Gráfico de Aprovações de Futuros e Opções de Índice de Estoque Listado Estrangeiro Para visualizar este artigo, você precisa de um visualizador de PDF, como o Adobe Reader. EUA 1 de outubro de 2014 1º de outubro de 2014 Anexado, encontre o Índice atualizado de Aprovação de Futuros e Opções de Ações Externas, atualizado a partir de 1º de outubro de 2014. Todas as versões anteriores são substituídas e devem ser descartadas. Observe os seguintes desenvolvimentos desde a última vez que distribuímos o Gráfico de Aprovação: (1) O CFTC aprovou os seguintes contratos para negociação por Pessoas dos EUA: (i) Contrato de futuros de Montreal Exchangersquos com base no Índice de Mercados Emergentes da FTSE (ii) Derivativos da Bolsa de Valores de Londres Contrato de futuros com base no FTSE 100 Index e (iii) London Stock Exchange Derivativesrsquo contrato de futuros com base no FTSE UK Large Cap Super Liquid Index. (2) A SEC não aprovou nenhuma nova opção de índice de capital estrangeiro desde a última distribuição do Gráfico de Aprovação. No entanto, a ICE Futures Europe, a Osaka Exchange, a Euronext Paris, a Euronext Brussels e a Euronext Amsterdam reivindicaram alívio no âmbito da LIFFE AampM e da Carta de Não-Ação da Classe Relief (1 de julho de 2013) para oferecer opções elegíveis para instituições de EU elegíveis. Ver nota 16. (3) O mercado derivado da Bolsa de Valores de Tóquio foi integrado, e esses produtos agora comercializam, a troca de Osaka. (4) O status do setor bancário Dow Jones Euro STOXX negociado na Eurex foi esclarecido. Consulte a nota 8. Para informações adicionais As informações contidas no Quadro de Aprovações anexado estão sujeitas a alterações a qualquer momento. Se você tiver dúvidas ou gostaria de confirmar o status de um contrato específico, entre em contato com: 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 Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais em O final desta tabela. 1 Aprovações de Futuros e Opções de Mercado de Ações Externas (outubro de 2014) Contratos de Futuros Subjacentes do CountryExchange Opções de Contratos de Futuros Opções de Equivalência Opções do ETF AustraliaASXASX Futures Exchange SampPASX 200 Aprovado para venda a pessoas dos EUA (24 de julho de 2002 Carta sem Ação emitida para a Bolsa de Futuros da ASX ) Nenhum oferecido Aprovado para Instituições elegíveis dos EUA (13 de agosto de 2007 Carta de Não-Ação da SEC emitida para a ASX Limited) Não aprovado AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Não aprovado Nenhum oferecido Aprovado para Instituições elegíveis dos EUA (13 de agosto de 2007 SEC No - Carta de ação emitida para a ASX Limited) Nenhum oferecido AustraliaASXASX Futures Exchange SampPASX 50 Aprovado para venda a pessoas dos EUA (24 de julho de 2002 Carta de não ação emitida para a Bolsa de Futuros da ASX) Nenhum oferecido Aprovado para Instituições elegíveis dos EUA (13 de agosto de 2007 SEC No - Carta de Ação emitida para a ASX Limited) Nenhum oferecido AustraliaASXASX Futures Exchange Unidirecional de nome único Nenhum oferecido Nenhum oferecido Aprovado para R Instituições elegíveis dos EUA (13 de agosto de 2007 Carta de não-ação da SEC emitida para a ASX Limited) Nenhum oferecido Contrato de opção de 1 dia de australiano da AustráliaSydney Futures Exchange (SFE) com base no Contrato de futuros do Dow Mini-Datado da CBOT Nenhum oferecido Aprovado para venda a pessoas dos EUA (8 de agosto de 2006 Carta de não ação emitida para o SFE) Nenhum oferecido Nenhum oferecido AustráliaSydney Futures Exchange (SFE) SPI 200 Aprovado para venda a pessoas dos EUA (10 de agosto de 1999 Carta de não ação emitida para o SFE) Aprovado para venda a pessoas dos EUA (10 de agosto de 1999 Carta de não ação emitida para o SFE) Não aprovado Nenhum oferecido ÁustriaWiener Borse ATX Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoElegible Optionrdquo e para outras informações explicativas, consulte as notas finais no Fim desta tabela. 