmigt (27. Juli 2005 SEC-No-Action-Brief an Eurex ausgestellt) Keine angeboten DeutschlandEurex DAX EX Nicht genehmigt Keine angeboten Keine angeboten Genehmigt für berechtigte US-Institutionen (Juli 27, 2005 SEC No-Action Brief an Eurex) DeutschlandEurex DJ Banken Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex DJ Versicherung Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex DJ Öl und Gas Titanen 30 Nicht genehmigt Keine angeboten Keine Angeboten Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 9 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandEurex DJ Telekommunikation Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex DJ Dienstprogramme Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex Dow Jones Euro STOXX 50 Zugelassen zum Verkauf an US Personen (6. April 2000 CFTC No-Action Letter an Eurex ausgestellt) 3 Keine angeboten Genehmigt für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Letter an Eurex ausgestellt) Keine angeboten DeutschlandEurex Dow Jones Euro STOXX 50 Dividende Nicht genehmigt Nicht genehmigt Keine angeboten Keine angeboten DeutschlandEurex Dow Jones Euro STOXX 50 EX Nicht genehmigt Keine angeboten Nicht genehmigt Zulassung für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Brief an Eurex ausgestellt) DeutschlandEurex Dow Jones Euro STOXX Bankensektor Nicht genehmigt8 Keine angeboten Nicht genehmigt Keine Angeboten DeutschlandEurex Dow Jones Euro STOXX Select Dividend 30 Zugelassen zum Verkauf an US-Personen (18. August 2008 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones Globale Titanen 50 Zugelassen zum Verkauf an US-Personen (18. Juli , 2002 CFTC-No-Action-Brief an Eurex ausgestellt) Keine angebotene Zulassung für zugelassene US-Institutionen (27. Juli 2005 SEC No-Action Letter an Eurex ausgestellt) Keine angeboten DeutschlandEurex Dow Jones Global Titans 50 Index (US Denominated) Zugelassen für den Verkauf nach US Personen (5. Juni 2012 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 10 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandEurex Dow Jones Italien Titanen 30 Zugelassen zum Verkauf an US-Personen (23. November 2005 CFTC No-Action Letter an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX 50 Zugelassen für den Verkauf an US-Personen (6. April 2000 CFTC No-Action-Brief an Eurex ausgestellt) 3 Keine angeboten Genehmigt für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Letter an Eurex ausgestellt) Keine angeboten DeutschlandEurex Dow Jones STOXX 600 Approved Zum Verkauf an US-Personen (18. Juni 2007 CFTC-No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX 600 Bankensektor Genehmigt zum Verkauf an US-Personen (2. April 2002 CFTC No-Action Letter ausgestellt an Eurex) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX 600 Industriegüterverkäufer Dienstleistungen für den Verkauf an US-Personen zugelassen (6. Februar 2008 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX 600 Versicherung genehmigt Zum Verkauf an US-Personen (6. Februar 2008 CFTC-No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX 600 Medien zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt ) Keine angeboten Nicht genehmigt Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 11 LandExchange Basiswert Futures-Kontrakte Optionen auf Futures-Kontrakte Aktienoptionen ETF-Optionen DeutschlandEurex Dow Jones STOXX 600 Personalverstärker Haushaltswaren Zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt) 7 Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX 600 Einzelhandel Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX 600 Reiseverstärker Freizeit Zugelassen zum Verkauf an US Personen (6. Februar 2008 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX 600 Dienstprogramme Zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX Groß 200 Zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX Mid 200 Zugelassen zum Verkauf an US-Personen (18. Juni 2007 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Dow Jones STOXX Small 200 Approved Zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Euro STOXX Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten Für die Definitionen Von ldquoElable US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 12 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandEurex Euro STOXX 50 Ex Financials Index Zugelassen zum Verkauf an US Personen (27. August 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Euro STOXX Large Zugelassen zum Verkauf an US Personen ( 5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Euro STOXX Mid Genehmigt zum Verkauf an US Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Euro STOXX Small Zugelassen zum Verkauf an US Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex HEX 25 Finnisch Nicht genehmigt Keine angeboten Genehmigt für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Brief an Eurex ausgestellt) Keine angeboten DeutschlandEurex iShares DJ EURO STOXX Keine angeboten Keine angeboten Keine angeboten Genehmigt für Anspruchsberechtigte US-Institutionen (27. Juli 2005 SEC-No-Action-Schreiben an Eurex) DeutschlandEurex KOSPI 200 Optionen6 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MDAX Zugelassen zum Verkauf an US-Personen (14. März 2006 CFTC No-Action Letter an Eurex ausgestellt ) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Mini Euro STOXX 50 Volatilität Index Zugelassen zum Verkauf an US Personen (20. Juli 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, bitte Sehe die Endnoten am Ende dieser Tabelle. 13 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF-Optionen DeutschlandEurex MSCI Alle Länder Asien-Pazifik ex-Japan Zugelassen zum Verkauf an US-Personen (17. Juni 2013 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MSCI China Free Freigegeben zum Verkauf an US Personen (4. Februar 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex MSCI Emerging Markets Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MSCI Emerging Markets Asien Zugelassen zum Verkauf an US-Personen (Februar 4, 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MSCI Emerging Markets EMEA Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MSCI Emerging Markets Lateinamerika Zugelassen zum Verkauf an US-Personen (4. Februar , 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MSCI Europe Zugelassen zum Verkauf an US-Personen (17. Juni 2013 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MSCI Europe Growth Approved zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine Angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MSCI Europe Value Approved zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex MSCI Indien Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 14 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandEurex MSCI Japan Zugelassen zum Verkauf an US-Personen (17. Juni 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex MSCI Malaysia Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung ) Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex MSCI Südafrika Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex MSCI Thailand Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandEurex MSCI World Anerkannt für den Verkauf an US-Personen (17. Juni 2013 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Andere Dow Jones Euro STOXX Sektoren Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Andere Dow Jones STOXX 600 Marktsektoren Nicht genehmigt Keine Angeboten Nicht genehmigt Keine angeboten DeutschlandEurex RDX USD12 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Einzelname Aktien Nicht genehmigt Keine angeboten Genehmigt für Optionen auf einzelnen deutschen, schweizerischen, finnischen, niederländischen, italienischen und französischen Aktien5 für berechtigte US-Institutionen (27. Juli, 2005 SEC No-Action Letter an Eurex ausgestellt) Keiner angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 15 CountryExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandEurex SLI Swiss Leader Zugelassen zum Verkauf an US-Personen (18. August 2008 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex STOXX Europe 600 Zugelassen zum Verkauf An US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex STOXX Europe Large 200 Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex STOXX Europe Mid 200 Zugelassen zum Verkauf an US Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex STOXX Europa Kleine 200 Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex Schweizer Markt Nicht genehmigt Keine angeboten Genehmigt für berechtigte US-Institutionen (27. Juli 2005 SEC-No-Action-Letter an Eurex) Genehmigt für zugelassene US-Institutionen (27. Juli 2005 SEC No-Action Letter an Eurex) DeutschlandEurex Swiss Market Index Midcap (SMIM) Zugelassen zum Verkauf an US-Personen (18. August , 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandEurex TECDAX Zugelassen zum Verkauf an US-Personen (18. August 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Genehmigt für berechtigte US-Institutionen (27. Juli, 2005 SEC No-Action Letter an Eurex ausgestellt) Keiner angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 16 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen GriechenlandAthen Börsenderivate Markt FTSEASE 20 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten GriechenlandAthen Exchange Derivatives Markt FTSEASE Mid-40 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd (HKEX) CES China 120 Zugelassen zum Verkauf an US-Personen (17. September 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) DJIA Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten Hong KongHong Kong Exchanges Und Clearing Ltd (HKEX) FTSEXinhua China 25 Genehmigt für den Verkauf an US-Personen (26. September 2006 CFTC No-Action-Brief an HKFE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten Hong KongHong Kong Austäusche und Clearing Ltd (HKEX) Hang Seng genehmigt Zum Verkauf an US-Personen (1. Juni 1994 CFTC-No-Action-Brief an HKFE) 3 Keine angeboten Genehmigt für berechtigte US-Institutionen (26. September 1995 SEC No-Action Letter an HKFE ausgestellt) Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd (HKEX) HSCEI Dividend Point Index Nicht zugelassen Keine angeboten Keine angeboten Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) H-Aktien (Hang Seng China Enterprises Index) Zugelassen zum Verkauf an US-Personen (26. September 2006 CFTC Nr (HHSX) HSI Volatilitätsindex (VHSI) Zugelassen zum Verkauf an US-Personen (17. September 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Für Die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen finden Sie in den Endnoten am Ende dieser Tabelle. 