Gráfico de Aprovações de Futuros e Opções de Índices de Ações Estrangeiros Listados Para ver este artigo você precisa de um visualizador de PDF, como o Adobe Reader. EUA 1 de outubro de 2014 1 de outubro de 2014 Em anexo encontra-se o Índice de Aprovações de Futuros e Opções de Índices de Ações Estrangeiras atualizado a partir de 1 de outubro de 2014. Todas as versões anteriores são substituídas e devem ser descartadas. Observe os seguintes desenvolvimentos desde a última vez que distribuímos o Gráfico de Aprovações: (1) A CFTC aprovou os seguintes contratos para negociação por Pessoas dos EUA: (i) Montreal Exchangersquos contrato de futuros com base no FTSE Emerging Markets Index (ii) London Stock Exchange Derivativesrsquo Contrato de futuros com base no índice FTSE 100 e (iii) contrato de futuros de DerivativesRS de Londres com base no índice FTSE UK Large Cap Super Liquid. (2) A SEC não aprovou novas opções de índices de ações estrangeiras desde a última vez que distribuímos o Gráfico de Aprovações. No entanto, a ICE Futures Europe, a Osaka Exchange, a Euronext Paris, a Euronext Brussels e a Euronext Amsterdam reivindicaram alívio ao abrigo da LIFFE AampM e da Class Relief SEC Carta de ausência de acção (1 de Julho de 2013) para oferecer opções elegíveis às instituições elegíveis nos EUA. Ver nota 16. (3) O mercado de derivativos da Bolsa de Valores de Tóquio foi integrado, e esses produtos agora comercializam, na Bolsa de Osaka. (4) Foi esclarecido o estatuto do Dow Jones Euro STOXX Banking Sector negociado na Eurex. Ver nota 8. Para Informações Adicionais As informações no Gráfico de Aprovações anexo estão sujeitas a alterações a qualquer momento. Se você tiver dúvidas ou gostaria de confirmar o status de um contrato específico, entre em contato com: James D. Van De Graaff 1.312.902.5227 james. vandegraaffkattenlaw Kenneth Rosenzweig 1.312.902.5381 kenneth. rosenzweigkattenlaw Kevin M. Foley 1.312.902.5372 kevin. Foleykattenlaw Gary DeWaal 1.212.940.6558 gary. dewaalkattenlaw cristão B. Hennion 1.312.902.5521 christian. hennionkattenlaw Blake J. Brockway 1.312.902.5438 blake. brockwaykattenlaw Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para obter outras informações explicativas, consulte as notas finais em No final desta tabela. 1 Aprovadas para venda a pessoas dos EUA (24 de julho de 2002 Carta de No-Action emitida para a ASX Futures Exchange ) Nenhuma Aprovada para Instituições Elegíveis dos Estados Unidos (13 de agosto de 2007 Carta de Não-Ação SEC emitida para ASX Limited) Não Aprovado AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Não Aprovado Nenhum oferecido Aprovado para Instituições US Elegíveis (13 de agosto de 2007 SEC No - Carta de Ação emitida para a ASX Limited) Nenhuma oferecida AustraliaASXASX Futures Exchange SampPASX 50 Aprovada para venda a pessoas dos EUA (24 de julho de 2002 Carta de No-Action emitida para a ASX Futures Exchange) Acção Carta emitida para a ASX Limited) Nenhuma oferecida AustraliaASXASX Futures Exchange Nome único acções Nenhuma oferecida Nenhuma oferecida Aprovada fo R Instituições dos EUA elegíveis (13 de agosto de 2007 SEC Carta de Não-Ação emitida para ASX Limited) Nenhum oferecido Contrato de Opção de 1 Dia de AustráliaSydney (SFE) com base no Contrato de Futuro Dow Mini-Sized da CBOT Nenhum oferecido Aprovado para venda a Pessoas dos EUA (8 de agosto de 2006, Carta de No-Action emitida para a SFE) Nenhuma oferecida Nenhuma oferecida AustraliaSydney Futures Exchange (SFE) SPI 200 Aprovado para venda a pessoas dos EUA (10 de agosto de 1999 Carta de Não-Ação emitida para a SFE) Não Aprovado Nenhum oferecido ÁustriaWiener Borse ATX Não Aprovado Nenhum oferecido Não Aprovado Nenhum oferecido Para as definições de Instituição Eleitoral Elegível dos Estados Unidos e Opção Elegível Elegível e outras explicações, consulte as notas finais no Final da tabela. 2 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Acções Opções de ETF ÁustriaWiener Borse Índices CECE Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido ÁustriaWiener Borse Russo Negociado Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido ÁustriaWiener Borse Nome único Equity Nenhum oferecido Nenhum oferecido Não aprovado4 Nenhum oferecido BélgicaEuronext Brussels16 BEL 20 Aprovado para venda a pessoas dos EUA (31 de agosto de 2011 Carta de não-ação emitida para a Euronext Bruxelas) Nenhum oferecido Aprovado para instituições americanas elegíveis (17 de setembro de 2014 Carta de Representação da Euronext Brussels A SEC) 4 Nenhuma oferecida BélgicaEuronext Brussels16 Mini BEL 20 (unidades de participação no índice) Nenhuma oferecida Nenhuma oferecida Não aprovada Nenhuma oferecida BélgicaEuronext Brussels16 Mini Dow Jones Euro STOXX (unidades de participação no índice) Nenhuma oferecida Nenhuma oferecida Não aprovada Nenhuma oferecida BélgicaEuronext Brussels16 Nome único acções Não Aprovado Nenhum Aprovado para Instituições americanas elegíveis para opções elegíveis sobre acções individuais cotadas e negociadas na Euronext Bruxelas (17 de setembro de 2014 Carta de Representação da Euronext Bruxelas à SEC) 4 Nenhuma oferecida Brasil BMampF Bovespa SA BSE Sensitive Aprovado para venda a pessoas dos EUA (12 de março de 2013 Certificação) Não Aprovado Não Aprovado Nenhum oferecido Brasil BMampF Bovespa SA FTSEJSE Top 40 Aprovado para venda a pessoas dos EUA (Certificação de 12 de março de 2013) Não Aprovado Não Aprovado Nenhum oferecido Para as definições de Instituição Americana Elegível e Opção Elegível Elegível e outras explicações, Consulte as notas finais no final desta tabela. 3 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Equity Opções de ETF Brasil BMampF Bovespa SA Hang Seng Aprovado para venda a US Pessoas (Certificação de 12 de março de 2013) Não aprovado Não aprovado Nenhum oferecido Brasil BMampF Bovespa SA Ibovespa 26 de agosto de 2009 Carta de Não-Ação emitida a BMampF Bovespa SA) 2 Aprovado para venda a Pessoas dos EUA (26 de agosto de 2009 Carta de No-Action emitida à BMampF Bovespa SA) Não Aprovado Nenhum oferecido Brasil BMampF Bovespa SA Ibovespa Flex Nenhum oferecido Nenhum oferecido Não Aprovado Nenhum oferecido Brasil BMampF Bovespa SA IBrX 50 Contrato de Futuro de Índice Aprovação pendente Não aprovado Não aprovado Nenhum oferecido Brasil BMampF Bovespa SA MICEX Aprovado para venda a US Pessoas (Certificação de 12 de março de 2013) Nenhum oferecido Nenhum oferecido Nenhum oferecido Brasil BMampF Bovespa SA Mini Ibovespa Aprovado para venda a pessoas dos EUA (26 de agosto de 2009, Carta de No-Action emitida para BMampF Bovespa SA) Nenhum offere D Nenhum oferecido Nenhum oferecido Brasil BMampF Bovespa SA Índice SampP 500 Aprovado para venda a pessoas dos EUA (Certificação de 24 de setembro de 2012) Nenhum oferecido Nenhum oferecido Nenhum oferecido CanadaMontreal Exchange (Bourse de Montreacuteal) FTSE Emerging Markets Index Aprovado para venda a US Persons (March 21, 2014 CFTC No-Action Carta emitida para a Bolsa de Montreal) Nenhuma oferecida Nenhuma oferecida Nenhuma oferecida Para as definições de Instituição americana elegível e Opção Elegível Elegível e para outras informações explicativas, consulte as notas finais no final desta tabela. 4 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Equity Opções de ETF Bolsa de Montreal (Bolsa de Montreacuteal) iUnits SampPTSE 60 Fundo de Participação de Índice (Fundo i60) Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para US Pessoas geralmente de acordo com a Declaração de Registro (ver SampPTSX Canada 60 Acima) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Fundo de Índice de Energia Capped Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para US Pessoas geralmente de acordo com a Declaração de Registro (ver SampPTSX Canada 60 acima) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Financials Index Fund Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para os EUA Pessoas geralmente de acordo com a Declaração de Registro (ver SampPTSX Canada 60 acima) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Fundo de Índice de Ouro Capped Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para US Pessoas geralmente de acordo com Registr (Oferecido pela SampPTSX Canada 60 acima) CanadáMontreal Exchange (Bolsa de Montreacuteal) iUnits SampPTSX Fundo de Índice de Tecnologia da Informação de Tampas Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para US Pessoas geralmente de acordo com a Declaração de Registro (ver SampPTSX Canada 60 acima) CanadaMontreal Exchange Montreacuteal) SampPTSX 60 Index Mini Futures Aprovado para venda a pessoas dos EUA (19 de abril de 2012 certificação) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, consulte as notas finais no final de essa mesa. 5 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Equity Opções de ETF Bolsa de Montreal de Canadá SampPTSX Canadá 60 Aprovado para venda a Pessoas dos EUA (9 de dezembro de 1999 Carta de No-Action da CFTC emitida para a Bolsa de Montreal) 3 Nenhum oferecido Aprovado, Aprovação de todas as outras opções de índices, para venda a US Pessoas geralmente que estão agora ou podem ser listadas no futuro (Alteração Pós-Efetiva N ° 27 à Declaração de Registro no Formulário S-20 arquivado pela Canadian Derivatives Clearing Corp. 2-69458) Nenhum oferecido CanadáMontreal Intercâmbio (Bourse de Montreacuteal) SampPTSX Setor Capped Não aprovado Nenhum oferecido Aprovado para US Pessoas geralmente de acordo com a Declaração de Registro (veja SampPTSX Canada 60 acima) Nenhum oferecido CanadaMontreal Exchange (Bourse de Montreacuteal) Nenhum oferecido Aprovado para todas as opções em títulos individuais listados na Bolsa de Montreal que são agora ou podem no futuro (Emenda Pós-Efetiva N ° 27 à Declaração de Registro no Formulário S-20 arquivado pela Canadian Derivatives Clearing Corp. Arquivo SEC 2-69458) Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo and LdquoEligible Optionrdquo e para outras informações explicativas, consulte as notas finais no final desta tabela. 