2 CountryExchange Contratos de futuros subjacentes Opções sobre contratos de futuros Opções de participação Opções de ETF ÁustriaWiener Borse Índices CECE (CEX, CTX, HTX, PTX) Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido ÁustriaWiener Borse Russo Negociado Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido AustriaWiener Borse Nome único Ações Nenhum oferecido Nenhum oferecido Não aprovado4 Nenhum oferecido BélgicaEuronext Brussels16 BEL 20 Aprovado para venda a pessoas dos EUA (31 de agosto de 2011 Carta de não ação emitida para a Euronext Brussels) Nenhum oferecido Aprovado para instituições norte-americanas elegíveis (17 de setembro de 2014 Carta de representação da Euronext Brussels A SEC) 4 Nenhum oferecido BélgicaEuronext Brussels16 Mini BEL 20 (unidades de participação de índice) Nenhum oferecido Nenhum oferecido Não aprovado Nenhum oferecido BélgicaEuronext Bruxelas16 Mini Dow Jones Euro STOXX (unidades de participação de índice) Nenhum oferecido Nenhum oferecido Não aprovado Nenhum oferecido BélgicaEuronext Bruxelas16 Emissões de nome único Não Aprovado Nenhum oferecido Aprovado para Instituições norte-americanas elegíveis para opções elegíveis em ações individuais listadas e negociadas na Euronext Brussels (17 de setembro de 2014 Carta de Representação da Euronext Brussels a SEC) 4 Nenhuma oferecida Brasil BMampF Bovespa SA BSE Sensitive Aprovado para venda a pessoas dos EUA (12 de março de 2013 Certificado) Não aprovado Não aprovado Nenhum oferecido Brasil BMampF Bovespa SA FTSEJSE Top 40 Aprovado para venda a pessoas dos EUA (12 de março de 2013) Não aprovado Não aprovado Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, Veja as notas finais no final desta tabela. 3 CountryExchange Contratos de Futuros Subjacentes Opções sobre Futuros Contratos Opções de Equivalência Opções do ETF Brasil BMampF Bovespa SA Hang Seng Aprovado para venda a pessoas dos EUA (12 de março de 2013) Não aprovado Não aprovado Nenhum oferecido Brasil BMampF Bovespa SA Ibovespa Aprovado para venda a pessoas dos EUA ( 26 de agosto de 2009 Carta de não ação emitida para BMampF Bovespa SA) 2 Aprovado para venda a pessoas dos EUA (26 de agosto de 2009 Carta de não ação emitida para BMampF Bovespa SA) Não aprovado Nenhum oferecido Brasil BMampF Bovespa SA Ibovespa Flex Nenhum oferecido Nenhum oferecido Não aprovado Nenhum oferecido Brasil BMampF Bovespa SA IBrX 50 Índice Futuros Contrato Aprovação pendente Não aprovado Não aprovado Nenhum oferecido Brasil BMampF Bovespa SA MICEX Aprovado para venda a pessoas dos EUA (12 de março de 2013) Nenhum oferecido Nenhum oferecido Nenhum oferecido Brasil BMampF Bovespa SA Mini Ibovespa Aprovado para venda a pessoas dos EUA (26 de agosto de 2009 Carta de não ação emitida para BMampF Bovespa SA) Nenhuma fora D Nenhum oferecido Nenhum oferecido Brasil BMampF Bovespa SA Índice SampP 500 Aprovado para venda a pessoas dos EUA (certificação de 24 de setembro de 2012) Nenhum oferecido Nenhum oferecido Nenhum oferecido CanadáMontreal Exchange (Bourse de Montreacuteal) Índice de mercados emergentes FTSE aprovado para venda a pessoas dos EUA (março 21, 2014 Carta de Não-Ação da CFTC emitida para a Bolsa de Montreal) Nenhuma oferecida Nenhuma oferecida Nenhuma oferecida Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 4 CountryExchange Contratos de Futuros Subjacentes Opções sobre Contratos de Futuros Opções de Equivalência Opções do ETF CanadáMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSE 60 Fundo de Participação do Índice (Fundo i60) Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para US Pessoas geralmente de acordo com a Declaração de Registo (ver SampPTSX Canada 60 Acima) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Índice do Índice de Energia Coletada Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para os EUA Pessoas geralmente de acordo com a Declaração de Registo (ver SampPTSX Canadá 60 acima) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Financials Index Fund Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para os EUA Pessoas geralmente de acordo com a Declaração de Registo (ver SampPTSX Canadá 60 acima) CanadáMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Índice do Índice de Ouro Capangulado Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para os EUA Pessoas geralmente de acordo com Registr Declaração (ver SampPTSX Canadá 60 acima) CanadáMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Índice de Tecnologia da Informação Coletada Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para os EUA Pessoas geralmente de acordo com a Declaração de Registo (ver SampPTSX Canadá 60 acima) CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX 60 Índice Futuros Futuros Aprovados para venda a pessoas dos EUA (certificação de 19 de abril de 2012) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final de essa mesa. 5 CountryExchange Contratos de Futuros Subjacentes Opções sobre Futuros Contratos Opções de Equivalência Opções de ETF CanadáMontreal Exchange (Bourse de Montreacuteal) SampPTSX Canadá 60 Aprovado para venda a pessoas dos EUA (9 de dezembro de 1999 Carta de não-ação da CFTC emitida para a Bolsa de