17 CountryExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen Hong KongHong Kong Börsen und Clearing GmbH (HKEX) Mini Hang Seng zugelassen zum Verkauf an US-Personen (16. Januar 2009 CFTC No-Action Brief an HKFE ausgestellt) Keiner angeboten Nicht Genehmigt Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd (HKEX) Mini Hang Seng China Enterprises Index genehmigt für den Verkauf an US-Personen (16. Januar 2009 CFTC No-Action-Brief an HKFE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten UngarnBudapest Börse BUX Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten IndienBombay Börse (BSE) BSE Sensitiver Index von 30 Aktien (Sensex) 9 Zugelassen zum Verkauf an US-Personen (14. Juni 2006 CFTC No-Action Brief an BSE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten Indien Bombay Stock Exchange (BSE) DOLLEX-309 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten IndienBombay Stock Exchange (BSE) SampP BSE 1009 Zugelassen zum Verkauf an US-Personen (24. September 2013 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten IndiaNational Stock Exchange von Indien Ltd (NSE) Bank Nifty9 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten IndiaNational Börse von Indien Ltd (NSE) CNXIT9 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten IndiaNational Börse von Indien Ltd (NSE) SampP CNX Nifty (ldquoNifty 50rdquo ) 9 Zugelassen zum Verkauf an US-Personen (17. Oktober 2003 CFTC-No-Action-Brief an NSE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 18 CountryExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Options IrlandIrish Börse Einzelbezug Aktien Keine angeboten Keine angeboten Nicht genehmigt4 Keine angeboten IsraelTel Aviv Börse TA 25 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten IsraelTel Aviv Börse TA Banken Nicht genehmigt Keine Angeboten Nicht genehmigt Keine angeboten ItalienBorsa Italiana ndash IDEM FTSE MIB Dividenden Genehmigung ausstehend Keine angeboten Keine angeboten Keine angeboten ItalienBorsa Italiana ndash IDEM FTSE MIB4 Zugelassen zum Verkauf an US Personen (30. August 2004 CFTC No-Action Brief an Borsa Italiana ausgestellt) Keine angeboten Genehmigt Für zugelassene US-Institutionen (24. September 2004 No-Action-Brief an Borsa Italiana ausgestellt) Keine angeboten ItalienBorsa Italiana ndash IDEM Mini FTSE MIB Genehmigt zum Verkauf an US-Personen (30. August 2004 CFTC No-Action-Brief an Borsa Italiana ausgestellt) Keine angeboten Keine angeboten Keine angeboten ItalienBorsa Italiana ndash IDEM Einzelname Aktien Nicht genehmigt Keine angeboten Genehmigt für berechtigte US-Institutionen (siehe 1. September 1998 SEC No-Action Letter an Borsa Italiana in Bezug auf Optionen auf einzelne ISE-Aktien) 4,5 Keine angeboten JapanOsaka Exchange (OSE) 16 DJIA Zugelassen zum Verkauf an US-Personen (15. Juni 2012 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Für die Definitionen von ldquoEligible US Institutionrdquo und ldquoEligible Optionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 19 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 FTSE Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 Mini Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (July 11, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered JapanOsaka Exchange (OSE)16 Mini TOPIX Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 Nikkei 225 Dividend Not approved None offered None offered None offered JapanOsaka Exchange (OSE)16 Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Exchange (OSE)16 Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered JapanOsaka Exchange (OSE)16 RussellNomura Prime Approved for sale to U. S. Persons (March 14, 2005 No-Action Letter issued to OSE) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 20 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 Single name equities None offered None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on the OSE or other Japanese exchanges and that meet OSE selection standards (March 14, 2014 Representation Letter from Tokyo Stock Exchange and Osaka Securities Exchange to SEC) None offered JapanOsaka Exchange (OSE)16 Tokyo Stock Exchange REIT Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 TOPIX Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions (July 27, 1999 SEC No-Action Letter issued to TSE) None offered JapanOsaka Exchange (OSE)16 TOPIX 150 Approved for sale to U. S. Persons (May 23, 2001 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions (November 15, 2002 SEC No-Action Letter issued to TSE) None offered JapanOsaka Exchange (OSE)16 TOPIX Banks Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 21 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 TOPIX Core30 Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered Korea ndash see South Korea - - - - - MalaysiaBursa Malaysia Derivatives Berhad (BMD) FTSE Bursa Malaysia Kuala Lumpur Composite Approved for sale to U. S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad) None offered Not approved None offered MexicoMexican Derivatives Exchange (MEXDER) IPC Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved Netherlands Euronext Amsterdam Derivatives Markets N. V.16 AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Approved for Eligible U. S. Institutions (September 17, 2014 Representation Letter from Euronext Amsterdam to SEC)4 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 AEX Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 22 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Amsterdam Mid-Kap Not approved None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 FTSE Eurotop 100 Approved for sale to U. S. Persons (May 14, 1996 CFTC No-Action Letter issued to Financiele Termijnmarkt Amsterdam)3 None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Light AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Single name equities Not approved None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on Euronext Amsterdam or other specified markets17 (September 17, 2014 Representation Letter from Euronext Amsterdam to SEC)4,5 None offered New ZealandNZFOE NZSE 10 Not approved Not approved None offered None offered NorwayOslo Stock Exchange OBX Not approved None offered Not approved None offered NorwayOslo Stock Exchange Single name equities None offered None offered Not approved4,11 None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 23 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options PolandWarsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered PortugalEuronext Lisbon PSI 20 Not approved Not approved None offered4 None offered PortugalEuronext Lisbon Single name equities Not approved None offered Not approved4 None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - RussiaRussian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Dow Jones Thailand Not approved (the requested approval was deemed withdrawn by the CFTC in 2004) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Euro STOXX 50 Approved for sale to U. S. Persons (March 22, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) FTSEXinhua China A50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Mini Nikkei 225 Approved for sale to U. S. Persons (December 23, 2009 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Asia APEX 50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 24 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Hong Kong Approved for sale to U. S. Persons (December 17, 1999 CFTC No-Action Letter issued to SIMEX) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI India Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Indonesia Approved for sale to U. S. Persons (October 2, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Philippines Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (July 11, 2000 CFTC No-Action Letter issued to SGX-DT)3 None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Taiwan Approved for sale to U. S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Thailand Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 25 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei 300 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SampP CNX Nifty (ldquoNifty 50rdquo) Approved for sale to U. S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT) None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) USD Nikkei Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered South AfricaJSESAFEX ALSIFTSE JSE 40 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to SAFEX) None offered Not approved None offered South AfricaJSESAFEX Financial Not approved None offered None offered None offered South AfricaJSESAFEX FTSEJSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South AfricaJSESAFEX Industrial Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 26 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South AfricaJSESAFEX Mining Not approved None offered None offered None offered South KoreaKorea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered South KoreaKorea Exchange KOSPI 200 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Korea Futures Exchange) None offered Not approved None offered SpainMadrid Stock Exchange Single name equities None offered None offered Not approved4 None offered SpainMEFF IBEX 35 Approved for sale to