6 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Equity Opções de ETF China (ver também Hong Kong e Taiwan) China Financial Futures Exchange CSI 300 Índice Futuros Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido DinamarcaFUTOP Mercado KFX (LargeSmall Contract) Aprovado Nenhum oferecido DinamarcaOMX Nordic Exchange Copenhaga AS Nome único acções Nenhuma oferecida Nenhuma oferecida Não aprovada4,11 Nenhuma oferecida FinlândiaOMX Nordic Exchange Helsínquia Nome único acções Nenhuma oferecida Nenhuma oferecida Não aprovada4,5 Nenhuma oferecida FrançaEuronext Paris SA16 CAC40 Aprovada para venda a EUA Pessoas ( 17 de dezembro de 1991 Carta de Não-Ação emitida para ParisBourse) 3 Nada oferecido Aprovado para Instituições US Elegíveis (17 de julho de 1996 SEC Carta de Não-Ação emitida para MONEP, confirmada até 6 de dezembro de 1999 Nenhum oferecido FrançaEuronext Paris SA16 CAC40 Mini Aprovado para venda a pessoas dos EUA (13 de setembro de 2013 certificado Ção) Nenhuma oferecida Nenhuma oferecida Nenhuma oferecida FrançaEuronext Paris SA16 Dow Jones Euro STOXX 50 Aprovado para venda a pessoas norte-americanas (29 de fevereiro de 2000 Carta de não-ação da CFTC emitida para ParisBourse) 3 Nada oferecido Aprovado para instituições americanas elegíveis (26 de outubro de 1998 SEC Carta de Não-Acção emitida para a MONEP, confirmada até 6 de Dezembro de 1999 SEC Carta de Não-Acção emitida para a ParisBourse) Nenhuma oferecida Para as definições de "Instituição Elegível dos Estados Unidos" e "Opção Elegível Elegível" e outras informações explicativas, consulte as notas finais no final de essa mesa. 7 CountryExchange Contratos Futuros Subjacentes Opções sobre Contratos de Futuro Opções sobre acções Opções sobre ETF FrançaEuronext Paris SA16 Dow Jones STOXX 50 Aprovado para venda a pessoas dos EUA (29 de Fevereiro de 2000 Carta da No-Action da CFTC emitida para a ParisBourse) 3 Nada oferecido Aprovado para Instituições elegíveis nos EUA 26 de Outubro de 1998 SEC Carta de Não-Acção emitida para a MONEP, confirmada até 6 de Dezembro de 1999 SEC Carta de Não-Acção emitida para ParisBourse) Nenhuma oferecida FranceEuronext Paris SA16 Dow Jones STOXX 600 Sectores (Banco, Energia, Saúde, Tecnologia, Telecomunicações) Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido FrançaEuronext Paris SA16 FTSE EPRANAREIT Zona Euro Aprovado para venda a pessoas norte-americanas (10 de Julho de 2008 CFTC No Action Carta emitida para Euronext LIFFE, em nome da Euronext Paris SA) Nenhuma oferecida Nenhuma oferecida Não aprovada FrançaEuronext Paris SA16 FTSE EPRANAREIT Europe Aprovado para venda a pessoas dos EUA (10 de Julho de 2008 Carta da CFTC no Action emitida para Euronext LIFFE, em nome da Eur Onext Paris SA) Nenhum oferecido Nenhum oferecido Não aprovado FranceEuronext Paris SA16 FTSEurofirst 100 Aprovado para venda a US Persons (5 de Março de 2007 CFTC Carta de No Action emitida para Euronext LIFFE, em nome da Euronext Paris SA) Nenhum oferecido Nenhum oferecido4 Nenhum oferecido Para as definições de Instituição americana elegível e Opcional Elegível e para outras informações explicativas, consulte as notas finais no final desta tabela. 8 CountryExchange Contratos Futuros Subjacentes Opções sobre Contratos de Futuro Opções de Acções Opções de ETF Opções de ETF FranceEuronext Paris SA16 FTSEurofirst 80 Aprovado para venda a pessoas dos EUA (5 de Março de 2007 CFTC Carta de No-Action emitida para Euronext LIFFE, em nome da Euronext Paris SA) Para instituições elegíveis dos Estados Unidos (17 de setembro de 2014 Carta de Representação da Euronext Paris à SEC) 4 Nenhuma oferecida FranceEuronext Paris SA16 Ações de nome único Não aprovado Nenhuma oferecida Aprovada para as Instituições elegíveis dos EUA para Opções elegíveis em ações individuais cotadas e negociadas na Euronext Paris Ou outros mercados especificados18 (17 de setembro de 2014 Carta de Representação da Euronext Paris para a SEC) 4,5 Nenhum oferecido AlemanhaBoumlrse Frankfurt Single name ações Nenhuma oferecida Nenhuma oferecida Não aprovada4,5 Nenhuma oferecida AlemanhaEurex DAX Aprovado para venda a pessoas dos EUA (20 de dezembro de 1994 CFTC No-Action Letter emitida para a Deutsche Terminborse) 3 Nenhum oferecido Aprovado para EUA elegíveis Instituições (27 de Julho de 2005 SEC Carta de Acção Carta enviada à Eurex) Nenhuma oferecida AlemanhaEurex DAX EX Não aprovado Nenhum oferecido Nenhum oferecido Aprovado para Instituições Elegíveis dos EUA (27 de Julho de 2005 SEC Carta de Acção não emitida à Eurex) AlemanhaEurex DJ Banks Titans 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex DJ Insurance Titans 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex DJ Petróleo e Gás Titans 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e por outras explicações Informações, consulte as notas finais no final desta tabela. 9 CountryExchange Subjacente Futuros Contratos Opções sobre Futuros Contratos Opções sobre acções Opções sobre ETF AlemanhaEurex DJ Telecomunicações Titãs 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex DJ Utilities Titans 30 Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex Dow Jones Euro STOXX 50 Aprovado para venda aos EUA Pessoas (6 de abril de 2000, Carta de Ação da CFTC emitida à Eurex) 3 Nenhuma oferecida Aprovada para Instituições Elibissíveis dos EUA (27 de julho de 2005 SEC Carta de Ação não emitida à Eurex) Nenhuma oferecida AlemanhaEurex Dow Jones Euro STOXX 50 Dividendo Não aprovado Não aprovado Nenhum oferecido Nenhum oferecido AlemanhaEurex Dow Jones Euro STOXX 50 EX Não aprovado Nenhum oferecido Não aprovado Aprovado para instituições elegíveis dos EUA (27 de julho de 2005 SEC Carta de No-Action emitida para Eurex) AlemanhaEurex Dow Jones Euro STOXX Setor Bancário Não aprovado8 Nenhum oferecido Não aprovado Nenhum Ofereceu AlemanhaEurex Dow Jones Euro Dividendo 30 STOXX Select aprovado para venda a pessoas dos EUA (agosto 18 de Março de 2008 Letra da No-Action da CFTC emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones Global Titans 50 Aprovado para venda a pessoas dos EUA (18 de Julho de 2002 Carta de Acção da CFTC emitida à Eurex) Instituições (27 de Julho de 2005 SEC Carta de Não-Acção emitida para Eurex) Nenhuma oferecida AlemanhaEurex Dow Jones Índice Global Titans 50 (Denominado nos EUA) Aprovado para venda a pessoas dos EUA (5 de Junho de 2012 certificação) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições De ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para obter outras informações explicativas, consulte as notas finais no final desta tabela. 10 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Acções Opções de ETF AlemanhaEurex Dow Jones Itália Titans 30 Aprovado para venda a pessoas dos EUA (23 de Novembro de 2005 CFTC Carta de Acção não emitida à Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 50 Aprovado para venda a pessoas dos Estados Unidos (6 de abril de 2000, Carta de Co-ação da CFTC emitida para a Eurex) 3 Nada oferecido Aprovado para instituições americanas elegíveis (27 de julho de 2005 SEC Carta de Ação não emitida à Eurex) Nenhuma oferecida AlemanhaEurex Dow Jones STOXX 600 Aprovado (18 de junho de 2007, Carta da CFTC não-ação emitida para a Eurex) Nenhuma oferecida Não aprovada Nenhuma oferecida AlemanhaEurex Dow Jones STOXX 600 Setor Bancário Aprovado para venda a pessoas dos EUA (2 de abril de 2002 Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Serviços de amplificadores industriais Aprovado para venda a pessoas dos EUA (6 de fevereiro de 2008 Carta de não-ação da CFTC emitida para a Eure X) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Seguro Aprovado para venda a EUA Pessoas (6 de fevereiro de 2008 CFTC Carta de No-Action emitida para Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Media Aprovado para venda a US Persons (6 de fevereiro de 2008 CFTC No Action Carta enviada à Eurex) Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoIligible Optionrdquo e para outras informações explicativas, consulte as notas finais no final desta tabela. 11 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Acções Opções de ETF AlemanhaEurex Dow Jones STOXX 600 Amplificador Pessoal Mercadorias aprovadas para venda a pessoas dos EUA (6 de Fevereiro de 2008 Carta de Coacção da CFTC emitida à Eurex) 7 Nenhuma oferecida Não aprovada Nenhuma oferecida AlemanhaEurex Dow Jones STOXX 600 Varejo Não Aprovado Nenhum Oferecido Não Aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Travel amp Lazer Aprovado para venda a EUA Pessoas (6 de fevereiro de 2008 CFTC No Action Carta enviada à Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX 600 Utilities Aprovado para venda a pessoas dos EUA (6 de fevereiro de 2008 Carta de não-ação da CFTC emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Dow Jones STOXX Large 200 Aprovado para venda a pessoas dos EUA (6 de fevereiro de 2008 CFTC No-Action Carta emitida para a Eurex) Nenhuma oferecida Não aprovada Nenhuma oferecida AlemanhaEurex Dow Jones STOXX Mid 200 Aprovado para venda a EUA Pessoas (18 de junho de 2007 C FTC No-Action Carta enviada à Eurex) Nenhuma oferecida Não aprovada Nenhuma oferecida AlemanhaEurex Dow Jones STOXX Small 200 Aprovado para venda a EUA Pessoas (6 de fevereiro de 2008 CFTC Carta de No-Action emitida para a Eurex) Nenhuma oferecida Não aprovada Nenhuma oferecida AlemanhaEurex Euro STOXX Aprovado para venda a pessoas dos EUA (5 de junho de 2012 certificação) Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoIligible Optionrdquo e para outras informações explicativas, consulte as notas ao final desta tabela. 