Foreign Listed Stock Index Futures und Options Genehmigung Um diesen Artikel zu sehen, benötigen Sie einen PDF Viewer wie Adobe Reader. Europäische Union, USA April 16 2014 Anbei finden Sie die aktualisierten Foreign Listed Stock Index Futures und Options Approvals Chart, aktuell ab 16. April 2014. Alle früheren Versionen werden ersetzt und sollten verworfen werden. Bitte beachten Sie die folgenden Entwicklungen, da wir zuletzt die Zulassungskarte verteilt haben: (1) Die CFTC hat die folgenden Verträge für den Handel von US-Personen genehmigt: (i) Eurexrsquos-Futures-Kontrakt auf Basis des MSCI China Free Index (ii) Eurexrsquos Futures-Kontrakt auf Basis von Der MSCI Emerging Markets Asia Index (iii) Eurexrsquos Futures-Kontrakt auf Basis der MSCI Emerging Markets EMEA Index (iv) Eurexrsquos Futures-Kontrakt auf Basis des MSCI Emerging Markets Index (v) Eurexrsquos Futures-Kontrakt auf Basis der MSCI Emerging Markets India Index (vi) Eurexrsquos Futures-Kontrakt auf Basis des MSCI Emerxrsquos Futures-Kontrakts auf Basis des MSCI Europe Growth Index (viii) Eurexrsquos Futures-Kontrakt auf Basis des MSCI Europe Value Index (ix) Eurexrsquos Futures-Kontrakt auf Basis des MSCI Malaysia Index (Xi) Eurexrsquos-Futures-Kontrakt auf Basis des MSCI-Index-Index (xi) SGX-DTrsquos-Futures-Kontrakt auf Basis des MSCI-Index (xi) MSCI Philippines Index (xiv) SGX-DTrsquos Futures-Kontrakt auf Basis des MSCI Thailand Index (xv) Euronext LIFFErsquos Britischer Pfund Sterling-Futures-Kontrakt (Pfund2 pro Indexpunkt) basierend auf dem FTSE 250 Index und (xvi) Euronext LIFFErsquos Euro-denominiert Futures-Kontrakt auf Basis des MSCI Europe Index. (2) Die SEC hat keine neuen ausländischen Aktienindexoptionen genehmigt, seit wir die Zulassungskarte zuletzt verteilt haben. (3) Darüber hinaus wurde das Chart geändert, um die Verfügbarkeit des von LIFFE angebotenen Bclear-Dienstes zu vermerken, der es LIFFE-Mitgliedern ermöglicht, die mit bestimmten Kriterien übereinstimmen, um bestimmte Nicht-US-Aktien - und Indexoptionen, die im Namen des Gegenstands ausgeführt wurden, zu löschen Der zugelassenen US-Institutionen. Weitere Informationen finden Sie in Fußnote 4. Für die Definition von ldquoEligible U. S. Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 1 Ausländisch notierte Aktienindex Futures und Optionsgenehmigungen (April 2014) CountryExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen AustraliaASXASX Futures Exchange SampPASX 50 Genehmigt zum Verkauf an US-Personen (24. Juli 2002 No-Action Letter an ASX Futures Exchange ausgegeben ) Keine angebotene Zulassung nur für berechtigte US-Institutionen (13. August 2007 SEC No-Action-Brief an ASX Limited ausgestellt) Keine angeboten AustralienASXASX Futures Exchange Einzelname Aktien Keine angeboten Keine angeboten Für zugelassene US-Institutionen nur zugelassen (13. August 2007 SEC No - Aktion Brief an ASX Limited ausgestellt) Keine angeboten AustralienASXASX Futures Exchange SampPASX 200 Genehmigt für den Verkauf an US-Personen (24. Juli 2002 No-Action Letter an ASX Futures Exchange ausgegeben) Keine angeboten Genehmigt für berechtigte US-Institutionen nur (13. August 2007 SEC Nr - Aktion Brief an ASX Limited ausgestellt) Nicht genehmigt AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Nicht genehmigt Keine angeboten Genehmigt für berechtigte US-Institutionen nur (13. August 2007 SEC No-Action Letter an ASX Limited ausgestellt) Keine angeboten AustralienSydney Futures Exchange (SFE ) SPI 200 Zugelassen zum Verkauf an US-Personen (10. August 1999 No-Action Letter an SFE ausgestellt) Zugelassen zum Verkauf an US-Personen (10. August 1999 No-Action Letter an SFE ausgestellt) Nicht genehmigt Keine angeboten AustralienSydney Futures Exchange (SFE ) 1-Tages-Optionsvertrag auf Basis des CBOT-Mini-Dow-Futures-Kontraktes Keine angeboten Anerkannt für den Verkauf an US-Personen (8. August 2006 No-Action Letter an SFE ausgestellt) Keine angeboten Keine angeboten AustriaWiener Borse ATX Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 2 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen ÖsterreichWiener Borse Russisch Traded Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten AustriaWiener Borse CECE Indizes (CEX, CTX, HTX, PTX) Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten AustriaWiener Borse Einzelbezeichnung Aktien Keine angeboten Keine angeboten Nicht genehmigt4 Keine angeboten BelgienEuronext Brüssel BEL 20 Zugelassen zum Verkauf an US-Personen (31. August 2011 No-Action Brief an Euronext Brüssel) Keine angeboten Nicht genehmigt4 Keine angeboten BelgienEuronext Brüssel Mini BEL 20 (Index Beteiligungseinheiten) Keine Angeboten Keine angebotenes nicht zugelassen Keine angeboten BelgienEuronext Brüssel Mini Dow Jones Euro STOXX (Index Beteiligungseinheiten) Keine angeboten Keine angeboten Nicht genehmigt Keine angeboten BelgienEuronext Brüssel Einzelname Aktien Nicht genehmigt Keine angeboten Nicht genehmigt4 Keine angeboten Brasilien BMampF Bovespa SA Ibovespa Zugelassen zum Verkauf an US Personen (26. August 2009 No-Action-Brief an BMampF Bovespa SA) 2 Zugelassen zum Verkauf an US-Personen (26. August 2009 No-Action Brief an BMampF Bovespa SA) Nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA Ibovespa Flex Keine angeboten Keine angebotene nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA Mini Ibovespa Zugelassen zum Verkauf an US-Personen (26. August 2009 No-Action Brief an BMampF Bovespa SA) Keine angeboten Keine angeboten Keine angeboten Brasilien BMampF Bovespa SA IBrX 50 Index Futures Contract Genehmigung ausstehend Nicht genehmigt Nicht genehmigt Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 3 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen Brasilien BMampF Bovespa SA SampP 500 Index Zugelassen zum Verkauf an US-Personen (24. September 2012 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Brasilien BMampF Bovespa SA MICEX Zugelassen zum Verkauf an US-Personen (12. März 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Brasilien BMampF Bovespa SA Hang Seng Zugelassen zum Verkauf an US-Personen (12. März 2013 Zertifizierung) Nicht zugelassen Nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA FTSEJSE Top 40 Zugelassen zum Verkauf an US Personen (12. März 2013 Zertifizierung) Nicht zugelassen Nicht genehmigt Keine angeboten Brasilien BMampF Bovespa SA BSE Sensitiv Zugelassen zum Verkauf an US Personen (12. März 2013 Zertifizierung) Nicht genehmigt Nicht genehmigt Keine angeboten KanadaMontreal Austausch (Bourse de Montreacuteal) SampPTSX Kanada 60 Genehmigt Zum Verkauf an US-Personen (9. Dezember 1999 CFTC No-Action-Brief an die Montreal Exchange ausgegeben) 3 Keine angebotene Genehmigung, einschließlich der Genehmigung aller anderen Indexoptionen, zum Verkauf an US-Personen, die in der Regel jetzt oder in der Zukunft aufgeführt werden ( Post-Effective-Änderungsantrag Nr. 27 zur Registrierungserklärung auf Formular S-20, eingereicht von kanadischen Derivaten Clearing Corp. SEC-Datei Nr. 2-69458) Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten an Das Ende dieser Tabelle. 4 CountryExchange Basiswert Futures Kontrakte Optionen auf Futures-Kontrakte Aktienoptionen ETF-Optionen KanadaMontrealer Umtausch (Bourse de Montreacuteal) Einzelne Namen Aktien Keine angeboten Keine angeboten Für alle Optionen auf einzelne Wertpapiere, die an der Montreal Exchange notiert sind, die jetzt oder in der Zukunft aufgeführt werden Verkauf an US-Personen im Allgemeinen (post-effektive Änderung Nr. 27 zur Registrierungserklärung auf Formular S-20 eingereicht von kanadischen Derivaten Clearing Corp. SEC File Nr. 2-69458) Keine angeboten KanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX 60 Index Mini Futures (Bourse de Montreacuteal) iUnits SampPTSE 60 Index Partizipationsfonds (i60 Fonds) Keine angeboten Keine angeboten Keine angeboten Genehmigt für US-Personen im Allgemeinen gemäss Einschreibung. Deutsch: www. tab. fzk. de/de/projekt/zusammenf...ng/ab117.htm (Siehe SampPTSX Canada 60 oben) CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Capped Sector Nicht genehmigt Keine angeboten Für US-Personen im Allgemeinen gemäss Registrierungserklärung (siehe SampPTSX Canada 60 oben) Keine angeboten KanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Gold Index Fonds Keine angeboten Keine angeboten Keine angeboten Genehmigt für US-Personen im Allgemeinen gemäss Registrierungserklärung (siehe SampPTSX Canada 60 oben) Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 5 LandExchange Basiswert Futures-Kontrakte Optionen auf Futures-Kontrakte Aktienoptionen ETF-Optionen KanadaMontreale Börse (Bourse de Montreacuteal) iUnits SampPTSX Capped Financials Index Fonds Keine angeboten Keine angeboten Keine angeboten Für US-Personen im Allgemeinen gemäss Registrierungserklärung zugelassen (siehe SampPTSX Canada 60 oben) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Information Technology Index Fonds Keine angeboten Keine angeboten Keine angeboten Genehmigt für US-Personen im Allgemeinen gemäss Registrierungserklärung (siehe SampPTSX Canada 60 oben) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Energy Index Fonds Keine angeboten Keine (Siehe SampPTSX Kanada 60 oben) China (siehe auch Hongkong und Taiwan) China Finanzterminal Exchange CSI 300 Index Futures Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DänemarkOMX Nordic Exchange Kopenhagen AS Single Name Aktien Keine angeboten Keine angeboten Nicht genehmigt4,11 Keine angeboten DänemarkFUTOP Markt KFX (LargeSmall Vertrag) Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten FinlandOMX Nordic Exchange Helsinki Einzelname Aktien Keine angeboten Keine angeboten Nicht genehmigt4,5 Keine angeboten Für die Definition von ldquoEligible US Institutionen und andere erläuternde Informationen finden Sie in den Endnoten am Ende dieser Tabelle. 6 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen FrankreichEuronext Paris SA CAC40 Zugelassen zum Verkauf an US-Personen (17. Dezember 1991 No-Action Letter ausgestellt an ParisBourse) 3 Keine angebotene Zulassung nur für berechtigte US-Institutionen (17. Juli 1996) SEC No-Action-Schreiben an MONEP, bestätigt am 6. Dezember 1999 SEC No-Action-Brief an ParisBourse ausgestellt) 4 Keine angeboten FranceEuronext Paris SA CAC40 Mini Approved zum Verkauf an US-Personen (13. September 2013 Zertifizierung) Keine angeboten Keine angeboten Keine Bot FranceEuronext Paris SA Einzelname Aktien Nicht genehmigt Keine angeboten Für alle Optionen auf einzelne Beteiligungspapiere zugelassen, die jetzt oder in der Zukunft aufgeführt werden werden5 nur für berechtigte US-Institute (17. Juli 1996 SEC No-Action Letter an MONEP, bestätigt durch 6. Dezember 1999 SEC No-Action-Brief an ParisBourse) 4 Keine angeboten FranceEuronext Paris SA Dow Jones STOXX 50 Zugelassen zum Verkauf an US-Personen (29. Februar 2000 CFTC No-Action-Brief an ParisBourse) 3 Keine angeboten Genehmigt für Anspruchsberechtigte US Institutionen nur (26. Oktober 1998 SEC No-Action Letter an MONEP ausgestellt, bestätigt am 6. Dezember 1999 SEC No-Action Letter an ParisBourse ausgestellt) Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, siehe die Endnoten Am Ende dieses Tisches. 