U. S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3 None offered Not approved None offered SpainMEFF IBEX 35 Mini Not approved Not approved None offered None offered SpainMEFF SampP Euro Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMEFF SampP Europe 350 Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SwedenOMHEX HEXTECH Not approved Not approved None offered None offered SwedenOMHEX HEXTEMP Not approved None offered None offered None offered SwedenOMX Nordic Exchange Stockholm AB NOX Not approved None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 27 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SwedenOMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXcap Approved for sale to U. S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXS30 (formerly OMX) Approved for sale to U. S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered SwedenOMX Nordic Exchange Stockholm AB VINX30 Approved for sale to U. S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm) None offered Not approved Not approved SwitzerlandSIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered TaiwanTaiwan Futures Exchange Electronic Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Finance Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 28 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TaiwanTaiwan Futures Exchange GreTai Securities Market Capitalized Weighted Approved for sale to U. S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Mini-TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered None offered None offered TaiwanTaiwan Futures Exchange MSCI Taiwan Approved for sale to U. S. Persons (October 12, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Taiwan Stock Exchange Non-Finance Non-Electronics Approved for sale to U. S. Persons (April 1, 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered ThailandThailand Futures Exchange PCL SET50 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 29 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TurkeyBorsa stanbul Derivatives Market (VIOP) BIST 30 (formerly ISE 30)13 Approved for sale to U. S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange) None offered Not approved None offered U. K.EDX London Exchange KFXFlex KFX Not approved None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange OBXFlex OBX Not approved None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange OMXFlex OMX None offered None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange)4 None offered U. K.EDX London Exchange Single name equities None offered None offered Approved for options on individual Swedish, Norwegian and Danish equities11 for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 30 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.LIFFE (ICE Futures Europe)16 FTSE 100 Approved for sale to U. S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3 None offered Approved for Eligible U. S. Institutions (May 1, 1992 SEC No-Action Letter issued to LIFFE)4 None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 100 FLEX None offered None offered Approved for Eligible U. S. Institutions (March 6, 1996 SEC No-Action Letter issued to LIFFE) None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 250 (Mid-Cap) Approved for sale to U. S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE Eurotop 100 Approved for sale to U. S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 Mini FTSE 100 Approved for sale to U. S. Persons (May 30, 2001 CFTC No-Action letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 MSCI Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 31 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.LIFFE (ICE Futures Europe)16 MSCI Europe (Euro-denominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 MSCI Pan-Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 Single name equities Not approved None offered Approved for Eligible Options on individual equity securities on specified non-U. S. exchanges15 for Eligible U. S. Institutions (March 14, 2014 Representation Letter from ICE Futures Europe to SEC) None offered U. K.LIFFE (ICE Futures Europe)16 TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives FTSE 100 Approved for sale to U. S. Persons (August 28, 2014 certification) None offered Not approved4 None offered U. K.London Stock Exchange Derivatives FTSE UK Large Cap Super Liquid (FTSE SLQ) Approved for sale to U. S. Persons (August 28, 2014 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives Single name equities None offered None offered Not approved (see U. K.LIFFE)4 None offered U. K.Turquoise Global Holdings Limited FTSE 100 Approved for sale to U. S. Persons (June 1, 2012 certification) None offered Not approved4 None offered 32 NOTE: This Chart covers those products and exchanges that are likely to be of greatest interest to market participants in the United States. It is not, therefore, intended to be exhaustive, and is presented without any representation or warranty as to its accuracy, completeness or timeliness. Transmission or receipt of this information does not create an attorney-client relationship with Katten Muchin Rosenman LLP, and the information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. This Chart does not express any opinion as to the potential application of the laws of any jurisdiction other than the United States. Questions regarding the permissibility of trading in products that are not included in this Chart should be addressed to James D. Van De Graaff at 1.312.902.5227, Kenneth M. Rosenzweig at 1.312.902.5381, Kevin M. Foley at 1.312.902.5372, Gary DeWaal at 1.212.940.6558, Christian B. Hennion at 1.312.902.5521 or Blake J. Brockway at 1.312.902.5438. ldquoEligible U. S. Institutionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible U. S. Institutionrdquo means, in general, a U. S. Person that (i) is a ldquoqualified institutional buyerrdquo as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (ii) has had prior actual experience in trading U. S.-listed options contracts. For information regarding working definitions of ldquoU. S. Personrdquo as that term is used in this Chart, please contact Katten Muchin Rosenman LLP. ldquoEligible Optionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible Optionrdquo means an index option or option on an individual security traded on a Foreign Options Market that is not fungible or interchangeable with options traded on any market other than the Foreign Options Market and, accordingly, each position in an Eligible Option issued by a clearing member of the Foreign Options Market can be closed out only on the Foreign Options Market. A ldquoForeign Options Marketrdquo means a non-U. S. derivatives market: (1) on which Eligible Options trade and (2) that is an organized exchange operated and regulated outside the United States. See LIFFE AampM and Class Relief, SEC No-Action Letter (Jul. 1, 2013) available here. 1 Reserved 2 The CFTC No-Action Letter also applies to BMampF Bovesparsquos ldquoIbovespa Rolloverrdquo and ldquoForward Points on the Ibovespardquo transactions. 3 The index is included in the CFTCrsquos and SECrsquos joint order dated May 31, 2002, extending the exclusion of such index from the definition of ldquonarrow-based security indexrdquo under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the ldquoJoint Orderrdquo). Foreign futures contracts or options on futures contracts on ldquonarrow-based securities indexesrdquo may not be offered or sold to U. S. Persons without the CFTC and SEC first developing joint regulations, which has not yet been done. Accordingly, the Joint Order effectively allows the stock index futures contracts and options on futures contracts that are based on the security indexes included in the Joint Order, which were granted no-action relief by the CFTC prior to the enactment of the Commodity Futures Modernization Act (ldquoCFMArdquo) on December 21, 2000, to continue to be offered and sold to U. S. Persons after July 11, 2002, the date that the exclusion set forth in the CFMA was to expire. 4 Bclear allows members to submit an option contract on a non-U. S. security that has been negotiated and completed as an over-the-counter (OTC) transaction so that LIFFE may replace the OTC transaction with an equivalent LIFFE options contract. LIFFE members that intend to offer or sell such products to U. S. Persons must satisfy the following conditions: (i) Bclear services may only be offered to a U. S. person that qualifies as an Eligible U. S. Institution (see above) (ii) the LIFFE member must obtain and maintain certain representations from the customer and (iii) before transacting, and on an annual basis thereafter, the LIFFE member must file a declaration with LIFFE. For additional information on these conditions, see LIFFE London Notice No. 3732. LIFFE maintains a list of Eligible Options, which includes (1) LIFFE individual equity options based on the securities of non-U. S. issuers and (2) LIFFE index options based on indexes that contain no component securities of U. S. issuers. The list of Eligible Options may be accessed here. 5 The SEC also has approved for Eligible U. S. Institutions all options on individual German-, Swiss-, Finnish-, Dutch-, Italian - and French-issued equities where those options are now or in the future listed on Eurex. Options on equities issued in any other country have not been approved at this time for trading by U. S. Persons on Eurex. 