12 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Equity Opções de ETF AlemanhaEurex Euro STOXX 50 Ex Financials Index Aprovado para venda a pessoas dos EUA (27 de agosto de 2012 certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Euro STOXX Large Aprovado para venda a pessoas dos EUA 5 de junho de 2012 Certificação) Nenhum oferecido Não Aprovado Nenhum oferecido AlemanhaEurex Euro STOXX Aprovado para venda a EUA Pessoas (5 de junho, 2012 certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Euro STOXX Pequeno Aprovado para venda a pessoas dos EUA (5 de junho de 2012) Certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex HEX 25 Finlandês Não aprovado Nenhum oferecido Aprovado para instituições elegíveis dos EUA (27 de julho de 2005 SEC Carta de No-Action emitida para Eurex) Nenhuma oferecida AlemanhaEurex iShares DJ EURO STOXX Nenhum oferecido Nenhum oferecido Nenhum oferecido Aprovado para Instituições americanas elegíveis (27 de Julho de 2005 SEC Carta de Acção não emitida à Eurex) AlemanhaEurex KOSPI 200 Opções6 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MDAX Aprovado para venda a pessoas dos EUA (14 de março de 2006 Carta de não-ação da CFTC emitida para a Eurex) Nenhuma oferecida Não aprovada Nenhuma oferecida AlemanhaEurex Mini Euro Índice de volatilidade STOXX 50 Aprovado para venda a pessoas dos EUA (Certificação de 20 de julho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de Instituição americana elegível e Opção Elegível Elegível e para outras informações explicativas, consulte as notas finais no final desta tabela. 13 CountryExchange Subjacente Futuros Contratos Opções sobre Futuros Contratos Equity Opções ETF Opções AlemanhaEurex MSCI Todos os países Ásia Pacífico ex-Japão Aprovado para venda a EUA Pessoas (17 de junho de 2013 certificação) Nenhum oferecido Não aprovado Nenhum oferecido GermanyEurex MSCI China Livre Aprovado para venda para EUA Pessoas (Certificação de 4 de fevereiro de 2014) Nenhuma oferecida Nenhuma oferecida Nenhuma oferecida AlemanhaEurex MSCI Emerging Markets Aprovado para venda a pessoas dos EUA (fevereiro de 2014 certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Emerging Markets Asia 4, certificação 2014) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Emerging Markets EMEA Aprovado para venda a EUA Pessoas (4 de fevereiro de 2014 certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSCI Emerging Markets Latin America , Certificação 2014) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex MSC I Europe Aprovado para venda a pessoas dos EUA (Certificação de 17 de junho de 2013) Nenhum oferecido Não Aprovado Nenhum oferecido AlemanhaEurex MSCI Europe Growth Aprovado para venda a pessoas dos EUA (Certificação de 4 de fevereiro de 2014) (Certificação de 4 de fevereiro de 2014) Nenhum oferecido AlemanhaEurex MSCI India Aprovado para venda a pessoas dos EUA (Certificação de 4 de fevereiro de 2014) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e Para outras informações explicativas, consulte as notas finais no final desta tabela. 14 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Equity Opções de ETF AlemanhaEurex MSCI Japan Aprovado para venda a pessoas dos EUA (certificação de 17 de junho de 2013) Nenhum oferecido Nenhum oferecido Nenhum oferecido GermanyEurex MSCI Malaysia Aprovado para venda a pessoas dos EUA ) Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex MSCI África do Sul Aprovado para venda a EUA Pessoas (Certificação de 4 de fevereiro de 2014) Nenhum oferecido Nenhum oferecido Nenhum oferecido AlemanhaEurex MSCI Tailândia Aprovado para venda a pessoas dos EUA (Certificação de 4 de fevereiro de 2014) Nenhum oferecido AlemanhaEurex MSCI World Aprovado para venda a EUA Pessoas (Certificação de 17 de junho de 2013) Nenhum oferecido Não Aprovado Nenhum oferecido AlemanhaEurex Outros Dow Jones Euro STOXX Setores Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Outros Dow Jones STOXX 600 Setores de Mercado Não aprovado Nenhum Oferecido Não aprovado Nenhum oferecido AlemanhaEurex RDX USD12 Não Aprov Ed Nenhuma oferta não aprovada Nenhuma oferecida AlemanhaEurex Nome único acções Não aprovado Nenhuma oferecida Aprovado para opções sobre acções individuais alemãs, suíças, finlandesas, italianas e francesas5 para instituições elegíveis dos Estados Unidos (27 de Julho de 2005 SEC Carta de Acção emitida à Eurex ) Nenhuma proposta Para as definições de Instituição americana elegível e Opção elegível e para outras informações explicativas, consulte as notas finais no final desta tabela. 15 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções de Acções Opções de ETF AlemanhaEurex SLI Líder suíço Aprovado para venda a pessoas dos EUA (18 de Agosto de 2008 CFTC No Action Carta emitida para a Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex STOXX Europe 600 Aprovado para venda Para pessoas dos EUA (5 de junho de 2012 certificação) Nenhum oferecido Aprovado Nenhum oferecido AlemanhaEurex STOXX Europa Grande 200 Aprovado para venda a EUA Pessoas (5 de junho, 2012 certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex STOXX Europa Mid 200 Aprovado para venda para EUA Pessoas (Certificação de 5 de junho de 2012) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex STOXX Europe Small 200 Aprovado para a venda a pessoas dos EUA (5 de junho de 2012 certificação) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex Mercado Suíço Não Aprovado Nenhum oferecido Aprovado para Instituições US Elegíveis (27 de julho de 2005 SEC Carta de Não-Ação emitida para Eurex) Aprovado para instituições elegíveis dos EUA (27 de julho de 2005) Aprovado para venda a EUA Pessoas (18 de agosto de 2008 CFTC No-Action Carta enviada à Eurex) Nenhum oferecido Não aprovado Nenhum oferecido AlemanhaEurex TECDAX Aprovado para venda (18 de agosto de 2008, Carta de Co-ação da CFTC emitida para a Eurex) Nenhum oferecido Aprovado para Instituições Eligíveis dos EUA (27 de julho de 2005 SEC Carta de Não-Ação emitida para a Eurex) Nenhuma oferecida Para as definições de Instituição americana elegível e Opção Elegível E para outras informações explicativas, consulte as notas finais no final desta tabela. 16 CountryExchange Subjacente Futuros Contratos Opções sobre Contratos de Futuro Opções sobre acções Opções sobre ETF GréciaAthens Exchange Derivatives Market FTSEASE 20 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido GréciaAthens Intercâmbio de derivados Mercado FTSEASE Mid-40 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido Hong KongHong Kong Exchanges and Clearing Ltd (HKEX) CES China 120 Aprovado para venda a Pessoas dos EUA (Certificação de 17 de setembro de 2013) Nenhum oferecido Nenhum oferecido Nenhum oferecido Hong KongHong Kong Intercâmbios e Clearing Ltd. (HKEX) DJIA Não aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido Hong KongHong Kong Exchanges E Clearing Ltd. (HKEX) FTSEXinhua China 25 Aprovado para venda a pessoas dos EUA (26 de setembro de 2006 CFTC Carta de No-Action emitida para HKFE) Nenhum oferecido Não aprovado Nenhum oferecido Hong Kong Hong Kong Hong Kong Hong Kong HKEX Hang Seng Aprovado Para venda a pessoas dos EUA (1 de junho de 1994 CFTC Carta de Não-Ação emitida para HKFE) 3 Nenhum oferecido Aprovado para EU elegível EU (HKEX) HSCEI Índice de Dividendos Não Aprovado Nenhum oferecido Nenhum oferecido Nenhum oferecido Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) ) H-Shares (Hang Seng China Enterprises Index) Aprovado para venda a EUA Pessoas (26 de setembro de 2006 CFTC Carta de No-Action emitida para HKFE) Nenhum oferecido Não aprovado Nenhum oferecido Hong KongHong Kong Intercâmbios e Clearing Ltd. (HKEX) HSI Volatilidade (VHSI) Aprovado para venda a Pessoas dos EUA (Certificação de 17 de setembro de 2013) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de Instituição americana elegível e Opção Elegível Elegível e para outras informações explicativas, consulte as notas finais no final desta tabela. (HKEX) Mini Hang Seng Aprovado para venda a EUA Pessoas (16 de janeiro de 2009 CFTC Carta de No-Action emitida para HKFE) Nenhum oferecido Não Aprovado para venda a EUA Pessoas (16 de janeiro de 2009 CFTC No-Action Carta emitida para HKFE) Nenhum oferecido Não aprovado Nenhum oferecido HungriaBudapest Stock Exchange BUX (Hong Kong) Hong KongHong Kong Intercâmbios e Clearing Ltd. (HKEX) Aprovado para venda a EUA Pessoas (14 de Junho de 2006 Carta de Co-Resposta da CFTC emitida à BSE) Nenhum oferecido Não aprovado Nenhum oferecido ÍndiaBombay Stock Exchange (BSE) DOLLEX-309 Não aprovado Nenhum oferecido Não aprovado Nenhum oferecido ÍndiaBombay Stock Exchange (BSE) SampP BSE 1009 Aprovado para venda a pessoas dos EUA (Setembro (NSE) CNXIT9 Não Aprovado Nenhum oferecido Não Aprovado Nenhum oferecido Aprovado para venda a pessoas dos EUA (17 de outubro de 2003 CFTC Carta de No-Action emitida para a NSE) Nenhum oferecido Não aprovado Nenhum oferecido Para as definições de EU ldquoEligible EU (NSE) SampP CNX Nifty (ldquoNifty 50rdquo) Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, consulte as notas finais no final desta tabela. 