7 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen FrankreichEuronext Paris SA Dow Jones Euro STOXX 50 Zugelassen zum Verkauf an US-Personen (29. Februar 2000 CFTC No-Action Letter ausgestellt an ParisBourse) 3 Keine angebotene Zulassung nur für berechtigte US-Institutionen (26. Oktober 1998 SEC-No-Action-Schreiben an MONEP, bestätigt am 6. Dezember 1999 SEC-No-Action-Brief an ParisBourse) Keine angeboten FranceEuronext Paris SA Dow Jones STOXX 600 Sektoren (Bank, Energie, Gesundheitswesen, Technologie, Telekommunikation) Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten FranceEuronext Paris SA FTSEurofirst 80 Zugelassen zum Verkauf an US-Personen (5. März 2007 CFTC No-Action Brief an Euronext LIFFE, im Auftrag von Euronext Paris SA) Keine angeboten Keine angeboten4 Keine angeboten FranceEuronext Paris SA FTSEurofirst 100 Zugelassen zum Verkauf an US-Personen (5. März 2007 CFTC No-Action-Brief an Euronext LIFFE im Auftrag von Euronext Paris SA) Keine angeboten Keine angeboten4 Keine angeboten FranceEuronext Paris SA FTSE EPRANAREIT Europe Zugelassen zum Verkauf an US-Personen (Juli 10, 2008 CFTC No-Action-Brief an Euronext LIFFE im Auftrag von Euronext Paris SA) Keine angeboten Keine angeboten Nicht genehmigt Für die Definition von ldquoEligible US Institutionrdquo und für weitere erläuternde Informationen siehe die Endnoten am Ende dieser Tabelle. 8 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Options FranceEuronext Paris SA FTSE EPRANAREIT Euro Zone Zugelassen zum Verkauf an US Personen (10. Juli 2008 CFTC No-Action Brief an Euronext LIFFE im Auftrag von Euronext Paris SA) Keine angeboten Keine angebotene Nicht zugelassene DeutschlandSchweiz Eurex DAX Zugelassen zum Verkauf an US-Personen (20. Dezember 1994 CFTC-No-Action-Brief an Deutsche Terminborse) 3 Keine angebotene Zulassung nur für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Letter an Eurex erteilt ) Keine angeboten DeutschlandSchweiz Eurex DAX EX Nicht genehmigt Keine angeboten Keine angebotene Zulassung nur für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Brief an Eurex ausgestellt) DeutschlandSchweiz Eurex Dow Jones Euro STOXX 50 Zugelassen zum Verkauf an US-Personen (April 6, 2000 CFTC-No-Action-Schreiben an Eurex) 3 Keine angebotene Zulassung nur für berechtigte US-Institutionen (27. Juli 2005 SEC-No-Action-Letter an Eurex) Keine angeboten DeutschlandSchweiz Eurex Dow Jones Euro STOXX 50 Dividende Nicht genehmigt Nicht genehmigt Keine angeboten Keine Angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 50 Zugelassen zum Verkauf an US-Personen (6. April 2000 CFTC No-Action-Brief an Eurex ausgestellt) 3 Keine angebotene Zulassung nur für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Letter an Eurex ausgestellt) Keine angeboten DeutschlandSchweiz Eurex Dow Jones Euro STOXX 50 EX Nicht genehmigt Keine angeboten Nicht genehmigt Für zugelassene US-Institutionen genehmigt (27. Juli 2005 SEC No-Action Letter an Eurex ausgestellt) Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, bitte Sehe die Endnoten am Ende dieser Tabelle. 9 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandSchweiz Eurex KOSPI 200 Optionen6 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Schweizer Markt Nicht genehmigt Keine angeboten Genehmigt nur für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Letter Ausgestellt an Eurex) Genehmigt nur für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Letter an Eurex ausgestellt) DeutschlandSchweiz Eurex SLI Schweizer Führer zum Verkauf an US-Personen zugelassen (18. August 2008 CFTC No-Action Brief an Eurex ausgestellt) Keine Angebotenes nicht zugelassenes Nichts DeutschlandSchweiz Eurex Swiss Market Index Midcap (SMIM) Zugelassen zum Verkauf an US-Personen (18. August 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones Global Titans 50 Zugelassen zum Verkauf An die US-Personen (18. Juli 2002 CFTC-No-Action-Brief an Eurex ausgestellt) Keine angebotene Zulassung nur für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Brief an Eurex ausgestellt) Keine angeboten DeutschlandSchweiz Eurex Dow Jones Global Titans 50 Index ( US Denominiert) Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 600 Bankensektor zugelassen zum Verkauf an US-Personen (2. April 2002 CFTC No-Action-Brief an Eurex ausgestellt) Keine angebotene nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX Small 200 Zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere Erklärungen Informationen finden Sie in den Endnoten am Ende dieser Tabelle. 10 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandSchweiz Eurex Dow Jones STOXX Mid 200 Zugelassen zum Verkauf an US-Personen (18. Juni 2007 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX Large 200 Zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 600 Zugelassen zum Verkauf an US-Personen (18. Juni 2007 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 600 Industriegüterverkäufer Dienstleistungen für den Verkauf an US-Personen zugelassen (6. Februar 2008 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 600 Versicherung zum Verkauf an US-Personen zugelassen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 600 Medien zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC Nr - Aktion Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 600 Personalverstärker Haushaltswaren Zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt) 7 Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 600 Einzelhandel Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 11 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandSchweiz Eurex Dow Jones STOXX 600 Reiseverstärker Freizeit Genehmigt zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones STOXX 600 Dienstprogramme zugelassen zum Verkauf an US-Personen (6. Februar 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Andere Dow Jones STOXX 600 Marktsektoren (Technologie, Gesundheitswesen, Telekommunikation) Nicht Genehmigt Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones Euro STOXX Bankensektor Nicht genehmigt8 Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Dow Jones Euro STOXX Select Dividend 30 Zugelassen zum Verkauf an US-Personen (18. August 2008 CFTC No-Action Letter ausgestellt an Eurex) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Andere Dow Jones Euro STOXX Sektoren (diverse) Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex HEX 25 Finnisch Nicht genehmigt Keine angeboten Genehmigt nur für berechtigte US-Institutionen (27. Juli 2005 SEC No - Aktion Brief an Eurex ausgestellt) Keine angeboten DeutschlandSchweiz Eurex TECDAX Zugelassen zum Verkauf an US-Personen (18. August 2008 CFTC No-Action-Brief an Eurex ausgestellt) Keine angebotene Zulassung nur für berechtigte US-Institutionen (27. Juli 2005 SEC No-Action Letter ausgestellt Zu Eurex) Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 12 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandSchweiz Eurex Dow Jones Italien Titanen 30 Zugelassen zum Verkauf an US-Personen (23. November 2005 CFTC No-Action Letter an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex MDAX Approved Zum Verkauf an US-Personen (14. März 2006 CFTC-No-Action-Brief an Eurex ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex iShares DJ EURO STOXX Keine angeboten Keine angeboten Keine angeboten Genehmigt nur für berechtigte US-Institutionen (27. Juli 2005 SEK-Nr - Aktion Brief an Eurex ausgestellt) DeutschlandSchweiz Eurex RDX USD12 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex DJ Banken Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex DJ Öl und Gas Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex DJ Versicherung Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex DJ Telekommunikation Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex DJ Versorger Titanen 30 Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex MSCI Alle Länder Asien Pazifik ex - Japan zugelassen zum Verkauf an US-Personen (17. Juni 2013 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 13 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF-Optionen DeutschlandSchweiz Eurex MSCI China Freie Genehmigung zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex MSCI Emerging Markets Zugelassen zum Verkauf an US-Personen (Februar 4, 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex MSCI Emerging Markets Asien Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex MSCI Emerging Markets EMEA Genehmigt zum Verkauf an US-Personen (Februar 4, 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex MSCI Emerging Markets Lateinamerika Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex MSCI Europe Zugelassen zum Verkauf an US-Personen (17. Juni , 2013 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex MSCI Europe Growth Approved zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex MSCI Europe Value Approved zum Verkauf an US-Personen (4. Februar 2014) Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex MSCI Indien Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex MSCI Japan Zugelassen zum Verkauf an US-Personen (17. Juni 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 14 CountryExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandSchweiz Eurex MSCI Malaysia Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex MSCI Südafrika Zugelassen zum Verkauf an US-Personen (4. Februar , 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex MSCI Thailand Zugelassen zum Verkauf an US-Personen (4. Februar 2014 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten DeutschlandSchweiz Eurex MSCI World Zugelassen zum Verkauf an US-Personen (17. Juni 2013 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex STOXX Europe 600 Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex STOXX Europe Large 200 Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine Angeboten Nicht zugelassen Keine angeboten DeutschlandSchweiz Eurex STOXX Europe Mid 200 Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex STOXX Europe Small 200 Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine Angeboten nicht zugelassen Keine angeboten DeutschlandSchweiz Eurex Euro