Montreal) 3 Nenhum oferecido Aprovado, incluindo Aprovação de todas as outras opções de índice, para venda a US Pessoas em geral que agora ou podem no futuro ser listadas (Emenda Efectiva nº 27 à Declaração de Registro no Formulário S-20 arquivado pela Canadian Derivatives Clearing Corp. SEC File No. 2-69458) Nenhum oferecido CanadáMontreal Exchange (Bourse de Montreacuteal) SampPTSX Setor Cobrado Não aprovado Nenhum oferecido Aprovado para os EUA Pessoas geralmente de acordo com a Declaração de Registo (ver SampPTSX Canadá 60 acima) Nenhum oferecido CanadáMontreal Exchange (Bourse de Montreacuteal) Nome único de ações Nenhum oferecido Nenhum oferecido Aprovado para todas as opções em títulos individuais listados na Bolsa de Montreal que estão agora ou podem no futuro Você pode listar-se para venda às pessoas dos EUA em geral (Emenda efetiva nº 27 à Declaração de registro no Formulário S-20 arquivado pela Canadian Derivatives Clearing Corp. Arquivo SEC No. 2-69458) Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e LdquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 6 CountryExchange Contratos de futuros subjacentes Opções sobre contratos de futuros Opções de participação Opções do ETF China (veja também Hong Kong e Taiwan) Troca de Futuros Financeiros da China Índice CSI 300 Futuros Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido DinamarcaFUTOP Mercado KFX (Contrato LargeSmall) Não aprovado Nenhum oferecido Não Aprovado Nenhum oferecido DinamarcaOMX Nordic Exchange Copenhaga AS Número de ações simples Nenhum oferecido Nenhum oferecido Não aprovado4,11 Nenhum oferecido FinlandOMX Nordic Exchange Helsínquia Nome simples ações Nenhum oferecido Nenhum oferecido Não aprovado4,5 Nenhum oferecido FrançaEuronext Paris SA16 CAC40 Aprovado para venda a pessoas dos EUA ( 17 de dezembro de 1991 Carta de não ação emitida para ParisBourse) 3 Nenhum oferecido Aprovado para instituições norte-americanas elegíveis (17 de julho de 1996 SEC Carta de não ação emitida para MONEP, confirmada até 6 de dezembro de 1999 Carta de não-ação da SEC emitida para ParisBourse) 4 Nenhum oferecido FranceEuronext Paris SA16 CAC40 Mini Aprovado para venda a pessoas dos EUA (13 de setembro de 2013 certificado Ion) Nenhum oferecido Nenhum oferecido Nenhum oferecido FrançaEuronext Paris SA16 Dow Jones Euro STOXX 50 Aprovado para venda a pessoas dos EUA (29 de fevereiro de 2000 CFTC Carta de não ação emitida para ParisBourse) 3 Nenhum oferecido Aprovado para instituições elegíveis dos EUA (26 de outubro de 1998 SEC Carta de não ação emitida para MONEP, confirmada até 6 de dezembro de 1999 Carta de não-ação da SEC emitida para ParisBourse) Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final de essa mesa. 7 CountryExchange Contratos de Futuros Subjacentes Opções sobre Futuros Contratos Opções de Equivalência Opções de ETF FranceEuronext Paris SA16 Dow Jones STOXX 50 Aprovado para venda a pessoas dos EUA (29 de fevereiro de 2000 Carta de Não-Execução da CFTC emitida para ParisBourse) 3 Nenhum oferecido Aprovado para Instituições elegíveis dos EUA ( 26 de outubro de 1998 SEC Carta de não ação emitida para MONEP, confirmada até 6 de dezembro de 1999 Carta de não-ação da SEC emitida para ParisBourse) Nenhum oferecido FrançaEuronext Paris SA16 Dow Jones STOXX 600 Setores (Banco, Energia, Saúde, Tecnologia, Telecomunicações) Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido FrançaEuronext Paris SA16 FTSE EPRANAREIT Zona Euro Aprovado para venda a pessoas dos EUA (10 de julho de 2008 Carta de não-ação da CFTC emitida pela Euronext LIFFE, em nome da Euronext Paris SA) Nenhum oferecido Nenhum oferecido Não aprovado FrançaEuronext Paris SA16 FTSE EPRANAREIT Europe Aprovado para venda a pessoas dos EUA (10 de julho de 2008 Carta de falta de ação da CFTC emitida pela Euronext LIFFE, em nome de Eur Onext Paris SA) Nenhum oferecido Nenhum oferecido Não aprovado FrançaEuronext Paris SA16 FTSEurofirst 100 Aprovado para venda a pessoas dos EUA (5 de março de 2007 Carta de não-ação da CFTC emitida à Euronext LIFFE, em nome da Euronext Paris SA) Nenhuma oferecida Nenhuma oferecida4 Nenhuma oferecida Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 8 CountryExchange Contratos de Futuros Subjacentes Opções sobre Futuros Contratos Opções de Equivalência Opções da ETF FrançaEuronext Paris SA16 FTSEurofirst 80 Aprovado para venda a pessoas dos EUA (5 de março de 2007 Carta de Não-Ação da CFTC emitida pela Euronext LIFFE, em nome da Euronext Paris SA) Nenhuma oferecida Aprovado Para instituições elegíveis dos EUA (17 de setembro de 