18 CountryExchange Subjacente Futuros Contratos Opções sobre Futuros Contratos Opções sobre acções Opções sobre ETF IrlandaIrish Stock Exchange Nome único acções Nenhuma oferecida Nenhuma oferecida Não aprovada4 Nenhuma oferecida IsraelTel Aviv Stock Exchange TA 25 Não aprovado Nenhuma oferecida Não aprovado Nenhuma oferecida IsraelTel Aviv Stock Exchange Bancos Não aprovado Nenhum Oferecido Não aprovado Nenhum oferecido ItáliaBorsa Italiana ndash IDEM FTSE MIB Dividendo Aprovação pendente Nenhum oferecido Nenhum oferecido Nenhum oferecido ItáliaBorsa Italiana ndash IDEM FTSE MIB4 Aprovado para venda a EUA Pessoas (30 de Agosto de 2004 Carta de Coacção da CFTC emitida à Borsa Italiana) Nenhum oferecido Aprovado Para instituições elegíveis dos EUA (24 de setembro de 2004, carta de ausência de ação emitida para a Borsa Italiana) Nenhuma oferecida ItáliaBorsa Italiana ndash IDEM Mini FTSE MIB Aprovado para venda a pessoas dos EUA (30 de agosto de 2004, Nenhum oferecido Nenhum oferecido ItáliaBorsa Italiana ndash IDEM Nome único acções Não aplicável Provado Nenhum oferecido Aprovado para Instituições US Elegíveis (ver 1 de setembro de 1998 SEC Carta de No-Action emitida a Borsa Italiana com respeito a opções em ações individuais de ISE) 4,5 Nenhum oferecido JapanOsaka Exchange (OSE) 16 DJIA Aprovado para venda a EU Pessoas (Certificação de 15 de junho de 2012) Nenhum oferecido Nenhum oferecido Nenhum oferecido Para as definições de ldquoEligible US Institutionrdquo e ldquoEligible Optionrdquo e para outras informações explicativas, consulte as notas finais no final desta tabela. 19 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 FTSE Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 Mini Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (July 11, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered JapanOsaka Exchange (OSE)16 Mini TOPIX Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 Nikkei 225 Dividend Not approved None offered None offered None offered JapanOsaka Exchange (OSE)16 Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Exchange (OSE)16 Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered JapanOsaka Exchange (OSE)16 RussellNomura Prime Approved for sale to U. S. Persons (March 14, 2005 No-Action Letter issued to OSE) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 20 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 Single name equities None offered None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on the OSE or other Japanese exchanges and that meet OSE selection standards (March 14, 2014 Representation Letter from Tokyo Stock Exchange and Osaka Securities Exchange to SEC) None offered JapanOsaka Exchange (OSE)16 Tokyo Stock Exchange REIT Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 TOPIX Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions (July 27, 1999 SEC No-Action Letter issued to TSE) None offered JapanOsaka Exchange (OSE)16 TOPIX 150 Approved for sale to U. S. Persons (May 23, 2001 CFTC No-A ction Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions (November 15, 2002 SEC No-Action Letter issued to TSE) None offered JapanOsaka Exchange (OSE)16 TOPIX Banks Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 21 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 TOPIX Core30 Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered Korea ndash see South Korea - - - - - MalaysiaBursa Malaysia Derivatives Berhad (BMD) FTSE Bursa Malaysia Kuala Lumpur Composite Approved for sale to U. S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad) None offered Not approved None offered MexicoMexican Derivatives Exchange (MEXDER) IPC Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved Netherl ands Euronext Amsterdam Derivatives Markets N. V.16 AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Approved for Eligible U. S. Institutions (September 17, 2014 Representation Letter from Euronext Amsterdam to SEC)4 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 AEX Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 22 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Amsterdam Mid-Kap Not approved None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 FTSE Eurotop 100 Approved for sale to U. S. Persons (May 14, 1996 CFTC No-Action Letter issued to Financiele Termijnmarkt Amsterdam)3 None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Light AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Single name equities Not approved None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on Euronext Amsterdam or other specified markets17 (September 17, 2014 Representation Let ter from Euronext Amsterdam to SEC)4,5 None offered New ZealandNZFOE NZSE 10 Not approved Not approved None offered None offered NorwayOslo Stock Exchange OBX Not approved None offered Not approved None offered NorwayOslo Stock Exchange Single name equities None offered None offered Not approved4,11 None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 23 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options PolandWarsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered PortugalEuronext Lisbon PSI 20 Not approved Not approved None offered4 None offered PortugalEuronext Lisbon Single name equities Not approved None offered Not approved4 None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - RussiaRussian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Dow Jones Thailand Not approved (the requested approval was deemed withdrawn by the CFTC in 2004) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Euro STOXX 50 Approved for sale to U. S. Persons (March 22, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) FTSEXinhua China A50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Mini Nikkei 225 Approved for sale to U. S. Persons (December 23, 2009 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Asia APEX 50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 24 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Hong Kong Approved for sale to U. S. Persons (December 17, 1999 CFTC No-Action Letter issued to SIMEX) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI India Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Indonesia Approved for sale to U. S. Persons (October 2, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Philippines Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (July 11, 2000 CFTC No-Ac tion Letter issued to SGX-DT)3 None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Taiwan Approved for sale to U. S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Thailand Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 25 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei 300 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SampP CNX Nifty (ldquoNifty 50rdquo) Approved for sale to U. S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT) None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered SingaporeSingapore Exchange Derivat ives Trading Ltd. (SGX-DT) USD Nikkei Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered South AfricaJSESAFEX ALSIFTSE JSE 40 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to SAFEX) None offered Not approved None offered South AfricaJSESAFEX Financial Not approved None offered None offered None offered South AfricaJSESAFEX FTSEJSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South AfricaJSESAFEX Industrial Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 26 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South AfricaJSESAFEX Mining Not approved None offered None offered None offered South KoreaKorea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered South KoreaKorea Exchange KOSPI 200 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Korea Futures Exchange) None offered Not approved None offered SpainMadrid Stock Exchange Single name equities None offered None offered Not approved4 None offered SpainMEFF IBEX 35 Approved for sale to U. S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3 None offered Not approved None offered SpainMEFF IBEX 35 Mini Not approved Not approved None offered None offered SpainMEFF SampP Euro Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMEFF SampP Europe 350 Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SwedenOMHEX HEXTECH Not approved Not approved None offered None offered SwedenOMHEX HEXTEMP Not approved None offered None offered None offered SwedenOMX Nordic Exchange Stockholm AB NOX Not approved None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 27 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SwedenOMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXcap Approved for sale to U. S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXS30 (formerly OMX) Approved for sale to U. S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered SwedenOMX Nordic Exchange Stockholm AB VINX30 Approved for sale to U. S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm) None offered Not approved Not approved SwitzerlandSIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered TaiwanTaiwan Fu tures Exchange