6 Eurex offers a KOSPI product that Eurex describes as a daily futures contract that expires every night, with any net open positions at the end of trading resulting in the establishment of a corresponding position in the Korean Exchangersquos KOSPI 200 Options (with strike prices, expiries, putcall and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 28111, the Dow Jones STOXX 600 Personal amp Household Goods Sector will no longer be tradable on Eurex trading terminals in the United States. after the close of business on February 29, 2012. The previously issued no-action letter approving such product for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 8 Pursuant to Eurex Circular 26011, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the United States see also Eurex Circular 28111. The previously issued no-action letter approving such product for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 9 Additional restrictions apply to the trading of these products by U. S. Persons. 10 Reserved 11 The SEC also has approved for Eligible U. S. Institutions all options on individual Swedish-, Norwegian - and Danish-issued equities where those options are now or in the future listed on the EDX London exchange. Options on equities issued in any other country have not been approved at this time for trading by U. S. Persons on the EDX London Exchange. Note: EDX London Exchange has been acquired by the Turquoise Exchange. 12 The RDX USD Index futures and options contracts have not been approved for sale to U. S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD ndash RDX Extended Index futures contract) for sale to U. S. Persons in a no-action letter issued on March 6, 2008, but Eurex subsequently delisted the contract. 13 The Istanbul Stock Exchange (ISE) is now part of the Borsa Istanbul (BIST). As such, references to ISE 30 have been changed to BIST 30 on VIOPrsquos trading platform and the CFTCrsquos website. For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 33 60970926 14 The London Stock Exchange offers options on Russian equity products through its International Order Book. Providing all applicable conditions are met, Eligible U. S. Institutions may trade these options through the Bclear service offered by LIFFE. See Footnote 4. 15 ICE Futures Europe listed the following non-U. S. stock exchanges in its claim for class relief: Borsa Italiana, Cophenhagen Stock Exchange, Deutsche Boerse, Euronext Amsterdam, Euronext Brussels, Euronext Lisbon, Euronext Paris, Helsinki Stock Exchange, Irish Stock Exchange, London Stock Exchange, London Stock Exchange International Order Book, Madrid Stock Exchange, Oslo Stock Exchange, SIX Swiss Exchange, Stockholm Stock Exchange and Vienna Stock Exchange. 16 This exchange has claimed relief under LIFFE AampM and Class Relief SEC No-Action Letter (Jul. 1, 2013) for Foreign Options Markets engaging in familiarization activities with Eligible U. S. Institutions with respect to Eligible Options. 17 Euronext Amsterdam listed the following regulated markets elsewhere in Europe for class relief: Euronext Brussels, Euronext Paris, London Stock Exchange, Deutsche Borse, Borsa Italiana, Bolsas y Mercados Espanoles, Swiss Exchange, OMX Stockholm, Oslo Stock Exchange, OMX Copenhagen, Weiner Borse, Irish Stock Exchange and OMX Helsinki. 18 Euronext Paris listed the following regulated markets elsewhere in Europe for class relief: Euronext Brussels, Euronext Amsterdam, London Stock Exchange, Deutsche Borse, Borsa Italiana, Bolsas y Mercados Espanoles, Swiss Exchange, OMX Stockholm, Oslo Stock Exchange, OMX Copenhagen, Weiner Borse, Irish Stock Exchange and OMX Helsinki. kattenlaw AUSTIN CENTURY CITY CHARLOTTE CHICAGO HOUSTON IRVING LONDON LOS ANGELES NEW YORK ORANGE COUNTY SAN FRANCISCO BAY AREA SHANGHAI WASHINGTON, DC Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion. copy2014 Katten Muchin Rosenman LLP. Alle Rechte vorbehalten. Katten Muchin Rosenman LLP is an Illinois limited liability partnership including professional corporations that has elected to be governed by the Illinois Uniform Partnership Act (1997). London affiliate: Katten Muchin Rosenman UK LLP To view all formatting for this article (eg, tables, footnotes), please access the original here. Ich finde den Lexologieservice von unschätzbarem Wert. Gemeinsam mit vielen hauseigenen Anwälten habe ich nur begrenzten Zugang zu (und einem begrenzten Budget für) Ressourcen und vertraue darauf, Know-how von Freunden und Kontakten in der Privatpraxis zu erhalten. Lexologie ist großartig, da es eine tägliche E-Mail mit den Schlagzeilen in allen Bereichen des Gesetzes gibt, an denen ich interessiert bin (was für mich alle relevant ist, da ich in der Lage war zu wählen, welche Bereiche ich bei der Registrierung interessiert habe), mit Links zu Artikel aus einer Vielzahl von Quellen. Ich neige dazu, durch die tägliche E-Mail zu blättern, wenn ich mein Mittagessen lese, die Schlagzeilen und Beschreibungen der Artikel lese und auf irgendwelche Gegenstände klicke, die für mich interessant sind - so fühle ich mich wie in der Schleife mit legal gehalten Entwicklungen Neben der täglichen E-Mail finde ich die Artikel selbst sehr hilfreich - sie setzen den Rechtsgrundsatz auf, aber am wichtigsten, sie kochen sie auf die praktischen Implikationen. Wenn ich rechtliche Forschung mache, finde ich auch die Archivsuchfunktion sehr hilfreich. Ich habe den Service für ein paar Freunde empfohlen, die es auch sehr hilfreich gefunden haben. quot quotIch finde den Lexologie Service unschätzbar. Gemeinsam mit vielen hauseigenen Anwälten habe ich nur begrenzten Zugang zu (und einem begrenzten Budget für) Ressourcen und vertraue darauf, Know-how von Freunden und Kontakten in der Privatpraxis zu erhalten. Lexologie Ich finde den Lexologieservice von unschätzbarem Wert. Gemeinsam mit vielen hauseigenen Anwälten habe ich nur begrenzten Zugang zu (und einem begrenzten Budget für) Ressourcen und vertraue darauf, Know-how von Freunden und Kontakten in der Privatpraxis zu erhalten. Lexologie ist großartig, da es eine tägliche E-Mail mit den Schlagzeilen in allen Bereichen des Gesetzes gibt, an denen ich interessiert bin (was für mich alle relevant ist, da ich in der Lage war zu wählen, welche Bereiche ich bei der Registrierung interessiert habe), mit Links zu Artikel aus einer Vielzahl von Quellen. Ich neige dazu, durch die tägliche E-Mail zu blättern, wenn ich mein Mittagessen lese, die Schlagzeilen und Beschreibungen der Artikel lese und auf irgendwelche Gegenstände klicke, die für mich interessant sind - so fühle ich mich wie in der Schleife mit legal gehalten Entwicklungen Neben der täglichen E-Mail finde ich die Artikel selbst sehr hilfreich - sie setzen den Rechtsgrundsatz auf, aber am wichtigsten, sie kochen sie auf die praktischen Implikationen. Wenn ich rechtliche Forschung mache, finde ich auch die Archivsuchfunktion sehr hilfreich. I have recommended the service to quite a few friends who have also found it very helpful. quot Kirsteen Lamont In House Lawyer Phones 4u LimitedForeign Listed Stock Index Futures and Options Approval To view this article you need a PDF viewer such as Adobe Reader. European Union, USA April 16 2014 Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are superseded and should be discarded. Please note the following developments since we last distributed the Approvals Chart: (1) The CFTC has approved the following contracts for trading by U. S. persons: (i) Eurexrsquos futures contract based on the MSCI China Free Index (ii) Eurexrsquos futures contract based on the MSCI Emerging Markets Asia Index (iii) Eurexrsquos futures contract based on the MSCI Emerging Markets EMEA Index (iv) Eurexrsquos futures contract based on the MSCI Emerging Markets Index (v) Eurexrsquos futures contract based on the MSCI Emerging Markets India Index (vi) Eurexrsquos futures contract based on the MSCI Emerging Markets Latin America Index (vii) Eurexrsquos futures contract based on the MSCI Europe Growth Index (viii) Eurexrsquos futures contract based on the MSCI Europe Value Index (ix) Eurexrsquos futures contract based on the MSCI Malaysia Index (x) Eurexrsquos futures contract based on the MSCI South Africa Index (xi) Eurexrsquos futures contract based on the MSCI Thailand Index (xii) SGX-DTrsquos futures contract based on the MSCI India Index (xiii) SGX-DTrsquos futures contract based on the MSCI Philippines Index (xiv) SGX-DTrsquos futures contract based on the MSCI Thailand Index (xv) Euronext LIFFErsquos British pound sterling-denominated futures contract (pound2 per index point) based on the FTSE 250 Index and (xvi) Euronext LIFFErsquos Euro-denominated futures contract based on the MSCI Europe Index. (2) The SEC has not approved any new foreign equity index options since we last distributed the Approvals Chart. (3) In addition, the Chart has been modified to note the availability of the Bclear service offered by LIFFE, which allows LIFFE members that comply with specified criteria to clear certain non-U. S. equity and index options that were executed over the counter on behalf of Eligible U. S. Institutions. Please refer to Footnote 4 for additional information. For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 1 Foreign Listed Stock Index Futures and Options Approvals (April 2014) CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options AustraliaASXASX Futures Exchange SampPASX 50 Approved for sale to U. S. Persons (July 24, 2002 No-Action Letter issued to ASX Futures Exchange) None offered Approved for Eligible U. S. Institutions only (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaASXASX Futures Exchange Single name equities None offered None offered Approved for Eligible U. S. Institutions only (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaASXASX Futures Exchange SampPASX 200 Approved for sale to U. S. Persons (July 24, 2002 No-Action Letter issued to ASX Futures Exchange) None offered Approved for Eligible U. S. Institutions only (August 13, 2007 SEC No-Action Letter issued to ASX Limited) Not approved AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Not approved None offered Approved for Eligible U. S. Institutions only (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaSydney Futures Exchange (SFE) SPI 200 Approved for sale to U. S. Persons (August 10, 1999 No-Action Letter issued to SFE) Approved for sale to U. S. Persons (August 10, 1999 