2014 Carta de representação da Euronext Paris para a SEC) 4 Nenhuma oferecida FrançaEuronext Paris SA16 Emissões de nome único Não aprovado Nenhum oferecido Aprovado para instituições elegíveis para opções elegíveis em ações individuais listadas e negociadas na Euronext Paris Ou outros mercados específicos18 (17 de setembro de 2014 Carta de Representação da Euronext Paris para a SEC) 4,5 Nenhuma oferecida AlemanhaBoumlrse Frankfurt Nome simples ações Nenhuma oferecido Nenhum oferecido Não aprovado4,5 Nenhum oferecido AlemanhaEurex DAX Aprovado para venda a pessoas dos EUA (20 de dezembro de 1994 Carta de não-ação CFTC emitida para a Deutsche Terminborse) 3 Nenhum oferecido Aprovado para EUA elegíveis Instituições (27 de julho de 2005 SEC Carta de não ação emitida para a Eurex) Nenhuma oferecida AlemanhaEurex DAX EX Não aprovado Nenhum oferecido Nenhum oferecido Aprovado para instituições elegíveis dos EUA (27 de julho de 2005 Carta de não-ação da SEC emitida para a Eurex) AlemanhaEurex DJ Banks Titans 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex DJ Seguro Titãs 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex DJ Oil and Gas Titans 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEligable US Institutionrdquo e ldquoEligible Optionrdquo e para outras explicações Informações, veja as notas finais no final desta tabela. 9 CountryExchange Contratos de Futuros Subjacentes Opções sobre Contratos Futuros Opções de Equivalência Opções ETF AlemanhaEurex DJ Telecomunicações Titãs 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex DJ Utilitários Titãs 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex Dow Jones Euro STOXX 50 Aprovado para venda a EUA Pessoas (6 de abril de 2000 Carta de não-ação da CFTC emitida para a Eurex) 3 Nenhum oferecido Aprovado para instituições norte-americanas elegíveis (27 de julho de 2005 Carta de não-ação da SEC emitida para a Eurex) Nenhuma oferta AlemanhaEurex Dow Jones Euro STOXX 50 Dividendo Não aprovado Não aprovado Nenhum oferecido Nenhum oferecido AlemanhaEurex Dow Jones Euro STOXX 50 EX Não aprovado Nenhum oferecido Não aprovado Aprovado para instituições elegíveis dos EUA (27 de julho de 2005 SEC Carta de não ação emitida para a Eurex) AlemanhaEurex Dow Jones Euro STOXX Setor bancário Não aprovado8 Nenhum oferecido Não aprovado Nenhum Ofereceu AlemanhaEurex Dow Jones Euro STOXX Selecionar Dividendo 30 Aprovado para venda a pessoas dos EUA (agosto 18, 2008 Carta CFTC sem ação emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurox Dow Jones Global Titans 50 Aprovado para venda a pessoas dos EUA (18 de julho de 2002 Carta CFTC sem ação emitida para a Eurex) Nenhum oferecido Aprovado para EUA elegíveis Instituições (27 de julho de 2005 Carta de Não-Ação da SEC emitida para a Eurex) Nenhum oferecido AlemanhaEurope Dow Jones Global Titans 50 Index (Denominado nos EUA) Aprovado para venda a pessoas dos EUA (certificação de 5 de junho de 2012) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições Do ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 10 CountryExchange Contratos de Futuros Subjacentes Opções sobre Futuros Contratos Opções de Equivalência Opções de ETF AlemanhaEurex Dow Jones Itália Titãs 30 Aprovado para venda a pessoas dos EUA (23 de novembro de 2005 Carta de Não-Execução da CFTC emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 50 Aprovado para venda a pessoas dos EUA (6 de abril de 2000 Carta de falta de ação da CFTC emitida para a Eurex) 3 Nenhum oferecido Aprovado para instituições norte-americanas elegíveis (27 de julho de 2005 Carta de não-ação da SEC emitida para a Eurex) Nenhuma oferecida AlemanhaEurox Dow Jones STOXX 600 Aprovado Para venda a pessoas dos EUA (18 de junho de 2007 Carta de falta de ação da CFTC emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Setor bancário aprovado para venda a pessoas dos EUA (2 de abril de 2002 Carta de não-ação da CFTC emitida para Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Mercadorias de bens industriais Aprovado para venda a pessoas dos EUA (6 de fevereiro de 2008 CFTC Carta de não ação emitida para Eure X) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Seguro Aprovado para venda a pessoas dos EUA (6 de fevereiro de 2008 CFTC Carta de não ação emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Media Aprovado para venda a Pessoas dos EUA (6 de fevereiro de 2008 Carta de falta de ação da CFTC emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoElegible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 11 CountryExchange Contratos de Futuros