Electronic Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Finance Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 28 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TaiwanTaiwan Futures Exchange GreTai Securities Market Capitalized Weighted Approved for sale to U. S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Mini-TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered None offered None offered TaiwanTaiwan Futures Exchange MSCI Taiwan Approved for sale to U. S. Persons (October 12, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Taiwan Stock Exchange Non-Finance Non-Electronics Approved for sale to U. S. Persons (April 1 , 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered ThailandThailand Futures Exchange PCL SET50 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 29 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TurkeyBorsa stanbul Derivatives Market (VIOP) BIST 30 (formerly ISE 30)13 Approved for sale to U. S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange) None offered Not approved None offered U. K.EDX London Exchange KFXFlex KFX Not approved None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange OBXFlex OBX Not approved None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange OMXFlex OMX None offered None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange)4 None offered U. K.EDX London Exchange Single name equities None offered None offered Approved for options on individual Swedish, Norwegian and Danish equities11 for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 30 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.LIFFE (ICE Futures Europe)16 FTSE 100 Approved for sale to U. S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3 None offered Approved for Eligible U. S. Institutions (May 1, 1992 SEC No-Action Letter issued to LIFFE)4 None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 100 FLEX None offered None offered Approved for Eligible U. S. Institutions (March 6, 1996 SEC No-Action Letter issued to LIFFE) None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 250 (Mid-Cap) Approved for sale to U. S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFF E (ICE Futures Europe)16 FTSE Eurotop 100 Approved for sale to U. S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 Mini FTSE 100 Approved for sale to U. S. Persons (May 30, 2001 CFTC No-Action letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 MSCI Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 31 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.LIFFE (ICE Futures Europe)16 MSCI Europe (Euro-denominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 MSCI Pan-Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 Single name equities Not approved None offered Approved for Eligible Options on individual equity securities on specified non-U. S. exchanges15 for Eligible U. S. Institutions (March 14, 2014 Representation Letter from ICE Futures Europe to SEC) None offered U. K.LIFFE (ICE Futures Europe)16 TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives FTSE 100 Approved for sale to U. S. Persons (August 28, 2014 certification) Non e offered Not approved4 None offered U. K.London Stock Exchange Derivatives FTSE UK Large Cap Super Liquid (FTSE SLQ) Approved for sale to U. S. Persons (August 28, 2014 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives Single name equities None offered None offered Not approved (see U. K.LIFFE)4 None offered U. K.Turquoise Global Holdings Limited FTSE 100 Approved for sale to U. S. Persons (June 1, 2012 certification) None offered Not approved4 None offered 32 NOTE: This Chart covers those products and exchanges that are likely to be of greatest interest to market participants in the United States. It is not, therefore, intended to be exhaustive, and is presented without any representation or warranty as to its accuracy, completeness or timeliness. Transmission or receipt of this information does not create an attorney-client relationship with Katten Muchin Rosenman LLP, and the information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. This Chart does not express any opinion as to the potential application of the laws of any jurisdiction other than the United States. Questions regarding the permissibility of trading in products that are not included in this Chart should be addressed to James D. Van De Graaff at 1.312.902.5227, Kenneth M. Rosenzweig at 1.312.902.5381, Kevin M. Foley at 1.312.902.5372, Gary DeWaal at 1.212.940.6558, Christian B. Hennion at 1.312.902.5521 or Blake J. Brockway at 1.312.902.5438. ldquoEligible U. S. Institutionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible U. S. Institutionrdquo means, in general, a U. S. Person that (i) is a ldquoqualified institutional buyerrdquo as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (ii) has had prior actual experience in trading U. S.-listed options contracts. For information regarding working definitions of ldquoU. S. Personrdquo as that term is used in this Chart, please contact Katten Muchin Rosenman LLP. ldquoEligible Optionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible Optionrdquo means an index option or option on an individual security traded on a Foreign Options Market that is not fungible or interchangeable with options traded on any market other than the Foreign Options Market and, accordingly, each position in an Eligible Option issued by a clearing member of the Foreign Options Market can be closed out only on the Foreign Options Market. A ldquoForeign Options Marketrdquo means a non-U. S. derivatives market: (1) on which Eligible Options trade and (2) that is an organized exchange operated and regulated outside the United States. See LIFFE AampM and Class Relief, SEC No-Action Letter (Jul. 1, 2013) available here. 1 Reserved 2 The CFTC No-Action Letter also applies to BMampF Bovesparsquos ldquoIbovespa Rolloverrdquo and ldquoForward Points on the Ibovespardquo transactions. 3 The index is included in the CFTCrsquos and SECrsquos joint order dated May 31, 2002, extending the exclusion of such index from the definition of ldquonarrow-based security indexrdquo under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the ldquoJoint Orderrdquo). Foreign futures contracts or options on futures contracts on ldquonarrow-based securities indexesrdquo may not be offered or sold to U. S. Persons without the CFTC and SEC first developing joint regulations, which has not yet been done. Accordingly, the Joint Order effectively allows the stock index futures contracts and options on futures contracts that are based on the security indexes included in the Joint Order, which were granted no-action relief by the CFTC prior to the enactment of the Commodity Futures Modernization Act (ldquoCFMArdquo) on December 21, 2000, to continue to be offered and sold to U. S. Persons after July 11, 2002, the date that the exclusion set forth in the CFMA was to expire. 4 Bclear allows members to submit an option contract on a non-U. S. security that has been negotiated and completed as an over-the-counter (OTC) transaction so that LIFFE may replace the OTC transaction with an equivalent LIFFE options contract. LIFFE members that intend to offer or sell such products to U. S. Persons must satisfy the following conditions: (i) Bclear services may only be offered to a U. S. person that qualifies as an Eligible U. S. Institution (see above) (ii) the LIFFE member must obtain and maintain certain representations from the customer and (iii) before transacting, and on an annual basis thereafter, the LIFFE member must file a declaration with LIFFE. For additional information on these conditions, see LIFFE London Notice No. 3732. LIFFE maintains a list of Eligible Options, which includes (1) LIFFE individual equity options based on the securities of non-U. S. issuers and (2) LIFFE index options based on indexes that contain no component securities of U. S. issuers. The list of Eligible Options may be accessed here. 5 The SEC also has approved for Eligible U. S. Institutions all options on individual German-, Swiss-, Finnish-, Dutch-, Italian - and French-issued equities where those options are now or in the future listed on Eurex. Options on equities issued in any other country have not been approved at this time for trading by U. S. Persons on Eurex. 6 Eurex offers a KOSPI product that Eurex describes as a daily futures contract that expires every night, with any net open positions at the end of trading resulting in the establishment of a corresponding position in the Korean Exchangersquos KOSPI 200 Options (with strike prices, expiries, putcall and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 28111, the Dow Jones STOXX 600 Personal amp Household Goods Sector will no longer be tradable on Eurex trading terminals in the United States. after the close of business on February 29, 2012. The previously issued no-action letter approving such product for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 8 Pursuant to Eurex Circular 26011, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the United States see also Eurex Circular 28111. The previously issued no-action letter approving such product for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 9 Additional restrictions apply to the trading of these products by U. S. Persons. 