STOXX Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Euro STOXX Large Zugelassen zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 15 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen DeutschlandSchweiz Eurex Euro STOXX Mid Genehmigt zum Verkauf an US-Personen (5. Juni 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Euro STOXX Small Zugelassen zum Verkauf an US-Personen (Juni 5, 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Mini Euro STOXX 50 Volatilität Index Zugelassen zum Verkauf an US Personen (20. Juli 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Euro STOXX 50 Ex Financials Index Zugelassen zum Verkauf an US-Personen (27. August 2012 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten DeutschlandSchweiz Eurex Einzelname Aktien Nicht genehmigt Keine angeboten Angemeldet für Optionen auf einzelnen deutschen, schweizerischen, finnischen, niederländischen, italienischen und französischen Aktien5 nur für berechtigte US-Institutionen (27. Juli , 2005 SEC No-Action-Brief an Eurex ausgestellt) Keine angeboten DeutschlandBoumlrse Frankfurt Einzelne Namen Aktien Keine angeboten Keine angeboten Nicht genehmigt4,5 Keine angeboten GriechenlandAthen Börsenderivate Markt FTSEASE 20 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten GriechenlandAthen Börsenderivate Markt FTSEASE Mid-40 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 16 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen Hong KongHong Kong Börsen und Clearing Ltd. (HKEX) Hang Seng zugelassen zum Verkauf an US-Personen (1. Juni 1994 CFTC No-Action Letter an HKFE ausgestellt) 3 Keine angeboten Genehmigt Nur für zugelassene US-Institutionen (26. September 1995 SEC No-Action Letter an HKFE ausgestellt) Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd (HKEX) Mini Hang Seng genehmigt für den Verkauf an US-Personen (16. Januar 2009 CFTC No-Action Brief an HKFE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten Hong KongHong Kong Austausch und Clearing Ltd (HKEX) Mini Hang Seng China Enterprises Index zugelassen zum Verkauf an US-Personen (16. Januar 2009 CFTC No-Action-Brief an HKFE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd (HKEX) FTSEXinhua China 25 Zugelassen für den Verkauf an US-Personen (26. September 2006 CFTC No-Action-Brief an HKFE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten Hong KongHong Kong Austausch und Clearing (HKEX) H-Anteile (Hang Seng China Enterprises Index) Zugelassen zum Verkauf an US-Personen (26. September 2006 CFTC No-Action-Brief an HKFE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd. ( HKEX) DJIA Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) CES China 120 Zugelassen zum Verkauf an US-Personen (17. September 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Hong KongHong Kong Austausch und Clearing (HKEX) HSI Volatility Index (VHSI) Zugelassen zum Verkauf an US-Personen (17. September 2013 Zertifizierung) Keine angeboten Keine angeboten Keine angeboten Für die Definition von ldquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende Dieser Tabelle. 17 LandExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF Optionen Hong KongHong Kong Börsen und Clearing AG (HKEX) HSCEI Dividendenpunkt Index Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten UngarnBudapest Börse BUX Nicht genehmigt Keine angeboten Keine angeboten Keine angeboten IndiaBombay Stock Umtausch (BSE) BSE Sensitiver Index von 30 Aktien (Sensex) 9 Zugelassen zum Verkauf an US-Personen (14. Juni 2006 CFTC-No-Action-Brief an BSE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten IndiaBombay Stock Exchange (BSE) SampP BSE 100 Genehmigt Für den Verkauf an US-Personen (24. September 2013 Zertifizierung) Keine angeboten Nicht genehmigt Keine angeboten IndienBombay Börse (BSE) DOLLEX-309 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten IndiaNational Börse von Indien Ltd (NSE) SampP CNX Nifty (ldquoNifty 50rdquo) 9 Zugelassen zum Verkauf an US-Personen (17. Oktober 2003 CFTC No-Action-Brief an NSE ausgestellt) Keine angeboten Nicht genehmigt Keine angeboten IndiaNational Stock Exchange of India Ltd. (NSE) CNXIT Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten IndiaNational Stock Exchange of India Ltd. (NSE) Bank Nifty Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten IrlandIrish Börse Einzelname Aktien Keine angeboten Keine angeboten Nicht genehmigt4 Keine angeboten IsraelTel Aviv Börse TA 25 Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten Für die Definition von LdquoEligible US Institutionrdquo und für andere erläuternde Informationen, sehen Sie bitte die Endnoten am Ende dieser Tabelle. 18 CountryExchange Basiswert Futures Kontrakte Optionen auf Futures Kontrakte Aktienoptionen ETF-Optionen IsraelTel Aviv Börse TA Banken Nicht genehmigt Keine angeboten Nicht genehmigt Keine angeboten ItalienBorsa Italiana ndash IDEM FTSE MIB4 Zugelassen zum Verkauf an US-Personen (30. August 2004 CFTC No-Action Letter ausgestellt Zu Borsa Italiana) Keine angebotene Zulassung für berechtigte US-Institutionen nur (24. September 2004 No-Action-Brief an Borsa Italiana ausgestellt) Keine angeboten ItalienBorsa Italiana ndash IDEM Einzelname Aktien Nicht genehmigt Keine angeboten Genehmigt für berechtigte US-Institutionen nur (siehe 1. September, 1998 SEC No-Action-Brief an Borsa Italiana in Bezug auf Optionen auf einzelne ISE-Aktien) 4,5 Keine angeboten ItalienBorsa Italiana ndash IDEM Mini FTSE MIB Genehmigt zum Verkauf an US-Personen (30. August 2004 CFTC No-Action Letter an Borsa ausgestellt Italiana) Keine angeboten Keine angeboten Keine angeboten ItalienBorsa Italiana ndash IDEM FTSE MIB Dividenden Genehmigung ausstehend Keine angeboten Keine angeboten Keine angeboten JapanOsaka Securities Exchange (OSE) Nikkei 300Intercontract Spread Genehmigt für den Verkauf an US-Personen (17. Mai 1994 CFTC No-Action Letter ausgestellt an OSE)3 None offered Approved for Eligible US Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered For the definition of ldquoEligible US Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table . 19 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Securities Exchange (OSE) Single name equities None offered None offered Approved for options on individual equities that are listed and traded on the OSE or other Japanese exchanges that are now or may in the future be listed for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Securities Exchange (OSE) Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Securities Exchange (OSE) Mini Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (July 11, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered JapanOsaka Securities Exchange (OSE) Sector Indices (High Tech, Financial and Consumer Indices) Not approved None offered Not approved None offered JapanOsaka Securities Exchange (OSE) DJIA Approved for sale to U. S. Persons (June 15, 2012 certification) None offered None offered None offered JapanOsaka Securities Exchange (OSE) RussellNomura Prime Approved for sale to U. S. Persons (March 14, 2005 No-Action Letter issued to OSE) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 20 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Securities Exchange (OSE) FTSE Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Securities Exchange (OSE) MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Securities Exchange (OSE) Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered JapanTokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) Nikkei 225 Dividend Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) TOPIX Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions only (July 27, 1999 SEC No-Action Letter issued to TSE) None offered JapanTokyo Stock Exchange (TSE) Single name equities None offered None offered Approved for options on individual TSE equities that are now or may in the future be listed for Eligible U. S. Institutions only (July 27, 1999 SEC No-Action Letter issued to TSE) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 21 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanTokyo Stock Exchange (TSE) TOPIX 150 Approved for sale to U. S. Persons (May 23, 2001 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions only (November 15, 2002 SEC No-Action Letter issued to TSE) None offered JapanTokyo Stock Exchange (TSE) TOPIX Sector Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) TOPIX Core30 Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Stock Exchange (TSE) Tokyo Stock Exchange REIT Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Stock Exchange (TSE) Mini TOPIX Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered Korea ndash see South Korea - - - - - MalaysiaBursa Malaysia Derivatives Berhad (BMD) FTSE Bursa Malaysia Kuala Lumpur Composite Approved for sale to U. S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad) None offered Not approved None offered MexicoMexican Derivatives Exchange (MEXDER) IPC Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 22 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Netherlands Euronext Amsterdam Derivatives Markets N. V. FTSE Eurotop 100 Approved for sale to U. S. Persons (May 14, 1996 CFTC No-Action Letter issued to Financiele Termijnmarkt Amsterdam)3 None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved4 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. AEX Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Single name equities Not approved None offered Not approved4,5 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Light AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Amsterdam Mid-Kap Not approved None offered Not approved None offered New ZealandNZFOE NZSE 10 Not approved Not approved None offered None offered NorwayOslo Stock Exchange OBX Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 23 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options NorwayOslo Stock Exchange Single name equities None offered None offered Not approved4,11 None offered PolandWarsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered PortugalEuronext Lisbon PSI 20 Not approved Not approved None offered4 None offered PortugalEuronext Lisbon Single name equities Not approved None offered Not approved4 None offered RussiaRussian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered Not approved None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Dow Jones Thailand Not approved (the requested approval was deemed withdrawn by the CFTC in 2004) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Hong Kong Approved for sale to U. S. Persons (December 17, 1999 CFTC No-Action Letter issued to SIMEX) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Taiwan