Subjacentes Opções sobre Contratos Futuros Opções de Equivalência Opções ETF AlemanhaEurex Dow Jones STOXX 600 Valores Pessoais Bens Domésticos Aprovados para venda a Pessoas dos EUA (6 de fevereiro de 2008 Carta de Não-Execução da CFTC emitida para a Eurex) 7 Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Varejista Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Óptimo de viagem Apropriado para venda para pessoas dos EUA (6 de fevereiro de 2008 Carta de não-ação da CFTC emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Utilitários Aprovado para venda a pessoas dos EUA (6 de fevereiro de 2008 Carta de não-ação da CFTC emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX Large 200 Aprovado para venda a pessoas dos EUA (6 de fevereiro de 2008 CFTC No-Action Carta emitida para Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX Mid 200 Aprovado para venda a pessoas dos EUA (18 de junho de 2007 C FTC Carta de não ação emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX Pequeno 200 Aprovado para venda a pessoas dos EUA (6 de fevereiro de 2008 Carta de não-ação da CFTC emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEuro Euro Euro STOXX Aprovado para venda a pessoas dos EUA (certificação de 5 de junho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de ldquoEligable US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 12 CountryExchange Contratos de Futuros Subjacentes Opções em Contratos Futuros Opções de Equivalência Opções ETF AlemanhaEurex Euro STOXX 50 Índice Ex Financeiro Aprovado para venda a pessoas dos EUA (27 de agosto de 2012 certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Euro STOXX Grande Aprovado para venda a pessoas dos EUA ( 5 de junho de 2012 certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Euro STOXX Média Aprovado para venda a pessoas dos EUA (certificação de 5 de junho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Euro STOXX Pequeno Aprovado para venda a pessoas dos EUA (5 de junho de 2012 Certificado) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex HEX 25 Finlandês Não aprovado Nenhum oferecido Aprovado para instituições elegíveis dos EUA (27 de julho de 2005 SEC Carta de não ação emitida para a Eurex) Nenhum oferecido AlemanhaEurex iShares DJ EURO STOXX Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para Instituições elegíveis dos EUA (27 de julho de 2005 Carta SEC não-ação emitida para a Eurex) AlemanhaEurex KOSPI 200 Opções6 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MDAX Aprovado para venda a pessoas dos EUA (14 de março de 2006 Carta CFTC sem ação emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Mini Euro STOXX 50 Índice de volatilidade aprovado para venda a pessoas dos EUA (Certificação de 20 de julho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, consulte as notas finais no final desta tabela. 13 CountryExchange Contratos de Futuros Subjacentes Opções sobre Futuros Contratos Opções de Equivalência Opções de ETF AlemanhaEurex MSCI Todos os países Ásia Pacífico ex-Japão Aprovado para venda a pessoas dos EUA (17 de junho de 2013) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI China Livre Aprovado para venda a EUA Pessoas (certificação de 4 de fevereiro de 2014) Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex MSCI Mercados emergentes Aprovado para venda a pessoas dos EUA (certificação de 4 de fevereiro de 2014) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Emerging Markets Asia Aprovado para venda a pessoas dos EUA (fevereiro 4, certificação 2014) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Emerging Markets EMEA Aprovado para venda a pessoas dos EUA (4 de fevereiro de 2014) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Mercados emergentes América Latina Aprovado para venda a pessoas dos EUA (4 de fevereiro , Certificação 2014) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSC I Europe Aprovado para venda a pessoas dos EUA (certificado de 17 de junho de 2013) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Europe Growth Aprovado para venda a pessoas dos EUA (certificação de 4 de fevereiro de 2014) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Europe Value Aprovado para Venda para pessoas dos EUA (certificação de 4 de fevereiro de 2014) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Índia Aprovado para venda a pessoas dos EUA (certificação de 4 de fevereiro de 2014) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEstituição de EUA elegível e ldquoEligible Optionrdquo e Para outras informações explicativas, veja as notas finais no final desta tabela. 