10 Reserved 11 The SEC also has approved for Eligible U. S. Institutions all options on individual Swedish-, Norwegian - and Danish-issued equities where those options are now or in the future listed on the EDX London exchange. Options on equities issued in any other country have not been approved at this time for trading by U. S. Persons on the EDX London Exchange. Note: EDX London Exchange has been acquired by the Turquoise Exchange. 12 The RDX USD Index futures and options contracts have not been approved for sale to U. S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD ndash RDX Extended Index futures contract) for sale to U. S. Persons in a no-action letter issued on March 6, 2008, but Eurex subsequently delisted the contract. 13 The Istanbul Stock Exchange (ISE) is now part of the Borsa Istanbul (BIST). As such, references to ISE 30 have been changed to BIST 30 on VIOPrsquos trading platform and the CFTCrsquos website. For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 33 60970926 14 The London Stock Exchange offers options on Russian equity products through its International Order Book. Providing all applicable conditions are met, Eligible U. S. Institutions may trade these options through the Bclear service offered by LIFFE. See Footnote 4. 15 ICE Futures Europe listed the following non-U. S. stock exchanges in its claim for class relief: Borsa Italiana, Cophenhagen Stock Exchange, Deutsche Boerse, Euronext Amsterdam, Euronext Brussels, Euronext Lisbon, Euronext Paris, Helsinki Stock Exchange, Irish Stock Exchange, London Stock Exchange, London Stock Exchange International Order Book, Madrid Stock Exchange, Oslo Stock Exchange, SIX Swiss Exchange, Stockholm Stock Exchange and Vienna Stock Exchange. 16 This exchange has claimed relief under LIFFE AampM and Class Relief SEC No-Action Letter (Jul. 1, 2013) for Foreign Options Markets engaging in familiarization activities with Eligible U. S. Institutions with respect to Eligible Options. 17 Euronext Amsterdam listed the following regulated markets elsewhere in Europe for class relief: Euronext Brussels, Euronext Paris, London Stock Exchange, Deutsche Borse, Borsa Italiana, Bolsas y Mercados Espanoles, Swiss Exchange, OMX Stockholm, Oslo Stock Exchange, OMX Copenhagen, Weiner Borse, Irish Stock Exchange and OMX Helsinki. 18 Euronext Paris listed the following regulated markets elsewhere in Europe for class relief: Euronext Brussels, Euronext Amsterdam, London Stock Exchange, Deutsche Borse, Borsa Italiana, Bolsas y Mercados Espanoles, Swiss Exchange, OMX Stockholm, Oslo Stock Exchange, OMX Copenhagen, Weiner Borse, Irish Stock Exchange and OMX Helsinki. kattenlaw AUSTIN CENTURY CITY CHARLOTTE CHICAGO HOUSTON IRVING LONDON LOS ANGELES NEW YORK ORANGE COUNTY SAN FRANCISCO BAY AREA SHANGHAI WASHINGTON, DC Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion. copy2014 Katten Muchin Rosenman LLP. Todos os direitos reservados. Katten Muchin Rosenman LLP is an Illinois limited liability partnership including professional corporations that has elected to be governed by the Illinois Uniform Partnership Act (1997). London affiliate: Katten Muchin Rosenman UK LLP To view all formatting for this article (eg, tables, footnotes), please access the original here. Foreign Listed Stock Index Futures and Options Approval To view this article you need a PDF viewer such as Adobe Reader. European Union, USA April 16 2014 Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are superseded and should be discarded. Please note the following developments since we last distributed the Approvals Chart: (1) The CFTC has approved the following contracts for trading by U. S. persons: (i) Eurexrsquos futures contract based on the MSCI China Free Index (ii) Eurexrsquos futures contract based on the MSCI Emerging Markets Asia Index (iii) Eurexrsquos futures contract based on the MSCI Emerging Markets EMEA Index (iv) Eurexrsquos futures contract based on the MSCI Emerging Markets Index (v) Eurexrsquos futures contract based on the MSCI Emerging Markets India Index (vi) Eurexrsquos futures contract based on the MSCI Emerging Markets Latin America Index (vii) Eurexrsquos futures contract based on the MSCI Europe Growth Index (viii) Eurexrsquos futures contract based on the MSCI Europe Value Index (ix) Eurexrsquos futures contract based on the MSCI Malaysia Index (x) Eurexrsquos futures contract based on the MSCI South Africa Index (xi) Eurexrsquos futures contract based on the MSCI Thailand Index (xii) SGX-DT rsquos futures contract based on the MSCI India Index (xiii) SGX-DTrsquos futures contract based on the MSCI Philippines Index (xiv) SGX-DTrsquos futures contract based on the MSCI Thailand Index (xv) Euronext LIFFErsquos British pound sterling-denominated futures contract (pound2 per index point) based on the FTSE 250 Index and (xvi) Euronext LIFFErsquos Euro-denominated futures contract based on the MSCI Europe Index. (2) The SEC has not approved any new foreign equity index options since we last distributed the Approvals Chart. (3) In addition, the Chart has been modified to note the availability of the Bclear service offered by LIFFE, which allows LIFFE members that comply with specified criteria to clear certain non-U. S. equity and index options that were executed over the counter on behalf of Eligible U. S. Institutions. Please refer to Footnote 4 for additional information. For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 1 Foreign Listed Stock Index Futures and Options Approvals (April 2014) CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options AustraliaASXASX Futures Exchange SampPASX 50 Approved for sale to U. S. Persons (July 24, 2002 No-Action Letter issued to ASX Futures Exchange) None offered Approved for Eligible U. S. Institutions only (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaASXASX Futures Exchange Single name equities None offered None offered Approved for Eligible U. S. Institutions only (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaASXASX Futures Exchange SampPASX 200 Approved for sale to U. S. Persons (July 24, 2002 No-Action Letter issued to ASX Futures Exchange) None offered Approved for Eligible U. S. Institutions only (August 13, 2007 SEC No-Action Letter issued to ASX Limited) Not approved AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Not approved None offere d Approved for Eligible U. S. Institutions only (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaSydney Futures Exchange (SFE) SPI 200 Approved for sale to U. S. Persons (August 10, 1999 No-Action Letter issued to SFE) Approved for sale to U. S. Persons (August 10, 1999 No-Action Letter issued to SFE) Not approved None offered AustraliaSydney Futures Exchange (SFE) 1-Day Option Contract based on the CBOT Mini-Sized Dow Futures Contract None offered Approved for sale to U. S. Persons (August 8, 2006 No-Action Letter issued to SFE) None offered None offered AustriaWiener Borse ATX Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 2 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options AustriaWiener Borse Russian Traded Not approved None offered Not approved None offered AustriaWiener Borse CECE Indices (CEX, CTX, HTX, PTX) Not approved None offered Not approved None offered AustriaWiener Borse Single name equities None offered None offered Not approved4 None offered BelgiumEuronext Brussels BEL 20 Approved for sale to U. S. Persons (August 31, 2011 No-Action Letter issued to Euronext Brussels) None offered Not approved4 None offered BelgiumEuronext Brussels Mini BEL 20 (index participation units) None offered None offered Not approved None offered BelgiumEuronext Brussels Mini Dow Jones Euro STOXX (index participation units) None offered None offered Not approved None offered BelgiumEuronext Brussels Single name equities Not approved None offered Not approved4 None offered Brazil BMampF Bovespa S. A. Ibovespa Approved for sale to U. S. Persons (August 26, 2009 No-Acti on Letter issued to BMampF Bovespa S. A.)2 Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.) Not approved None offered Brazil BMampF Bovespa S. A. Ibovespa Flex None offered None offered Not approved None offered Brazil BMampF Bovespa S. A. Mini Ibovespa Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.) None offered None offered None offered Brazil BMampF Bovespa S. A. IBrX 50 Index Futures Contract Approval pending Not approved Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 3 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Brazil BMampF Bovespa S. A. SampP 500 Index Approved for sale to U. S. Persons (September 24, 2012 certification) None offered None offered None offered Brazil BMampF Bovespa S. A. MICEX Approved for sale to U. S. Persons (March 12, 2013 certification) None offered None offered None offered Brazil BMampF Bovespa S. A. Hang Seng Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered Brazil BMampF Bovespa S. A. FTSEJSE Top 40 Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered Brazil BMampF Bovespa S. A. BSE Sensitive Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Canada 60 Approved for sale to U. S. Persons (December 9, 1999 CFTC No-Action Letter issued to Montreal Exchange)3 None offered Approved, including approval of all other index options, for sale to U. S. Persons generally that are now or may in the future be listed (Post-Effective Amendment No. 27 to Registration Statement on Form S-20 filed by Canadian Derivatives Clearing Corp. SEC File No. 2-69458) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 