Approved for sale to U. S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei 300 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 24 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) USD Nikkei Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) FTSEXinhua China A50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Asia APEX 50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (July 11, 2000 CFTC No-Action Letter issued to SGX-DT)3 None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Thailand Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 25 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Philippines Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI India Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Indonesia Approved for sale to U. S. Persons (October 2, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SampP CNX Nifty (ldquoNifty 50rdquo) Approved for sale to U. S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT) None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Mini Nikkei 225 Approved for sale to U. S. Persons (December 23, 2009 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Euro STOXX 50 Approved for sale to U. S. Persons (March 22, 2012 certification) None offered None offered None offered South AfricaJSESAFEX ALSIFTSE JSE 40 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to SAFEX) None offered Not approved None offered South AfricaJSESAFEX FTSEJSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South AfricaJSESAFEX Mining Not approved None offered None offered None offered South AfricaJSESAFEX Financial Not approved None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 26 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South AfricaJSESAFEX Industrial Not approved None offered None offered None offered South KoreaKorea Exchange KOSPI 200 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Korea Futures Exchange) None offered Not approved None offered South KoreaKorea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered SpainMEFF IBEX 35 Approved for sale to U. S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3 None offered Not approved None offered SpainMEFF IBEX 35 Mini Not approved Not approved None offered None offered SpainMEFF SampP Euro Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMEFF SampP Europe 350 Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMadrid Stock Exchange Single name equities None offered None offered Not approved4 None offered SwedenOMHEX HEXTECH Not approved Not approved None offered None offered SwedenOMHEX HEXTEMP Not approved None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 27 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SwedenOMX Nordic Exchange Stockholm AB OMXS30 (formerly OMX) Approved for sale to U. S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXcap Approved for sale to U. S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB NOX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB VINX30 Approved for sale to U. S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm) None offered Not approved Not approved SwedenOMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered SwitzerlandSIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered Switzerland ndash see Germany - - - - - TaiwanTaiwan Futures Exchange GreTai Securities Market Capitalized Weighted Approved for sale to U. S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 28 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TaiwanTaiwan Futures Exchange TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Mini-TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered None offered None offered TaiwanTaiwan Futures Exchange MSCI Taiwan Approved for sale to U. S. Persons (October 12, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered TaiwanTaiwan Futures Exchange Electronic Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Finance Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Taiwan Stock Exchange Non-Finance Non-Electronics Approved for sale to U. S. Persons (April 1, 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 29 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options ThailandThailand Futures Exchange PCL SET50 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange) None offered Not approved None offered TurkeyBorsa stanbul Derivatives Market (VIOP) BIST 30 (formerly ISE 30)13 Approved for sale to U. S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange) None offered Not approved None offered U. K.Euronext LIFFE FTSE 100 Approved for sale to U. S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3 None offered Approved for Eligible U. S. Institutions only (May 1, 1992 SEC No-Action Letter issued to LIFFE)4 None offered U. K.Euronext LIFFE Single name equities Not approved None offered Approved for options on individual LSE equity securities that are now or may in the future be listed for Eligible U. S. Institutions only (May 1, 1992 SEC No-Action Letter issued to LIFFE), None offered U. K.Euronext LIFFE FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (Mid-Cap) Approved for sale to U. S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE Mini FTSE 100 Approved for sale to U. S. Persons (May 30, 2001 CFTC No-Action letter issued to LIFFE)3 None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 30 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.Euronext LIFFE FTSE Eurotop 100 Approved for sale to U. S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE FTSE 100 FLEX None offered None offered Approved for Eligible U. S. Institutions only (March 6, 1996 SEC No-Action Letter issued to LIFFE) None offered U. K.Euronext LIFFE MSCI Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE MSCI Pan-Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offered None offered None offered U. K.Euronext LIFFE MSCI Europe (Euro-denominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K.EDX London Exchange OMXFlex OMX None offered None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange)4 None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 31 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.EDX London Exchange OBXFlex OBX Not approved None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange Single name equities None offered None offered Approved for options on individual Swedish, Norwegian and Danish equities11 for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange KFXFlex KFX Not approved None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.London Stock Exchange Derivatives FTSE 100 Approval pending None offered Not approved4 None offered U. K.London Stock Exchange Derivatives FTSE UK Large Cap Super Liquid (FTSE SLQ) Approval pending None offered None offered None offered U. K.London Stock Exchange Derivatives Single name equities None offered None offered Not approved (see U. K.Euronext LIFFE)4 None offered U. K.Turquoise Global Holdings Limited FTSE 100 Approved for sale to U. S. Persons (June 1, 2012 certification) None offered Not approved4 None offered NOTE: This Chart covers those products and exchanges that are likely to be of greatest interest to market participants in the United States. It is not, therefore, intended to be exhaustive, and is presented without any representation or warranty as to its accuracy, completeness or timeliness. Transmission or receipt of this information does not create an attorney-client relationship with Katten Muchin Rosenman LLP, and the information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. This Chart does not express any opinion as to the potential application of the laws of any jurisdiction other than the United States. Questions regarding the permissibility of trading in products that are not included in this Chart should be addressed to James D. Van De Graaff at 1.312.902-5227, Kenneth M. Rosenzweig at 1.312.902-5381, Kevin M. Foley at 1.312.902-5372, Christian B. Hennion at 1.312.902-5521 or Blake J. Brockway at 1.312.902-5438. ldquoEligible U. S. Institutionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible U. S. Institutionrdquo means, in general, a U. S. Person that (i) is a ldquoqualified institutional buyerrdquo as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (ii) has had prior actual experience in trading U. S. listed options contracts. For information regarding working definitions of ldquoU. S. Personrdquo as that term is used in this Chart, please contact Katten Muchin Rosenman LLP. 1 Reserved 2 The CFTC No-Action Letter also applies to BMampF Bovesparsquos ldquoIbovespa Rolloverrdquo and ldquoForward Points on the Ibovespardquo transactions. 3 The index is included in the CFTCrsquos and SECrsquos joint order dated May 31, 2002 extending the exclusion of such index from the definition of ldquonarrow-based security indexrdquo under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the ldquoJoint Orderrdquo). Foreign futures contracts or options on futures contracts on ldquonarrow-based securities indexesrdquo may not be offered or sold to U. S. Persons without the CFTC and SEC first developing joint regulations, which has not yet been done. Accordingly, the Joint Order effectively allows the stock index futures contracts and options on futures contracts that are based on the security indexes included in the Joint Order, which were granted no-action relief by the CFTC prior to the enactment of the Commodity Futures Modernization Act (ldquoCFMArdquo) on December 21, 2000, to continue to be offered and sold to U. S. Persons after July 11, 2002, the date that the exclusion set forth in the CFMA was to expire. 