No-Action Letter issued to SFE) Not approved None offered AustraliaSydney Futures Exchange (SFE) 1-Day Option Contract based on the CBOT Mini-Sized Dow Futures Contract None offered Approved for sale to U. S. Persons (August 8, 2006 No-Action Letter issued to SFE) None offered None offered AustriaWiener Borse ATX Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 2 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options AustriaWiener Borse Russian Traded Not approved None offered Not approved None offered AustriaWiener Borse CECE Indices (CEX, CTX, HTX, PTX) Not approved None offered Not approved None offered AustriaWiener Borse Single name equities None offered None offered Not approved4 None offered BelgiumEuronext Brussels BEL 20 Approved for sale to U. S. Persons (August 31, 2011 No-Action Letter issued to Euronext Brussels) None offered Not approved4 None offered BelgiumEuronext Brussels Mini BEL 20 (index participation units) None offered None offered Not approved None offered BelgiumEuronext Brussels Mini Dow Jones Euro STOXX (index participation units) None offered None offered Not approved None offered BelgiumEuronext Brussels Single name equities Not approved None offered Not approved4 None offered Brazil BMampF Bovespa S. A. Ibovespa Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.)2 Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.) Not approved None offered Brazil BMampF Bovespa S. A. Ibovespa Flex None offered None offered Not approved None offered Brazil BMampF Bovespa S. A. Mini Ibovespa Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.) None offered None offered None offered Brazil BMampF Bovespa S. A. IBrX 50 Index Futures Contract Approval pending Not approved Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 3 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Brazil BMampF Bovespa S. A. SampP 500 Index Approved for sale to U. S. Persons (September 24, 2012 certification) None offered None offered None offered Brazil BMampF Bovespa S. A. MICEX Approved for sale to U. S. Persons (March 12, 2013 certification) None offered None offered None offered Brazil BMampF Bovespa S. A. Hang Seng Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered Brazil BMampF Bovespa S. A. FTSEJSE Top 40 Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered Brazil BMampF Bovespa S. A. BSE Sensitive Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Canada 60 Approved for sale to U. S. Persons (December 9, 1999 CFTC No-Action Letter issued to Montreal Exchange)3 None offered Approved, including approval of all other index options, for sale to U. S. Persons generally that are now or may in the future be listed (Post-Effective Amendment No. 27 to Registration Statement on Form S-20 filed by Canadian Derivatives Clearing Corp. SEC File No. 2-69458) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 4 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options CanadaMontreal Exchange (Bourse de Montreacuteal) Single name equities None offered None offered Approved for all options on individual securities listed on the Montreal Exchange that are now or may in the future be listed for sale to U. S. Persons generally (Post-Effective Amendment No. 27 to Registration Statement on Form S-20 filed by Canadian Derivatives Clearing Corp. SEC File No. 2-69458) None offered CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX 60 Index Mini Futures Approved for sale to U. S. Persons (April 19, 2012 certification) None offered None offered None offered CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSE 60 Index Participation Fund (i60 Fund) None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Capped Sector Not approved None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) None offered CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Gold Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 5 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Financials Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Information Technology Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Energy Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) China (see also Hong Kong and Taiwan)China Financial Futures Exchange CSI 300 Index Futures Not approved None offered None offered None offered DenmarkOMX Nordic Exchange Copenhagen AS Single name equities None offered None offered Not approved4,11 None offered DenmarkFUTOP Market KFX (LargeSmall Contract) Not approved None offered Not approved None offered FinlandOMX Nordic Exchange Helsinki Single name equities None offered None offered Not approved4,5 None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 6 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A. CAC40 Approved for sale to U. S. Persons (December 17, 1991 No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions only (July 17, 1996 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse)4 None offered FranceEuronext Paris S. A. CAC40 Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered None offered None offered FranceEuronext Paris S. A. Single name equities Not approved None offered Approved for all options on individual equity securities that are now or may in the future be listed5 for Eligible U. S. Institutions only (July 17, 1996 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse)4 None offered FranceEuronext Paris S. A. Dow Jones STOXX 50 Approved for sale to U. S. Persons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions only (October 26, 1998 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 7 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A. Dow Jones Euro STOXX 50 Approved for sale to U. S. Persons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions only (October 26, 1998 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse) None offered FranceEuronext Paris S. A. Dow Jones STOXX 600 Sectors (Bank, Energy, Healthcare, Technology, Telecommunications) Not approved None offered Not approved None offered FranceEuronext Paris S. A. FTSEurofirst 80 Approved for sale to U. S. Persons (March 5, 2007 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered4 None offered FranceEuronext Paris S. A. FTSEurofirst 100 Approved for sale to U. S. Persons (March 5, 2007 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered4 None offered FranceEuronext Paris S. A. FTSE EPRANAREIT Europe Approved for sale to U. S. Persons (July 10, 2008 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered Not approved For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 8 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A. FTSE EPRANAREIT Euro Zone Approved for sale to U. S. Persons (July 10, 2008 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered Not approved GermanySwitzerland Eurex DAX Approved for sale to U. S. Persons (December 20, 1994 CFTC No-Action Letter issued to Deutsche Terminborse)3 None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex DAX EX Not approved None offered None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanySwitzerland Eurex Dow Jones Euro STOXX 50 Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to Eurex)3 None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex Dow Jones Euro STOXX 50 Dividend Not approved Not approved None offered None offered GermanySwitzerland Eurex Dow Jones STOXX 50 Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to Eurex)3 None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex Dow Jones Euro STOXX 50 EX Not approved None offered Not approved Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 9 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex KOSPI 200 Options6 Not approved None offered Not approved None offered GermanySwitzerland Eurex Swiss Market Not approved None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanySwitzerland Eurex SLI Swiss Leader Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Swiss Market Index Midcap (SMIM) Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones Global Titans 50 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex Dow Jones Global Titans 50 Index (US Denominated) Approved for sale to U. S. Persons (June 5, 2012 certification) None offered None offered None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Banking Sector Approved for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX Small 200 Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 10 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex Dow Jones STOXX Mid 200 Approved for sale to U. S. Persons (June 18, 2007 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX Large 200 Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Approved for sale to U. S. Persons (June 18, 2007 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Industrial Goods amp Services Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Insurance Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Media Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Personal amp Household Goods Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex)7 None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Retail Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 11 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex Dow Jones STOXX 600 Travel amp Leisure Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Utilities Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Other Dow Jones STOXX 600 Market Sectors (Technology, Healthcare, Tele-communications) Not approved None offered Not approved None offered GermanySwitzerland Eurex Dow Jones Euro STOXX Banking Sector Not approved8 None offered Not approved None offered GermanySwitzerland Eurex Dow Jones Euro STOXX Select Dividend 30 Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Other Dow Jones Euro STOXX Sectors (various) Not approved None offered Not approved None offered GermanySwitzerland Eurex HEX 25 Finnish Not approved None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex TECDAX Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 12 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex Dow Jones Italy Titans 30 Approved for sale to U. S. Persons (November 23, 2005 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex MDAX Approved for sale to U. S. Persons (March 14, 2006 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex iShares DJ EURO STOXX None offered None offered None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanySwitzerland Eurex RDX USD12 Not approved None offered Not approved None offered GermanySwitzerland Eurex DJ Banks Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex DJ Oil and Gas Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex DJ Insurance Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex DJ Telecommunications Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex DJ Utilities Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex MSCI All Countries Asia Pacific ex-Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 13 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex MSCI China Free Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Emerging Markets Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets Asia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets EMEA Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets Latin America Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Europe Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not Approved None offered GermanySwitzerland Eurex MSCI Europe Growth Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Europe Value Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI India Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 14 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex MSCI Malaysia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI South Africa Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Thailand Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI World Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not Approved None offered GermanySwitzerland Eurex STOXX Europe 600 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Large 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Mid 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Small 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Large Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 15 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex Euro STOXX Mid Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Small Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Mini Euro STOXX 50 Volatility Index Approved for sale to U. S. Persons (July 20, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX 50 Ex Financials Index Approved for sale to U. S. Persons (August 27, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Single name equities Not approved None offered Approved for options on individual German, Swiss, Finnish, Dutch, Italian, and French equities5 for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyBoumlrse Frankfurt Single name equities None offered None offered Not approved4,5 None offered GreeceAthens Exchange Derivatives Market FTSEASE 20 Not approved None offered Not approved None offered GreeceAthens Exchange Derivatives Market FTSEASE Mid-40 Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 16 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Hang Seng Approved for sale to U. S. Persons (June 1, 1994 CFTC No-Action Letter issued to HKFE)3 None offered Approved for Eligible U. S. Institutions only (September 26, 1995 SEC No-Action Letter issued to HKFE) None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng Approved for sale to U. S. Persons (January 16, 2009 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng China Enterprises Index Approved for sale to U. S. Persons (January 16, 2009 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) FTSEXinhua China 25 Approved for sale to U. S. Persons (September 26, 2006 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) H-Shares (Hang Seng China Enterprises Index) Approved for sale to U. S. Persons (September 26, 2006 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) DJIA Not approved None offered None offered None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) CES China 120 Approved for sale to U. S. Persons (September 17, 2013 certification) None offered None offered None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSI Volatility Index (VHSI) Approved for sale to U. S. Persons (September 17, 2013 certification) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 17 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSCEI Dividend Point Index Not Approved None offered None offered None offered HungaryBudapest Stock Exchange BUX Not approved None offered None offered None offered IndiaBombay Stock Exchange (BSE) BSE Sensitive Index of 30 Stocks (Sensex)9 Approved for sale to U. S. Persons (June 14, 2006 CFTC No-Action Letter issued to BSE) None offered Not approved None offered IndiaBombay Stock Exchange (BSE) SampP BSE 100 Approved for sale to U. S. Persons (September 24, 2013 certification) None offered Not approved None offered IndiaBombay Stock Exchange (BSE) DOLLEX-309 Not approved None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) SampP CNX Nifty (ldquoNifty 50rdquo)9 Approved for sale to U. S. Persons (October 17, 2003 CFTC No-Action Letter issued to NSE) None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) CNXIT Not approved None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) Bank Nifty Not approved None offered Not approved None offered IrelandIrish Stock Exchange Single name equities None offered None offered Not approved4 None offered IsraelTel Aviv Stock Exchange TA 25 Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 18 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options IsraelTel Aviv Stock Exchange TA Banks Not approved None offered Not approved None offered ItalyBorsa Italiana ndash IDEM FTSE MIB4 Approved for sale to U. S. Persons (August 30, 2004 CFTC No-Action Letter issued to Borsa Italiana) None offered Approved for Eligible U. S. Institutions only (September 24, 2004 No-Action Letter issued to Borsa Italiana) None offered ItalyBorsa Italiana ndash IDEM Single name equities Not approved None offered Approved for Eligible U. S. Institutions only (see September 1, 1998 SEC No-Action Letter issued to Borsa Italiana with respect to options on individual ISE equities)4,5 None offered ItalyBorsa Italiana ndash IDEM Mini FTSE MIB Approved for sale to U. S. Persons (August 30, 2004 CFTC No-Action Letter issued to Borsa Italiana) None offered None offered None offered ItalyBorsa Italiana ndash IDEM FTSE MIB Dividend Approval pending None offered None offered None offered JapanOsaka Securities Exchange (OSE) Nikkei 300Intercontract Spread Approved for sale to U. S. Persons (May 17, 1994 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 19 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Securities Exchange (OSE) Single name equities None offered None offered Approved for options on individual equities that are listed and traded on the OSE or other Japanese exchanges that are now or may in the future be listed for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Securities Exchange (OSE) Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Securities Exchange (OSE) Mini Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (July 11, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered JapanOsaka Securities Exchange (OSE) Sector Indices (High Tech, Financial and Consumer Indices) Not approved None offered Not approved None offered JapanOsaka Securities Exchange (OSE) DJIA Approved for sale to U. S. Persons (June 15, 2012 certification) None offered None offered None offered JapanOsaka Securities Exchange (OSE) RussellNomura Prime Approved for sale to U. S. Persons (March 14, 2005 No-Action Letter issued to OSE) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 20 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Securities Exchange (OSE) FTSE Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Securities Exchange (OSE) MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Securities Exchange (OSE) Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered JapanTokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) Nikkei 225 Dividend Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) TOPIX Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions only (July 27, 1999 SEC No-Action Letter issued to TSE) None offered JapanTokyo Stock Exchange (TSE) Single name equities None offered None offered Approved for options on individual TSE equities that are now or may in the future be listed for Eligible U. S. Institutions only (July 27, 1999 SEC No-Action Letter issued to TSE) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 21 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanTokyo Stock Exchange (TSE) TOPIX 150 Approved for sale to U. S. Persons (May 23, 2001 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions only (November 15, 2002 SEC No-Action Letter issued to TSE) None offered JapanTokyo Stock Exchange (TSE) TOPIX Sector Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) TOPIX Core30 Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Stock Exchange (TSE) Tokyo Stock Exchange REIT Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Stock Exchange (TSE) Mini TOPIX Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered Korea ndash see South Korea - - - - - MalaysiaBursa Malaysia Derivatives Berhad (BMD) FTSE Bursa Malaysia Kuala Lumpur Composite Approved for sale to U. S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad) None offered Not approved None offered MexicoMexican Derivatives Exchange (MEXDER) IPC Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 22 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Netherlands Euronext Amsterdam Derivatives