4 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options CanadaMontreal Exchange (Bourse de Montreacuteal) Single name equities None offered None offered Approved for all options on individual securities listed on the Montreal Exchange that are now or may in the future be listed for sale to U. S. Persons generally (Post-Effective Amendment No. 27 to Registration Statement on Form S-20 filed by Canadian Derivatives Clearing Corp. SEC File No. 2-69458) None offered CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX 60 Index Mini Futures Approved for sale to U. S. Persons (April 19, 2012 certification) None offered None offered None offered CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSE 60 Index Participation Fund (i60 Fund) None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) SampPT SX Capped Sector Not approved None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) None offered CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Gold Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 5 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Financials Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Information Technology Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Energy Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) China (see also Hong Kong and Taiwan)China Financial Futures Exchange CSI 300 Index Futures Not approved None offered None offered None offered DenmarkOMX Nordic Exchange Copenhagen AS Single name equities None offered None offered Not approved4,11 None offered DenmarkFUTOP Market KFX (LargeSmall Contract) Not approved None offered Not approved None offered FinlandOMX Nordic Exchange Helsinki Single name equities None offered None offered Not approved4,5 None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 6 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A. CAC40 Approved for sale to U. S. Persons (December 17, 1991 No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions only (July 17, 1996 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse)4 None offered FranceEuronext Paris S. A. CAC40 Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered None offered None offered FranceEuronext Paris S. A. Single name equities Not approved None offered Approved for all options on individual equity securities that are now or may in the future be listed5 for Eligible U. S. Institutions only (July 17, 1996 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse)4 None offered FranceEuronext Paris S. A. Dow Jones STOXX 50 Approved for sale to U. S. Pers ons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions only (October 26, 1998 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 7 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A. Dow Jones Euro STOXX 50 Approved for sale to U. S. Persons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions only (October 26, 1998 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse) None offered FranceEuronext Paris S. A. Dow Jones STOXX 600 Sectors (Bank, Energy, Healthcare, Technology, Telecommunications) Not approved None offered Not approved None offered FranceEuronext Paris S. A. FTSEurofirst 80 Approved for sale to U. S. Persons (March 5, 2007 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered4 None offered FranceEuronext Paris S. A. FTSEurofirst 100 Approved for sale to U. S. Persons (March 5, 2007 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered4 None offered FranceEuronext Paris S. A. FTSE EPRANAREIT Europe Approved for sale to U. S. Persons (July 10, 2008 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered Not approved For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 8 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A. FTSE EPRANAREIT Euro Zone Approved for sale to U. S. Persons (July 10, 2008 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered Not approved GermanySwitzerland Eurex DAX Approved for sale to U. S. Persons (December 20, 1994 CFTC No-Action Letter issued to Deutsche Terminborse)3 None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex DAX EX Not approved None offered None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanySwitzerland Eurex Dow Jones Euro STOXX 50 Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to Eurex)3 None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eur ex) None offered GermanySwitzerland Eurex Dow Jones Euro STOXX 50 Dividend Not approved Not approved None offered None offered GermanySwitzerland Eurex Dow Jones STOXX 50 Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to Eurex)3 None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex Dow Jones Euro STOXX 50 EX Not approved None offered Not approved Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 9 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex KOSPI 200 Options6 Not approved None offered Not approved None offered GermanySwitzerland Eurex Swiss Market Not approved None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanySwitzerland Eurex SLI Swiss Leader Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Swiss Market Index Midcap (SMIM) Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones Global Titans 50 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Ins titutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex Dow Jones Global Titans 50 Index (US Denominated) Approved for sale to U. S. Persons (June 5, 2012 certification) None offered None offered None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Banking Sector Approved for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX Small 200 Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 10 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex Dow Jones STOXX Mid 200 Approved for sale to U. S. Persons (June 18, 2007 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX Large 200 Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Approved for sale to U. S. Persons (June 18, 2007 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Industrial Goods amp Services Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Insurance Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Media Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Personal amp Household Goods Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex)7 None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Retail Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 11 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex Dow Jones STOXX 600 Travel amp Leisure Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Dow Jones STOXX 600 Utilities Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Other Dow Jones STOXX 600 Market Sectors (Technology, Healthcare, Tele-communications) Not approved None offered Not approved None offered GermanySwitzerland Eurex Dow Jones Euro STOXX Banking Sector Not approved8 None offered Not approved None offered GermanySwitzerland Eurex Dow Jones Euro STOXX Select Dividend 30 Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex Other Dow Jones Euro STOXX Sectors (various) Not approved None offered Not approved None offered GermanySwitzerland Eurex HEX 25 Finnish Not approved None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanySwitzerland Eurex TECDAX Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 12 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex Dow Jones Italy Titans 30 Approved for sale to U. S. Persons (November 23, 2005 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex MDAX Approved for sale to U. S. Persons (March 14, 2006 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanySwitzerland Eurex iShares DJ EURO STOXX None offered None offered None offered Approved for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanySwitzerland Eurex RDX USD12 Not approved None offered Not approved None offered GermanySwitzerland Eurex DJ Banks Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex DJ Oil and Gas Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex DJ Insurance Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex DJ Telecommunications Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex DJ Utilities Titans 30 Not approved None offered None offered None offered GermanySwitzerland Eurex MSCI All Countries Asia Pacific ex-Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 13 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex MSCI China Free Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Emerging Markets Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets Asia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets EMEA Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets Latin America Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Europe Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not Approved None offered GermanySwitzerland Eurex MSCI Europe Growth Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Europe Value Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI India Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 14 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex MSCI Malaysia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI South Africa Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Thailand Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI World Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not Approved None offered GermanySwitzerland Eurex STOXX Europe 600 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Large 