4 These products may be eligible for clearing through the Bclear service offered by Euronext LIFFE (ldquoLIFFErdquo). Bclear allows members to submit an option contract on a non-U. S. security that has been negotiated and completed as an over-the-counter (ldquoOTCrdquo) transaction so that LIFFE may replace the OTC transaction with an equivalent LIFFE options contract. LIFFE members that intend to offer or sell such products to U. S. persons must satisfy the following conditions: (i) Bclear services may only be offered to a U. S. person that qualifies as an Eligible U. S. Institution (see above), (ii) the LIFFE member must obtain and maintain certain representations from the customer, and (iii) before transacting, and on an annual basis thereafter, the LIFFE member must file a declaration with LIFFE. For additional information on these conditions, see LIFFE London Notice No. 3732. LIFFE maintains a list of eligible options, which includes (1) LIFFE individual equity options based on the securities of non-U. S. issuers and (2) LIFFE index options based on indices that contain no component securities of U. S. issuers. The list of eligible options may be accessed here. 5 The SEC also has approved for Eligible U. S. Institutions all options on individual German-, Swiss-, Finnish-, Dutch-, Italian - and French-issued equities that are now or that in the future may be listed on Eurex. Equities issued in any other country that are listed on Eurex have not been approved at this time. 6 Eurex offers a KOSPI product that Eurex describes as a daily futures contract that expires every night, with any net open positions at the end of trading resulting in the establishment of a corresponding position in the Korean Exchangersquos KOSPI 200 Options (with strike prices, expiries, putcall and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 28111, the Dow Jones STOXX 600 Personal amp Household Goods Sector will no longer be tradable on Eurex trading terminals in the U. S. after the close of business on February 29, 2012. The previously issued no-action letter approving such product for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 8 Pursuant to Eurex Circular 26011, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the U. S. The previously issued no-action letter approving such product for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 9 Additional restrictions apply to the trading of these products by U. S. Persons. 10 Reserved 11 The SEC also has approved for Eligible U. S. Institutions all options on individual Swedish-, Norwegian - and Danish-issued equities that are now or that in the future may be listed on the EDX London exchange. Equities issued in any other country that are listed on the EDX London Exchange have not been approved at this time. Note: EDX London Exchange has been acquired by the Turquoise Exchange. 12 The RDX USD Index futures and options contracts have not been approved for sale to U. S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD ndash RDX Extended Index futures contract) for sale to U. S. Persons in a no-action letter issued on March 6, 2008, but Eurex subsequently delisted the contract. 13 The Istanbul Stock Exchange (ldquoISErdquo) is now part of the Borsa Istanbul (ldquoBISTrdquo). As such, references to ISE 30 have been changed to BIST 30 on VIOPrsquos trading platform and the CFTCrsquos website. 14 The London Stock Exchange offers options on Russian equity products through its International Order Book. Providing all applicable conditions are met, Eligible U. S. Institutions may trade these options through the Bclear service offered by Euronext LIFFE. See Footnote 4. kattenlaw AUSTIN CENTURY CITY CHARLOTTE CHICAGO HOUSTON IRVING LONDON LOS ANGELES NEW YORK ORANGE COUNTY SAN FRANCISCO BAY AREA SHANGHAI WASHINGTON, DC Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion. copy2014 Katten Muchin Rosenman LLP. Alle Rechte vorbehalten. Circular 230 Disclosure: Pursuant to regulations governing practice before the Internal Revenue Service, any tax advice contained herein is not intended or written to be used and cannot be used by a taxpayer for the purpose of avoiding tax penalties that may be imposed on the taxpayer. Katten Muchin Rosenman LLP is an Illinois limited liability partnership including professional corporations that has elected to be governed by the Illinois Uniform Partnership Act (1997). London affiliate: Katten Muchin Rosenman UK LLP To view all formatting for this article (eg, tables, footnotes), please access the original here. United States. Foreign Listed Stock Index Futures and Options Approvals Chart Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of February 15, 2012. All prior versions are superseded and should be discarded. Please note the following developments since we distributed the last Approvals Chart: The CFTC has approved (i) Taiwan Futures Exchange39s futures contract based on the GreTai Securities Market Capitalized Weighted Stock Index, and (ii) Singapore Exchange Derivatives Trading Limited39s futures contracts based on the FTSE China A50 Index and the MSCI Asia APEX 50 Index for trading by U. S. Persons. The CFTC also reports that Osaka Securities Exchange has applied for expedited review of its Nikkei Stock Average Volatility Index futures contract and that Singapore Exchange Derivatives Trading Limited has applied for expedited review of its SGX Euro Stoxx 50 Index futures contract. The Eurex futures contracts based on (i) the Dow Jones Euro STOXX Banking Sector Index are no longer tradable on Eurex trading terminals in the U. S. pursuant to Eurex circular 26011, and (ii) the Dow Jones STOXX 600 Personal Household Goods Index will no longer be tradable on Eurex trading terminals in the U. S. after the close of business on February 29, 2012, pursuant to Eurex circular 28111. The SEC has not approved any new foreign equity index options since we last distributed the Approvals Chart. To read the updated Foreign Listed Stock Index Futures and Options Approvals Chart, please click here. Der Inhalt dieses Artikels soll einen allgemeinen Leitfaden für den Gegenstand liefern. Fachberatung sollte über Ihre spezifischen Umstände gesucht werden. To print this article, all you need is to be registered on Mondaq. Klicken Sie auf Login als vorhandener Benutzer oder registrieren Sie sich, damit Sie diesen Artikel drucken können. Do you have a Question or Comment Click here to email the Author Interested in the next Webinar on this Topic Click here to register your Interest More Popular Related Articles on Finance and Banking from USA One of the regulatory pillars of the EMIR is the requirement for parties to collateralize the marked-to-market exposure in over-the-counter derivatives transactions that are not cleared by a central clearing system. Cadwalader, Wickersham Taft LLP The CFTC Division of Swap Dealer and Intermediary Oversight (DSIO) granted time-limited no-action relief to SDs that are subject to both U. S. and European margin requirements for uncleared swaps. Seyfarth Shaw LLP Hours after the inauguration of President Trump, the White House issued a memorandum which imposed a 90-day delay on regulations which had not yet taken effect. Thompson Coburn LLP As is widely known, the growing cannabis industry remains subject to disparate state and federal legal limitations and, consequently, is an industry with many challenges to market entry and expansion. Shearman Sterling LLP In early December, the FERC denied requests for rehearing of its March 11, 2016 Order denying the applications of Jordan Cove Energy Project, L. P. (Jordan Cove) to site. Kramer Levin Naftalis Frankel LLP The New York Department of Financial Services has released a revised version of its proposed cybersecurity regulations for financial services companies. Milbank, Tweed, Hadley McCloy LLP As has been the case now for three years running1, 2016s December 20 roll date again triggered a set of novel questions for the credit default swap market. Cadwalader, Wickersham Taft LLP On February 3, 2017, President Trump signed two executive actions intended to provide a framework for scaling back the Dodd-Frank Act (Dodd-Frank Act) and rescinding. Foreign Listed Stock Index Futures and Options Approvals Chart To view this article you need a PDF viewer such as Adobe Reader. USA October 1 2014 October 1, 2014 Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 1, 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) Montreal Exchangersquos futures contract based on the FTSE Emerging Markets Index (ii) London Stock Exchange Derivativesrsquo futures contract based on the FTSE 100 Index and (iii) London Stock Exchange Derivativesrsquo futures contract based on the FTSE UK Large Cap Super Liquid Index. (2) The SEC has not approved any new foreign equity index options since we last distributed the Approvals Chart. However, ICE Futures Europe, Osaka Exchange, Euronext Paris, Euronext Brussels and Euronext Amsterdam have claimed relief under the LIFFE AampM and Class Relief SEC No-Action Letter (Jul. 1, 2013) to offer Eligible Options to Eligible U. S. Institutions. See note 16. (3) The derivative market of the Tokyo Stock Exchange has been integrated into, and those products now trade on, the Osaka Exchange. (4) The status of the Dow Jones Euro STOXX Banking Sector traded on Eurex has been clarified. See note 8. For Additional Information The information on the attached Approvals Chart is subject to change at any time. If you have questions or would like confirmation of the status of a specific contract, please contact: 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 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. 1 Foreign Listed Stock Index Futures and Options Approvals (October 2014) CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 (August 13, 2007 SEC No-Action Letter issued to ASX Limited) Not approved AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Not approved None offered Approved for Eligible U. S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered 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 (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 (August 13, 2007 SEC No-Action Letter issued to ASX Limited) 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 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 AustriaWiener Borse ATX 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. 2 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options AustriaWiener Borse CECE Indices (CEX, CTX, HTX, PTX) Not approved None offered Not approved None offered AustriaWiener Borse Russian Traded Not approved None offered Not approved None offered AustriaWiener Borse Single name equities None offered None offered Not approved4 None offered BelgiumEuronext Brussels16 BEL 20 Approved for sale to U. S. Persons (August 31, 2011 No-Action Letter issued to Euronext Brussels) None offered Approved for Eligible U. S. Institutions (September 17, 2014 Representation Letter from Euronext Brussels to SEC)4 None offered BelgiumEuronext Brussels16 Mini BEL 20 (index participation units) None offered None offered Not approved None offered BelgiumEuronext Brussels16 Mini Dow Jones Euro STOXX (index participation units) None offered None offered Not approved None offered BelgiumEuronext Brussels16 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 Brussels (September 17, 2014 Representation Letter from Euronext Brussels to SEC)4 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 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 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. 