14 CountryExchange Contratos de Futuros Subjacentes Opções em Contratos Futuros Opções de Equivalência Opções ETF AlemanhaEurex MSCI Japão Aprovado para venda a pessoas dos EUA (17 de junho de 2013) Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex MSCI Malásia Aprovado para venda a pessoas dos EUA (certificação de 4 de fevereiro de 2014 ) Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex MSCI África do Sul Aprovado para venda a pessoas dos EUA (certificação de 4 de fevereiro de 2014) Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex MSCI Tailândia Aprovado para venda a pessoas dos EUA (4 de fevereiro de 2014) Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex MSCI World Aprovado para venda para pessoas dos EUA (17 de junho de 2013) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Outros Dow Jones Euro STOXX Sectores Não aprovados Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Outros Dow Jones STOXX 600 Setores de mercado Não aprovado Nenhum Oferecido Não aprovado Nenhum oferecido AlemanhaEurex RDX USD12 Não aprovado Nenhum oferecido Não oferecido Não aprovado Nenhum oferecido AlemanhaEurex Unidades de nome único Não aprovado Nenhum oferecido Aprovado para opções em ações individuais de alemão, suíço, finlandês, holandês, italiano e francês5 para instituições elegíveis dos EUA (27 de julho de 2005 SEC Carta de não ação emitida para a Eurex ) Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 15 CountryExchange Contratos de Futuros Subjacentes Opções em Contratos Futuros Opções de Equivalência Opções ETF AlemanhaEurex SLI Líder Suíço Aprovado para venda a pessoas dos EUA (18 de agosto de 2008 Carta CFTC sem ação emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex STOXX Europa 600 Aprovado para venda Para as pessoas dos EUA (certificação de 5 de junho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex STOXX Europa Grande 200 Aprovado para venda a pessoas dos EUA (certificação de 5 de junho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex STOXX Europe Mid 200 Aprovado para venda a EUA Pessoas (certificação de 5 de junho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex STOXX Europe Small 200 Aprovado para venda a pessoas dos EUA (certificação de 5 de junho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Mercado suíço Não aprovado Nenhum oferecido Aprovado para instituições norte-americanas elegíveis (27 de julho de 2005 SEC Carta de não ação emitida para a Eurex) Aprovado para instituições norte-americanas elegíveis (27 de julho , Carta de não-ação da SEC de 2005 emitida para a Eurex) AlemanhaEurex Swiss Market Index Midcap (SMIM) Aprovado para venda a pessoas dos EUA (18 de agosto de 2008 Carta de não-ação da CFTC emitida para a Eurex) Nenhuma oferecida Não aprovada Nenhuma oferta AlemanhaEurex TECDAX Aprovado para venda Para as pessoas dos EUA (18 de agosto de 2008 Carta de não-ação da CFTC emitida para a Eurex) Nenhum oferecido Aprovado para instituições norte-americanas elegíveis (27 de julho de 2005 Carta de não-ação da SEC emitida para a Eurex) Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo E para outras informações explicativas, veja as notas finais no final desta tabela. 16 CountryExchange Contratos de Futuros Subjacentes Opções sobre Contratos de Futuros Opções de Equivalência Opções de ETF Mercado de Derivados de Câmbio de GreeceAthens FTSEASE 20 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido GréciaAthens Exchange Derivatives Market FTSEASE Mid-40 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido Hong KongHong Kong Exchange e Clearing Ltd (HKEX) CES China 120 Aprovado para venda a pessoas dos EUA (certificado de 17 de setembro de 2013) Nenhum oferecido Nenhum oferecido Nenhum oferecido Hong KongHong Kong Trocas e compensação (HKEX) DJIA Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido Hong KongHong Kong Intercâmbios E Clearing Ltd. (HKEX) FTSEXinhua China 25 Aprovado para venda a pessoas dos EUA (26 de setembro de 2006 Carta de não-ação CFTC emitida para HKFE) Nenhum oferecido Não aprovado Nenhum oferecido Hong KongHong Kong Exchange e Clearing Ltd. (HKEX) Hang Seng Aprovado Para venda a pessoas dos EUA (1 de junho de 1994 CFTC Carta de não ação emitida para HKFE) 3 Nenhum oferecido Aprovado para EUA elegíveis EU (26 de setembro de 1995 Carta de Não-Ação da SEC emitida para a HKFE) Nenhum oferecido Hong KongHong Kong Exchange e Clearing Ltd. (HKEX) HSCEI Índice de Pontos de Dividendos Não Aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido Hong KongHong Kong Exchange e Clearing Ltd. (HKEX ) H-Shares (Hang Seng China Enterprises Index) Aprovado para venda a pessoas dos EUA (26 de setembro de 2006 CFTC Carta de não ação emitida para HKFE) Nenhum oferecido Não aprovado Nenhum oferecido Hong KongHong Kong Trocas e Clearing Ltd. (HKEX) HSI Volatilidade Índice (VHSI) Aprovado para venda a pessoas dos EUA (certificado de 17 de setembro de 2013) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoElegible Optionrdquo e para outras informações explicativas, consulte as notas finais no final desta tabela. 