Markets N. V. FTSE Eurotop 100 Approved for sale to U. S. Persons (May 14, 1996 CFTC No-Action Letter issued to Financiele Termijnmarkt Amsterdam)3 None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved4 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. AEX Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Single name equities Not approved None offered Not approved4,5 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Light AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Amsterdam Mid-Kap Not approved None offered Not approved None offered New ZealandNZFOE NZSE 10 Not approved Not approved None offered None offered NorwayOslo Stock Exchange OBX Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 23 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options NorwayOslo Stock Exchange Single name equities None offered None offered Not approved4,11 None offered PolandWarsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered PortugalEuronext Lisbon PSI 20 Not approved Not approved None offered4 None offered PortugalEuronext Lisbon Single name equities Not approved None offered Not approved4 None offered RussiaRussian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered Not approved None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Dow Jones Thailand Not approved (the requested approval was deemed withdrawn by the CFTC in 2004) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Hong Kong Approved for sale to U. S. Persons (December 17, 1999 CFTC No-Action Letter issued to SIMEX) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Taiwan Approved for sale to U. S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei 300 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 24 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) USD Nikkei Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) FTSEXinhua China A50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Asia APEX 50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (July 11, 2000 CFTC No-Action Letter issued to SGX-DT)3 None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Thailand Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 25 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Philippines Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI India Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Indonesia Approved for sale to U. S. Persons (October 2, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SampP CNX Nifty (ldquoNifty 50rdquo) Approved for sale to U. S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT) None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Mini Nikkei 225 Approved for sale to U. S. Persons (December 23, 2009 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Euro STOXX 50 Approved for sale to U. S. Persons (March 22, 2012 certification) None offered None offered None offered South AfricaJSESAFEX ALSIFTSE JSE 40 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to SAFEX) None offered Not approved None offered South AfricaJSESAFEX FTSEJSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South AfricaJSESAFEX Mining Not approved None offered None offered None offered South AfricaJSESAFEX Financial Not approved None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 26 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South AfricaJSESAFEX Industrial Not approved None offered None offered None offered South KoreaKorea Exchange KOSPI 200 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Korea Futures Exchange) None offered Not approved None offered South KoreaKorea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered SpainMEFF IBEX 35 Approved for sale to U. S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3 None offered Not approved None offered SpainMEFF IBEX 35 Mini Not approved Not approved None offered None offered SpainMEFF SampP Euro Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMEFF SampP Europe 350 Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMadrid Stock Exchange Single name equities None offered None offered Not approved4 None offered SwedenOMHEX HEXTECH Not approved Not approved None offered None offered SwedenOMHEX HEXTEMP Not approved None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 27 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SwedenOMX Nordic Exchange Stockholm AB OMXS30 (formerly OMX) Approved for sale to U. S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXcap Approved for sale to U. S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB NOX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB VINX30 Approved for sale to U. S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm) None offered Not approved Not approved SwedenOMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered SwitzerlandSIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered Switzerland ndash see Germany - - - - - TaiwanTaiwan Futures Exchange GreTai Securities Market Capitalized Weighted Approved for sale to U. S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 28 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TaiwanTaiwan Futures Exchange TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Mini-TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered None offered None offered TaiwanTaiwan Futures Exchange MSCI Taiwan Approved for sale to U. S. Persons (October 12, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered TaiwanTaiwan Futures Exchange Electronic Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Finance Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Taiwan Stock Exchange Non-Finance Non-Electronics Approved for sale to U. S. Persons (April 1, 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 29 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options ThailandThailand Futures Exchange PCL SET50 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange) None offered Not approved None offered TurkeyBorsa stanbul Derivatives Market (VIOP) BIST 30 (formerly ISE 30)13 Approved for sale to U. S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange) None offered Not approved None offered U. K.Euronext LIFFE FTSE 100 Approved for sale to U. S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3 None offered Approved for Eligible U. S. Institutions only (May 1, 1992 SEC No-Action Letter issued to LIFFE)4 None offered U. K.Euronext LIFFE Single name equities Not approved None offered Approved for options on individual LSE equity securities that are now or may in the future be listed for Eligible U. S. Institutions only (May 1, 1992 SEC No-Action Letter issued to LIFFE), None offered U. K.Euronext LIFFE FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (Mid-Cap) Approved for sale to U. S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE Mini FTSE 100 Approved for sale to U. S. Persons (May 30, 2001 CFTC No-Action letter issued to LIFFE)3 None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 30 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.Euronext LIFFE FTSE Eurotop 100 Approved for sale to U. S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE FTSE 100 FLEX None offered None offered Approved for Eligible U. S. Institutions only (March 6, 1996 SEC No-Action Letter issued to LIFFE) None offered U. K.Euronext LIFFE MSCI Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE MSCI Pan-Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offered None offered None offered U. K.Euronext LIFFE MSCI Europe (Euro-denominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K.EDX London Exchange OMXFlex OMX None offered None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange)4 None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 31 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.EDX London Exchange OBXFlex OBX Not approved None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange Single name equities None offered None offered Approved for options on individual Swedish, Norwegian and Danish equities11 for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange KFXFlex KFX Not approved None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.London Stock Exchange Derivatives FTSE 100 Approval pending None offered Not approved4 None offered U. K.London Stock Exchange Derivatives FTSE UK Large Cap Super Liquid (FTSE SLQ) Approval pending None offered None offered None offered U. K.London Stock Exchange Derivatives Single name equities None offered None offered Not approved (see U. K.Euronext LIFFE)4 None offered U. K.Turquoise Global Holdings Limited FTSE 100 Approved for sale to U. S. Persons (June 1, 2012 certification) None offered Not approved4 None offered NOTE: This Chart covers those products and exchanges that are likely to be of greatest interest to market participants in the United States. It is not, therefore, intended to be exhaustive, and is presented without any representation or warranty as to its accuracy, completeness or timeliness. Transmission or receipt of this information does not create an attorney-client relationship with Katten Muchin Rosenman LLP, and the information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. This Chart does not express any opinion as to the potential application of the laws of any jurisdiction other than the United States. Questions regarding the permissibility of trading in products that are not included in this Chart should be addressed to James D. Van De Graaff at 1.312.902-5227, Kenneth M. Rosenzweig at 1.312.902-5381, Kevin M. Foley at 1.312.902-5372, Christian B. Hennion at 1.312.902-5521 or Blake J. Brockway at 1.312.902-5438. ldquoEligible U. S. Institutionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible U. S. Institutionrdquo means, in general, a U. S. Person that (i) is a ldquoqualified institutional buyerrdquo as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (ii) has had prior actual experience in trading U. S. listed options contracts. For information regarding working definitions of ldquoU. S. Personrdquo as that term is used in this Chart, please contact Katten Muchin Rosenman LLP. 1 Reserved 2 The CFTC No-Action Letter also applies to BMampF Bovesparsquos ldquoIbovespa Rolloverrdquo and ldquoForward Points on the Ibovespardquo transactions. 