3 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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. Ibovespa Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.)2 Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.) Not approved None offered Brazil BMampF Bovespa S. A. Ibovespa Flex None offered None offered Not approved None offered Brazil BMampF Bovespa S. A. IBrX 50 Index Futures Contract Approval pending Not approved Not approved 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. 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. SampP 500 Index Approved for sale to U. S. Persons (September 24, 2012 certification) None offered None offered None offered CanadaMontreal Exchange (Bourse de Montreacuteal) FTSE Emerging Markets Index Approved for sale to U. S. Persons (March 21, 2014 CFTC No-Action Letter issued to Montreal Exchange) 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. 4 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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) 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) 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 Gold 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) SampPTSX 60 Index Mini Futures Approved for sale to U. S. Persons (April 19, 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. 5 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Capped Sector Not approved None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) None offered CanadaMontreal Exchange (Bourse de Montreacuteal) 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 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. 6 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options China (see also Hong Kong and Taiwan)China Financial Futures Exchange CSI 300 Index Futures Not approved None offered None offered None offered DenmarkFUTOP Market KFX (LargeSmall Contract) Not approved None offered Not approved None offered DenmarkOMX Nordic Exchange Copenhagen AS Single name equities None offered None offered Not approved4,11 None offered FinlandOMX Nordic Exchange Helsinki Single name equities None offered None offered Not approved4,5 None offered FranceEuronext Paris S. A.16 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 (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.16 CAC40 Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered None offered None offered FranceEuronext Paris S. A.16 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 (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 definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo 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.16 Dow Jones STOXX 50 Approved for sale to U. S. Persons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions (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.16 Dow Jones STOXX 600 Sectors (Bank, Energy, Healthcare, Technology, Telecommunications) Not approved None offered Not approved None offered FranceEuronext Paris S. A.16 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 FranceEuronext Paris S. A.16 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 FranceEuronext Paris S. A.16 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 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. 8 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A.16 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 Approved for Eligible U. S. Institutions (September 17, 2014 Representation Letter from Euronext Paris to SEC)4 None offered FranceEuronext Paris S. A.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 Paris or other specified markets18 (September 17, 2014 Representation Letter from Euronext Paris to SEC)4,5 None offered GermanyBoumlrse Frankfurt Single name equities None offered None offered Not approved4,5 None offered GermanyEurex 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 (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex DAX EX Not approved None offered None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanyEurex DJ Banks Titans 30 Not approved None offered None offered None offered GermanyEurex DJ Insurance Titans 30 Not approved None offered None offered None offered GermanyEurex DJ Oil and Gas Titans 30 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. 9 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex DJ Telecommunications Titans 30 Not approved None offered None offered None offered GermanyEurex DJ Utilities Titans 30 Not approved None offered None offered None offered GermanyEurex 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 (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex Dow Jones Euro STOXX 50 Dividend Not approved Not approved None offered None offered GermanyEurex Dow Jones Euro STOXX 50 EX Not approved None offered Not approved Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanyEurex Dow Jones Euro STOXX Banking Sector Not approved8 None offered Not approved None offered GermanyEurex 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 GermanyEurex Dow Jones Global Titans 50 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex 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 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. 10 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex 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 GermanyEurex 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 (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex 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 GermanyEurex 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 GermanyEurex 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 GermanyEurex 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 GermanyEurex 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 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. 11 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex 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 GermanyEurex Dow Jones STOXX 600 Retail Not approved None offered Not approved None offered GermanyEurex 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 GermanyEurex 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 GermanyEurex 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 GermanyEurex 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 GermanyEurex 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 GermanyEurex Euro STOXX Approved for sale to U. S. Persons (June 5, 2012 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. 12 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex Euro STOXX 50 Ex Financials Index Approved for sale to U. S. Persons (August 27, 2012 certification) None offered Not approved None offered GermanyEurex Euro STOXX Large Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex Euro STOXX Mid Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex Euro STOXX Small Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex HEX 25 Finnish Not approved None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex iShares DJ EURO STOXX None offered None offered None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanyEurex KOSPI 200 Options6 Not approved None offered Not approved None offered GermanyEurex MDAX Approved for sale to U. S. Persons (March 14, 2006 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Mini Euro STOXX 50 Volatility Index Approved for sale to U. S. Persons (July 20, 2012 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. 13 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex MSCI All Countries Asia Pacific ex-Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not approved None offered GermanyEurex MSCI China Free Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanyEurex MSCI Emerging Markets Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Emerging Markets Asia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Emerging Markets EMEA Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Emerging Markets Latin America Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Europe Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not Approved None offered GermanyEurex MSCI Europe Growth Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Europe Value Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI India Approved for sale to U. S. Persons (February 4, 2014 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. 14 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex MSCI Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered None offered None offered GermanyEurex MSCI Malaysia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanyEurex MSCI South Africa Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanyEurex MSCI Thailand Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanyEurex MSCI World Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not Approved None offered GermanyEurex Other Dow Jones Euro STOXX Sectors Not approved None offered Not approved None offered GermanyEurex Other Dow Jones STOXX 600 Market Sectors Not approved None offered Not approved None offered GermanyEurex RDX USD12 Not approved None offered Not approved None offered GermanyEurex 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 (July 27, 2005 SEC No-Action Letter issued to Eurex) 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. 15 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex 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 GermanyEurex STOXX Europe 600 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex STOXX Europe Large 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex STOXX Europe Mid 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex STOXX Europe Small 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex Swiss Market Not approved None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanyEurex 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 GermanyEurex 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 (July 27, 2005 SEC No-Action Letter issued to Eurex) 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. 16 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 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) DJIA Not approved None offered None offered 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) 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 (September 26, 1995 SEC No-Action Letter issued to HKFE) None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSCEI Dividend Point Index Not Approved None offered None offered 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) HSI Volatility Index (VHSI) Approved for sale to U. S. Persons (September 17, 2013 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. 