17 CountryExchange Contratos de futuros subjacentes Opções sobre contratos de futuros Opções de participação Opções de ETF Hong Kong Hong Kong Trocas e compensação (HKEX) Mini Hang Seng Aprovado para venda a pessoas dos EUA (16 de janeiro de 2009 Carta de não-ação da CFTC emitida para a HKFE) Nenhuma oferecida Não Aprovado Nenhum oferecido Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng China Enterprises Index Aprovado para venda a pessoas dos EUA (16 de janeiro de 2009 CFTC Carta de não ação emitida para HKFE) Nenhum oferecido Não aprovado Nenhum oferecido HungriaBudapest Stock Exchange BUX Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido ÍndiaBombay Stock Exchange (BSE) Índice sensível a BSE de 30 ações (Sensex) 9 Aprovado para venda a pessoas dos EUA (14 de junho de 2006 Carta de não-ação CFTC emitida para BSE) Nenhum oferecido Não aprovado Nenhum oferecido IndiaBombay Stock Exchange (BSE) DOLLEX-309 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido ÍndiaBombay Stock Exchange (BSE) SampP BSE 1009 Aprovado para venda a pessoas dos EUA (setembro 24, 2013) Nenhum oferecido Não aprovado Nenhum oferecido IndiaNational Stock Exchange of India Ltd. (NSE) Banco Nifty9 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido IndiaNational Stock Exchange of India Ltd. (NSE) CNXIT9 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido IndiaNational Stock Exchange of India Ltd. (NSE) SampP CNX Nifty (ldquoNifty 50rdquo) 9 Aprovado para venda a pessoas dos EUA (17 de outubro de 2003 Carta CFTC sem ação emitida para NSE) Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de ldquoEligible US Institutionquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 18 CountryExchange Contratos de Futuros Subjacentes Opções sobre Futuros Contratos Opções de Equivalência Opções de ETF Irlanda Bolsa de Valores de Bolsa de Valores Unidades de nome único Nenhum oferecido Nenhum oferecido Não aprovado4 Nenhum oferecido IsraelTel Aviv Bolsa de Valores TA 25 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido IsraelTel Aviv Bolsa de Valores TA Bancos Não aprovado Nenhum Oferecido Não aprovado Nenhum oferecido ItáliaBorsa Italiana ndash IDEM FTSE MIB Dividendo Aprovação pendente Nada oferecido Nenhum oferecido Nenhum oferecido ItáliaBorsa Italiana ndash IDEM FTSE MIB4 Aprovado para venda a pessoas dos EUA (30 de agosto de 2004 Carta de não-ação da CFTC emitida à Borsa Italiana) Nenhuma oferecida Aprovado Para instituições elegíveis dos EUA (24 de setembro de 2004 Carta de não ação emitida para a Borsa Italiana) Nenhum oferecido ItáliaBorsa Italiana ndash IDEM Mini FTSE MIB Aprovado para venda a pessoas dos EUA (30 de agosto de 2004 Carta de não-ação da CFTC emitida à Borsa Italiana) Nenhuma oferecida Nenhum oferecido Nenhum oferecido ItáliaBorsa Italiana ndash IDEM Unidades de nome único Not ap Provado Nenhum oferecido Aprovado para instituições norte-americanas elegíveis (ver 1 de setembro de 1998 Carta de Não-Ação da SEC emitida à Borsa Italiana com respeito a opções sobre ações individuais do ISE) 4,5 Nenhuma oferecida JapanOsaka Exchange (OSE) 16 DJIA Aprovado para venda a pessoas dos EUA (Certificado de 15 de junho de 2012) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, veja as notas finais no final desta tabela. 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-A ction 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 Netherl ands 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 Let ter 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-Ac tion 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 Derivat ives 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 Fu tures 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.LIFF E (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) Non e 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. Todos os direitos reservados. 