3 The index is included in the CFTCrsquos and SECrsquos joint order dated May 31, 2002 extending the exclusion of such index from the definition of ldquonarrow-based security indexrdquo under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the ldquoJoint Orderrdquo). Foreign futures contracts or options on futures contracts on ldquonarrow-based securities indexesrdquo may not be offered or sold to U. S. Persons without the CFTC and SEC first developing joint regulations, which has not yet been done. Accordingly, the Joint Order effectively allows the stock index futures contracts and options on futures contracts that are based on the security indexes included in the Joint Order, which were granted no-action relief by the CFTC prior to the enactment of the Commodity Futures Modernization Act (ldquoCFMArdquo) on December 21, 2000, to continue to be offered and sold to U. S. Persons after July 11, 2002, the date that the exclusion set forth in the CFMA was to expire. 4 These products may be eligible for clearing through the Bclear service offered by Euronext LIFFE (ldquoLIFFErdquo). Bclear allows members to submit an option contract on a non-U. S. security that has been negotiated and completed as an over-the-counter (ldquoOTCrdquo) transaction so that LIFFE may replace the OTC transaction with an equivalent LIFFE options contract. LIFFE members that intend to offer or sell such products to U. S. persons must satisfy the following conditions: (i) Bclear services may only be offered to a U. S. person that qualifies as an Eligible U. S. Institution (see above), (ii) the LIFFE member must obtain and maintain certain representations from the customer, and (iii) before transacting, and on an annual basis thereafter, the LIFFE member must file a declaration with LIFFE. For additional information on these conditions, see LIFFE London Notice No. 3732. LIFFE maintains a list of eligible options, which includes (1) LIFFE individual equity options based on the securities of non-U. S. issuers and (2) LIFFE index options based on indices that contain no component securities of U. S. issuers. The list of eligible options may be accessed here. 5 The SEC also has approved for Eligible U. S. Institutions all options on individual German-, Swiss-, Finnish-, Dutch-, Italian - and French-issued equities that are now or that in the future may be listed on Eurex. Equities issued in any other country that are listed on Eurex have not been approved at this time. 6 Eurex offers a KOSPI product that Eurex describes as a daily futures contract that expires every night, with any net open positions at the end of trading resulting in the establishment of a corresponding position in the Korean Exchangersquos KOSPI 200 Options (with strike prices, expiries, putcall and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 28111, the Dow Jones STOXX 600 Personal amp Household Goods Sector will no longer be tradable on Eurex trading terminals in the U. S. after the close of business on February 29, 2012. The previously issued no-action letter approving such product for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 8 Pursuant to Eurex Circular 26011, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the U. S. The previously issued no-action letter approving such product for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 9 Additional restrictions apply to the trading of these products by U. S. Persons. 10 Reserved 11 The SEC also has approved for Eligible U. S. Institutions all options on individual Swedish-, Norwegian - and Danish-issued equities that are now or that in the future may be listed on the EDX London exchange. Equities issued in any other country that are listed on the EDX London Exchange have not been approved at this time. Note: EDX London Exchange has been acquired by the Turquoise Exchange. 12 The RDX USD Index futures and options contracts have not been approved for sale to U. S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD ndash RDX Extended Index futures contract) for sale to U. S. Persons in a no-action letter issued on March 6, 2008, but Eurex subsequently delisted the contract. 13 The Istanbul Stock Exchange (ldquoISErdquo) is now part of the Borsa Istanbul (ldquoBISTrdquo). As such, references to ISE 30 have been changed to BIST 30 on VIOPrsquos trading platform and the CFTCrsquos website. 14 The London Stock Exchange offers options on Russian equity products through its International Order Book. Providing all applicable conditions are met, Eligible U. S. Institutions may trade these options through the Bclear service offered by Euronext LIFFE. See Footnote 4. kattenlaw AUSTIN CENTURY CITY CHARLOTTE CHICAGO HOUSTON IRVING LONDON LOS ANGELES NEW YORK ORANGE COUNTY SAN FRANCISCO BAY AREA SHANGHAI WASHINGTON, DC Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion. copy2014 Katten Muchin Rosenman LLP. Alle Rechte vorbehalten. Circular 230 Disclosure: Pursuant to regulations governing practice before the Internal Revenue Service, any tax advice contained herein is not intended or written to be used and cannot be used by a taxpayer for the purpose of avoiding tax penalties that may be imposed on the taxpayer. Katten Muchin Rosenman LLP is an Illinois limited liability partnership including professional corporations that has elected to be governed by the Illinois Uniform Partnership Act (1997). London affiliate: Katten Muchin Rosenman UK LLP To view all formatting for this article (eg, tables, footnotes), please access the original here. Foreign Listed Stock Index - Futures and Options Approvals Katten Muchin Rosenman LLPs Foreign Listed Stock Index Futures and Options Approvals Chart (Approvals Chart), current as of November 8, 2013. is now available online. All prior versions are superseded and should be discarded. Please note the following developments since we distributed the last Approvals Chart: (1) The CFTC has approved the following contracts for trading by U. S. persons (i) Bombay Stock Exchanges futures contract based on the SampP BSE 100 Index (ii) Hong Kong Futures Exchanges futures contract based on the CES China 120 Index (iii) Hong Kong Futures Exchanges futures contract based on the HSI Volatility Index (iv) NYSE Euronexts mini futures contract based on the CAC40 Index and (v) NYSE Euronexts mini futures contract based on the AEX Index. (2) The SEC has not approved any new foreign equity index options since we last distributed the Approvals Chart 2017 Katten Muchin Rosenman LLP You are responsible for reading, understanding and agreeing to the National Law Reviews (NLRs) and the National Law Forum LLCs Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on NatLawReview are intended for general information purposes only. Any legal analysis, legislative updates or other content and links should not be construed as legal or professional advice or a substitute for such advice. No attorney-client or confidential relationship is formed by the transmission of information between you and the National Law Review website or any of the law firms, attorneys or other professionals or organizations who include content on the National Law Review website. If you require legal or professional advice, kindly contact an attorney or other suitable professional advisor. Some states have laws and ethical rules regarding solicitation and advertisement practices by attorneys andor other professionals. The National Law Review is not a law firm nor is NatLawReview intended to be a referral service for attorneys andor other professionals. The NLR does not wish, nor does it intend, to solicit the business of anyone or to refer anyone to an attorney or other professional. NLR does not answer legal questions nor will we refer you to an attorney or other professional if you request such information from us. Under certain state laws the following statements may be required on this website and we have included them in order to be in full compliance with these rules. The choice of a lawyer or other professional is an important decision and should not be based solely upon advertisements. Attorney Advertising Notice: Prior results do not guarantee a similar outcome. Statement in compliance with Texas Rules of Professional Conduct. Unless otherwise noted, attorneys are not certified by the Texas Board of Legal Specialization, nor can NLR attest to the accuracy of any notation of Legal Specialization or other Professional Credentials. The National Law Review - National Law Forum LLC 4700 Gilbert Ave. Suite 47 230 Western Springs, IL 60558 Telephone (708) 357-3317 If you would ike to contact us via email please click here. Copyright copy2017 National Law Forum, LLCFX Options Nasdaq provides a variety of derivatives offerings, including FX Options, providing retail and institutional traders with the opportunity to trade options on seven major foreign currencies. Features und Funktionalität Einfach zu handhaben: Retail-fokussiert und Größe US-Dollar-abgerechnet, anstatt in zugrunde liegenden Fremdwährung Handel in Ihrer Fremdwährung Optionen genehmigt Brokerage-Konto European-Style-Übung, kann aber immer gekauft oder verkauft werden vor dem Verfall Einfach zu verstehen : Zeigt ähnlich wie Indexoptionen - Verschieben der Dezimalzahl zwei Orte nach rechts Getting Started Nasdaq FX Optionen sind so strukturiert, dass sie für den Handel über jedes genehmigte Optionskonto bei einem Wertpapiermakler-Händler verfügbar sind. Diversifizieren Sie Ihr Portfolio mit Nasdaq FX Optionen, indem Sie Ihren Broker-Händler kontaktieren, um weitere Informationen zu erhalten. FX Options Fact Sheet
No comments:
Post a Comment