17 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 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) DOLLEX-309 Not approved None offered Not approved None offered IndiaBombay Stock Exchange (BSE) SampP BSE 1009 Approved for sale to U. S. Persons (September 24, 2013 certification) None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) Bank Nifty9 Not approved None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) CNXIT9 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 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. 18 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 IsraelTel Aviv Stock Exchange TA Banks Not approved None offered Not approved None offered ItalyBorsa Italiana ndash IDEM FTSE MIB Dividend Approval pending None offered None offered 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 (September 24, 2004 No-Action Letter issued to Borsa Italiana) 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 Single name equities Not approved None offered Approved for Eligible U. S. Institutions (see September 1, 1998 SEC No-Action Letter issued to Borsa Italiana with respect to options on individual ISE equities)4,5 None offered JapanOsaka Exchange (OSE)16 DJIA Approved for sale to U. S. Persons (June 15, 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. 19 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 FTSE Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 Mini Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (July 11, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered JapanOsaka Exchange (OSE)16 Mini TOPIX Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 Nikkei 225 Dividend Not approved None offered None offered None offered JapanOsaka Exchange (OSE)16 Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Exchange (OSE)16 Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered JapanOsaka Exchange (OSE)16 RussellNomura Prime Approved for sale to U. S. Persons (March 14, 2005 No-Action Letter issued to OSE) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 20 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 Single name equities None offered None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on the OSE or other Japanese exchanges and that meet OSE selection standards (March 14, 2014 Representation Letter from Tokyo Stock Exchange and Osaka Securities Exchange to SEC) None offered JapanOsaka Exchange (OSE)16 Tokyo Stock Exchange REIT Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 TOPIX Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions (July 27, 1999 SEC No-Action Letter issued to TSE) None offered JapanOsaka Exchange (OSE)16 TOPIX 150 Approved for sale to U. S. Persons (May 23, 2001 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions (November 15, 2002 SEC No-Action Letter issued to TSE) None offered JapanOsaka Exchange (OSE)16 TOPIX Banks Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 21 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 TOPIX Core30 Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered Korea ndash see South Korea - - - - - MalaysiaBursa Malaysia Derivatives Berhad (BMD) FTSE Bursa Malaysia Kuala Lumpur Composite Approved for sale to U. S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad) None offered Not approved None offered MexicoMexican Derivatives Exchange (MEXDER) IPC Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved Netherlands Euronext Amsterdam Derivatives Markets N. V.16 AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Approved for Eligible U. S. Institutions (September 17, 2014 Representation Letter from Euronext Amsterdam to SEC)4 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 AEX Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 22 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Amsterdam Mid-Kap Not approved None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 FTSE Eurotop 100 Approved for sale to U. S. Persons (May 14, 1996 CFTC No-Action Letter issued to Financiele Termijnmarkt Amsterdam)3 None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Light AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Single name equities Not approved None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on Euronext Amsterdam or other specified markets17 (September 17, 2014 Representation Letter from Euronext Amsterdam to SEC)4,5 None offered New ZealandNZFOE NZSE 10 Not approved Not approved None offered None offered NorwayOslo Stock Exchange OBX Not approved None offered Not approved None offered NorwayOslo Stock Exchange Single name equities None offered None offered Not approved4,11 None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 23 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options PolandWarsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered PortugalEuronext Lisbon PSI 20 Not approved Not approved None offered4 None offered PortugalEuronext Lisbon Single name equities Not approved None offered Not approved4 None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - RussiaRussian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Dow Jones Thailand Not approved (the requested approval was deemed withdrawn by the CFTC in 2004) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Euro STOXX 50 Approved for sale to U. S. Persons (March 22, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) FTSEXinhua China A50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Mini Nikkei 225 Approved for sale to U. S. Persons (December 23, 2009 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Asia APEX 50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 24 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Hong Kong Approved for sale to U. S. Persons (December 17, 1999 CFTC No-Action Letter issued to SIMEX) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI India Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Indonesia Approved for sale to U. S. Persons (October 2, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Philippines Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (July 11, 2000 CFTC No-Action Letter issued to SGX-DT)3 None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Taiwan Approved for sale to U. S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Thailand Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 25 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei 300 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SampP CNX Nifty (ldquoNifty 50rdquo) Approved for sale to U. S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT) None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) USD Nikkei Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered South AfricaJSESAFEX ALSIFTSE JSE 40 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to SAFEX) None offered Not approved None offered South AfricaJSESAFEX Financial Not approved None offered None offered None offered South AfricaJSESAFEX FTSEJSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South AfricaJSESAFEX Industrial Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 26 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South AfricaJSESAFEX Mining Not approved None offered None offered None offered South KoreaKorea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered South KoreaKorea Exchange KOSPI 200 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Korea Futures Exchange) None offered Not approved None offered SpainMadrid Stock Exchange Single name equities None offered None offered Not approved4 None offered SpainMEFF IBEX 35 Approved for sale to U. S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3 None offered Not approved None offered SpainMEFF IBEX 35 Mini Not approved Not approved None offered None offered SpainMEFF SampP Euro Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMEFF SampP Europe 350 Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SwedenOMHEX HEXTECH Not approved Not approved None offered None offered SwedenOMHEX HEXTEMP Not approved None offered None offered None offered SwedenOMX Nordic Exchange Stockholm AB NOX Not approved None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 27 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SwedenOMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXcap Approved for sale to U. S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXS30 (formerly OMX) Approved for sale to U. S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered SwedenOMX Nordic Exchange Stockholm AB VINX30 Approved for sale to U. S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm) None offered Not approved Not approved SwitzerlandSIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered TaiwanTaiwan Futures Exchange Electronic Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Finance Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 28 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TaiwanTaiwan Futures Exchange GreTai Securities Market Capitalized Weighted Approved for sale to U. S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Mini-TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered None offered None offered TaiwanTaiwan Futures Exchange MSCI Taiwan Approved for sale to U. S. Persons (October 12, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Taiwan Stock Exchange Non-Finance Non-Electronics Approved for sale to U. S. Persons (April 1, 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered ThailandThailand Futures Exchange PCL SET50 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 29 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TurkeyBorsa stanbul Derivatives Market (VIOP) BIST 30 (formerly ISE 30)13 Approved for sale to U. S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange) None offered Not approved None offered U. K.EDX London Exchange KFXFlex KFX Not approved None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange OBXFlex OBX Not approved None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange OMXFlex OMX None offered None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange)4 None offered U. K.EDX London Exchange Single name equities None offered None offered Approved for options on individual Swedish, Norwegian and Danish equities11 for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 30 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.LIFFE (ICE Futures Europe)16 FTSE 100 Approved for sale to U. S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3 None offered Approved for Eligible U. S. Institutions (May 1, 1992 SEC No-Action Letter issued to LIFFE)4 None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 100 FLEX None offered None offered Approved for Eligible U. S. Institutions (March 