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. Filed under Tagged withForeign 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. Todas as versões anteriores são substituídas e devem ser descartadas. Observe os seguintes desenvolvimentos desde que distribuímos o último Gráfico de Aprovações: (1) O CFTC aprovou os seguintes contratos para negociação por pessoas dos EUA (i) Contrato de futuros de Bombay Stock Exchange em função do Índice SampP BSE 100 (ii) Bolsas de Futuros de Hong Kong Contrato de futuros com base no Índice CES China 120 (iii) Contrato de futuros de Hong Kong Futures Exchanges com base no Índice de Volatilidade da HSI (iv) Contrato de futuros futuros da NYSE Euronexts com base no Índice CAC40 e (v) Contrato de futuros Mini NYSE Euronexts com base no AEX Índice. (2) A SEC não aprovou nenhuma nova opção de índice de capital estrangeiro desde a última distribuição do Gráfico de Aprovações 2017 Katten Muchin Rosenman LLP Você é responsável por ler, entender e concordar com os Requisitos de Direito Nacional (NLRs) e os Termos de LLC do National Law Forum De Uso e Política de Privacidade antes de usar o site do National Law Review. O National Law Review é um banco de dados gratuito, sem log in de artigos legais e comerciais. O conteúdo e os links no NatLawReview são destinados apenas para fins de informação geral. Qualquer análise legal, atualizações legislativas ou outros conteúdos e links não devem ser interpretados como conselhos legais ou profissionais ou um substituto para tal conselho. Nenhuma relação advogado-cliente ou confidencial é formada pela transmissão de informações entre você e o site do National Law Review ou qualquer um dos escritórios de advocacia, advogados ou outros profissionais ou organizações que incluam conteúdo no site do National Law Review. Se você precisar de conselhos legais ou profissionais, entre em contato com um advogado ou outro consultor profissional adequado. Alguns estados têm leis e regras éticas sobre solicitação e práticas de propaganda por advogados e outros profissionais. O National Law Review não é um escritório de advocacia nem NatLawReview pretende ser um serviço de referência para advogados e outros profissionais. O NLR não deseja, nem pretende, solicitar o negócio de ninguém ou encaminhar qualquer pessoa a um advogado ou outro profissional. A NLR não responde a questões legais nem o encaminharemos para um advogado ou outro profissional se você solicitar a nossa informação. De acordo com certas leis estaduais, as seguintes declarações podem ser necessárias neste site e as incluímos para estarem em total conformidade com essas regras. A escolha de um advogado ou outro profissional é uma decisão importante e não deve basear-se unicamente em propagandas. Anúncio de publicidade do advogado: os resultados anteriores não garantem um resultado semelhante. Declaração em conformidade com as Regras de Conduta Profissional do Texas. Salvo indicação em contrário, os advogados não são certificados pelo Texas Board of Legal Specialization, nem a NLR atesta a precisão de qualquer notação de Especialização Jurídica ou outras Credenciais Profissionais. The National Law Review - National Law Forum LLC 4700 Gilbert Ave. Suite 47 230 Western Springs, IL 60558 Telefone (708) 357-3317 Se você quiser contactar-nos por email, clique aqui. Copyright copy2017 National Law Forum, LLCForeign 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-DT rsquos 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. Consulte a nota de rodapé 4 para obter informações adicionais. 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 offere d 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-Acti on 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) SampPT SX 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. Pers ons (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 Eur ex) 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. Ins titutions 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 GermanyBouml rse 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 IndiaNati onal 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 offe red 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 C onsumer 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. In stitutions 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 St ock 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 Approve d 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 Le tter 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 offer ed 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. Todos os direitos reservados. 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. Arquivado sob Tagged with
Комментариев нет:
Отправить комментарий