6, 1996 SEC No-Action Letter issued to LIFFE) None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 250 (Mid-Cap) Approved for sale to U. S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE Eurotop 100 Approved for sale to U. S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 Mini FTSE 100 Approved for sale to U. S. Persons (May 30, 2001 CFTC No-Action letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 MSCI Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 31 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.LIFFE (ICE Futures Europe)16 MSCI Europe (Euro-denominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 MSCI Pan-Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 Single name equities Not approved None offered Approved for Eligible Options on individual equity securities on specified non-U. S. exchanges15 for Eligible U. S. Institutions (March 14, 2014 Representation Letter from ICE Futures Europe to SEC) None offered U. K.LIFFE (ICE Futures Europe)16 TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives FTSE 100 Approved for sale to U. S. Persons (August 28, 2014 certification) None offered Not approved4 None offered U. K.London Stock Exchange Derivatives FTSE UK Large Cap Super Liquid (FTSE SLQ) Approved for sale to U. S. Persons (August 28, 2014 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives Single name equities None offered None offered Not approved (see U. K.LIFFE)4 None offered U. K.Turquoise Global Holdings Limited FTSE 100 Approved for sale to U. S. Persons (June 1, 2012 certification) None offered Not approved4 None offered 32 NOTE: This Chart covers those products and exchanges that are likely to be of greatest interest to market participants in the United States. It is not, therefore, intended to be exhaustive, and is presented without any representation or warranty as to its accuracy, completeness or timeliness. Transmission or receipt of this information does not create an attorney-client relationship with Katten Muchin Rosenman LLP, and the information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. This Chart does not express any opinion as to the potential application of the laws of any jurisdiction other than the United States. Questions regarding the permissibility of trading in products that are not included in this Chart should be addressed to James D. Van De Graaff at 1.312.902.5227, Kenneth M. Rosenzweig at 1.312.902.5381, Kevin M. Foley at 1.312.902.5372, Gary DeWaal at 1.212.940.6558, Christian B. Hennion at 1.312.902.5521 or Blake J. Brockway at 1.312.902.5438. ldquoEligible U. S. Institutionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible U. S. Institutionrdquo means, in general, a U. S. Person that (i) is a ldquoqualified institutional buyerrdquo as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (ii) has had prior actual experience in trading U. S.-listed options contracts. For information regarding working definitions of ldquoU. S. Personrdquo as that term is used in this Chart, please contact Katten Muchin Rosenman LLP. ldquoEligible Optionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible Optionrdquo means an index option or option on an individual security traded on a Foreign Options Market that is not fungible or interchangeable with options traded on any market other than the Foreign Options Market and, accordingly, each position in an Eligible Option issued by a clearing member of the Foreign Options Market can be closed out only on the Foreign Options Market. A ldquoForeign Options Marketrdquo means a non-U. S. derivatives market: (1) on which Eligible Options trade and (2) that is an organized exchange operated and regulated outside the United States. See LIFFE AampM and Class Relief, SEC No-Action Letter (Jul. 1, 2013) available here. 1 Reserved 2 The CFTC No-Action Letter also applies to BMampF Bovesparsquos ldquoIbovespa Rolloverrdquo and ldquoForward Points on the Ibovespardquo transactions. 3 The index is included in the CFTCrsquos and SECrsquos joint order dated May 31, 2002, extending the exclusion of such index from the definition of ldquonarrow-based security indexrdquo under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the ldquoJoint Orderrdquo). Foreign futures contracts or options on futures contracts on ldquonarrow-based securities indexesrdquo may not be offered or sold to U. S. Persons without the CFTC and SEC first developing joint regulations, which has not yet been done. Accordingly, the Joint Order effectively allows the stock index futures contracts and options on futures contracts that are based on the security indexes included in the Joint Order, which were granted no-action relief by the CFTC prior to the enactment of the Commodity Futures Modernization Act (ldquoCFMArdquo) on December 21, 2000, to continue to be offered and sold to U. S. Persons after July 11, 2002, the date that the exclusion set forth in the CFMA was to expire. 4 Bclear allows members to submit an option contract on a non-U. S. security that has been negotiated and completed as an over-the-counter (OTC) transaction so that LIFFE may replace the OTC transaction with an equivalent LIFFE options contract. LIFFE members that intend to offer or sell such products to U. S. Persons must satisfy the following conditions: (i) Bclear services may only be offered to a U. S. person that qualifies as an Eligible U. S. Institution (see above) (ii) the LIFFE member must obtain and maintain certain representations from the customer and (iii) before transacting, and on an annual basis thereafter, the LIFFE member must file a declaration with LIFFE. For additional information on these conditions, see LIFFE London Notice No. 3732. LIFFE maintains a list of Eligible Options, which includes (1) LIFFE individual equity options based on the securities of non-U. S. issuers and (2) LIFFE index options based on indexes that contain no component securities of U. S. issuers. The list of Eligible Options may be accessed here. 5 The SEC also has approved for Eligible U. S. Institutions all options on individual German-, Swiss-, Finnish-, Dutch-, Italian - and French-issued equities where those options are now or in the future listed on Eurex. Options on equities issued in any other country have not been approved at this time for trading by U. S. Persons on Eurex. 6 Eurex offers a KOSPI product that Eurex describes as a daily futures contract that expires every night, with any net open positions at the end of trading resulting in the establishment of a corresponding position in the Korean Exchangersquos KOSPI 200 Options (with strike prices, expiries, putcall and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 28111, the Dow Jones STOXX 600 Personal amp Household Goods Sector will no longer be tradable on Eurex trading terminals in the United States. after the close of business on February 29, 2012. The previously issued no-action letter approving such product for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 8 Pursuant to Eurex Circular 26011, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the United States see also Eurex Circular 28111. The previously issued no-action letter approving such product for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 9 Additional restrictions apply to the trading of these products by U. S. Persons. 10 Reserved 11 The SEC also has approved for Eligible U. S. Institutions all options on individual Swedish-, Norwegian - and Danish-issued equities where those options are now or in the future listed on the EDX London exchange. Options on equities issued in any other country have not been approved at this time for trading by U. S. Persons on the EDX London Exchange. Note: EDX London Exchange has been acquired by the Turquoise Exchange. 12 The RDX USD Index futures and options contracts have not been approved for sale to U. S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD ndash RDX Extended Index futures contract) for sale to U. S. Persons in a no-action letter issued on March 6, 2008, but Eurex subsequently delisted the contract. 13 The Istanbul Stock Exchange (ISE) is now part of the Borsa Istanbul (BIST). As such, references to ISE 30 have been changed to BIST 30 on VIOPrsquos trading platform and the CFTCrsquos website. For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 33 60970926 14 The London Stock Exchange offers options on Russian equity products through its International Order Book. Providing all applicable conditions are met, Eligible U. S. Institutions may trade these options through the Bclear service offered by LIFFE. See Footnote 4. 15 ICE Futures Europe listed the following non-U. S. stock exchanges in its claim for class relief: Borsa Italiana, Cophenhagen Stock Exchange, Deutsche Boerse, Euronext Amsterdam, Euronext Brussels, Euronext Lisbon, Euronext Paris, Helsinki Stock Exchange, Irish Stock Exchange, London Stock Exchange, London Stock Exchange International Order Book, Madrid Stock Exchange, Oslo Stock Exchange, SIX Swiss Exchange, Stockholm Stock Exchange and Vienna Stock Exchange. 16 This exchange has claimed relief under LIFFE AampM and Class Relief SEC No-Action Letter (Jul. 1, 2013) for Foreign Options Markets engaging in familiarization activities with Eligible U. S. Institutions with respect to Eligible Options. 17 Euronext Amsterdam listed the following regulated markets elsewhere in Europe for class relief: Euronext Brussels, Euronext Paris, London Stock Exchange, Deutsche Borse, Borsa Italiana, Bolsas y Mercados Espanoles, Swiss Exchange, OMX Stockholm, Oslo Stock Exchange, OMX Copenhagen, Weiner Borse, Irish Stock Exchange and OMX Helsinki. 18 Euronext Paris listed the following regulated markets elsewhere in Europe for class relief: Euronext Brussels, Euronext Amsterdam, London Stock Exchange, Deutsche Borse, Borsa Italiana, Bolsas y Mercados Espanoles, Swiss Exchange, OMX Stockholm, Oslo Stock Exchange, OMX Copenhagen, Weiner Borse, Irish Stock Exchange and OMX Helsinki. kattenlaw AUSTIN CENTURY CITY CHARLOTTE CHICAGO HOUSTON IRVING LONDON LOS ANGELES NEW YORK ORANGE COUNTY SAN FRANCISCO BAY AREA SHANGHAI WASHINGTON, DC Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion. copy2014 Katten Muchin Rosenman LLP. Alle Rechte vorbehalten. Katten Muchin Rosenman LLP is an Illinois limited liability partnership including professional corporations that has elected to be governed by the Illinois Uniform Partnership Act (1997). London affiliate: Katten Muchin Rosenman UK LLP To view all formatting for this article (eg, tables, footnotes), please access the original here.
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