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Mid 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Small 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Large Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 15 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanySwitzerland Eurex Euro STOXX Mid Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Small Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Mini Euro STOXX 50 Volatility Index Approved for sale to U. S. Persons (July 20, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX 50 Ex Financials Index Approved for sale to U. S. Persons (August 27, 2012 certification) None offered Not approved None offered GermanySwitzerland Eurex Single name equities Not approved None offered Approved for options on individual German, Swiss, Finnish, Dutch, Italian, and French equities5 for Eligible U. S. Institutions only (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyBouml rse Frankfurt Single name equities None offered None offered Not approved4,5 None offered GreeceAthens Exchange Derivatives Market FTSEASE 20 Not approved None offered Not approved None offered GreeceAthens Exchange Derivatives Market FTSEASE Mid-40 Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 16 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Hang Seng Approved for sale to U. S. Persons (June 1, 1994 CFTC No-Action Letter issued to HKFE)3 None offered Approved for Eligible U. S. Institutions only (September 26, 1995 SEC No-Action Letter issued to HKFE) None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng Approved for sale to U. S. Persons (January 16, 2009 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng China Enterprises Index Approved for sale to U. S. Persons (January 16, 2009 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) FTSEXinhua China 25 Approved for sale to U. S. Persons (September 26, 2006 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) H-Shares (Hang Seng China Enterprises Index) Approved for sale to U. S. Persons (September 26, 2006 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) DJIA Not approved None offered None offered None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) CES China 120 Approved for sale to U. S. Persons (September 17, 2013 certification) None offered None offered None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSI Volatility Index (VHSI) Approved for sale to U. S. Persons (September 17, 2013 certification) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 17 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSCEI Dividend Point Index Not Approved None offered None offered None offered HungaryBudapest Stock Exchange BUX Not approved None offered None offered None offered IndiaBombay Stock Exchange (BSE) BSE Sensitive Index of 30 Stocks (Sensex)9 Approved for sale to U. S. Persons (June 14, 2006 CFTC No-Action Letter issued to BSE) None offered Not approved None offered IndiaBombay Stock Exchange (BSE) SampP BSE 100 Approved for sale to U. S. Persons (September 24, 2013 certification) None offered Not approved None offered IndiaBombay Stock Exchange (BSE) DOLLEX-309 Not approved None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) SampP CNX Nifty (ldquoNifty 50rdquo)9 Approved for sale to U. S. Persons (October 17, 2003 CFTC No-Action Letter issued to NSE) None offered Not approved None offered IndiaNati onal Stock Exchange of India Ltd. (NSE) CNXIT Not approved None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) Bank Nifty Not approved None offered Not approved None offered IrelandIrish Stock Exchange Single name equities None offered None offered Not approved4 None offered IsraelTel Aviv Stock Exchange TA 25 Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 18 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options IsraelTel Aviv Stock Exchange TA Banks Not approved None offered Not approved None offered ItalyBorsa Italiana ndash IDEM FTSE MIB4 Approved for sale to U. S. Persons (August 30, 2004 CFTC No-Action Letter issued to Borsa Italiana) None offered Approved for Eligible U. S. Institutions only (September 24, 2004 No-Action Letter issued to Borsa Italiana) None offered ItalyBorsa Italiana ndash IDEM Single name equities Not approved None offered Approved for Eligible U. S. Institutions only (see September 1, 1998 SEC No-Action Letter issued to Borsa Italiana with respect to options on individual ISE equities)4,5 None offered ItalyBorsa Italiana ndash IDEM Mini FTSE MIB Approved for sale to U. S. Persons (August 30, 2004 CFTC No-Action Letter issued to Borsa Italiana) None offered None offered None offered ItalyBorsa Italiana ndash IDEM FTSE MIB Dividend Approval pending None offered None offe red None offered JapanOsaka Securities Exchange (OSE) Nikkei 300Intercontract Spread Approved for sale to U. S. Persons (May 17, 1994 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 19 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Securities Exchange (OSE) Single name equities None offered None offered Approved for options on individual equities that are listed and traded on the OSE or other Japanese exchanges that are now or may in the future be listed for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Securities Exchange (OSE) Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Securities Exchange (OSE) Mini Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (July 11, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered JapanOsaka Securities Exchange (OSE) Sector Indices (High Tech, Financial and C onsumer Indices) Not approved None offered Not approved None offered JapanOsaka Securities Exchange (OSE) DJIA Approved for sale to U. S. Persons (June 15, 2012 certification) None offered None offered None offered JapanOsaka Securities Exchange (OSE) RussellNomura Prime Approved for sale to U. S. Persons (March 14, 2005 No-Action Letter issued to OSE) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 20 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Securities Exchange (OSE) FTSE Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Securities Exchange (OSE) MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Securities Exchange (OSE) Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered JapanTokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) Nikkei 225 Dividend Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) TOPIX Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. In stitutions only (July 27, 1999 SEC No-Action Letter issued to TSE) None offered JapanTokyo Stock Exchange (TSE) Single name equities None offered None offered Approved for options on individual TSE equities that are now or may in the future be listed for Eligible U. S. Institutions only (July 27, 1999 SEC No-Action Letter issued to TSE) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 21 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanTokyo Stock Exchange (TSE) TOPIX 150 Approved for sale to U. S. Persons (May 23, 2001 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions only (November 15, 2002 SEC No-Action Letter issued to TSE) None offered JapanTokyo Stock Exchange (TSE) TOPIX Sector Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) TOPIX Core30 Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Stock Exchange (TSE) Tokyo Stock Exchange REIT Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Stock Exchange (TSE) Mini TOPIX Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered Korea ndash see South Korea - - - - - MalaysiaBursa Malaysia Derivatives Berhad (BMD) FTSE Bursa Malaysia Kuala Lumpur Composite Approved for sale to U. S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad) None offered Not approved None offered MexicoMexican Derivatives Exchange (MEXDER) IPC Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 22 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Netherlands Euronext Amsterdam Derivatives Markets N. V. FTSE Eurotop 100 Approved for sale to U. S. Persons (May 14, 1996 CFTC No-Action Letter issued to Financiele Termijnmarkt Amsterdam)3 None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved4 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. AEX Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Single name equities Not approved None offered Not approved4,5 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Light AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Amsterdam Mid-Kap Not approved None offered Not approved None offered New ZealandNZFOE NZSE 10 Not approved Not approved None offered None offered NorwayOslo Stock Exchange OBX Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 23 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options NorwayOslo Stock Exchange Single name equities None offered None offered Not approved4,11 None offered PolandWarsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered PortugalEuronext Lisbon PSI 20 Not approved Not approved None offered4 None offered PortugalEuronext Lisbon Single name equities Not approved None offered Not approved4 None offered RussiaRussian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered Not approved None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Dow Jones Thailand Not approved (the requested approval was deemed withdrawn by the CFTC in 2004) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Hong Kong Approved for sale to U. S. Persons (December 17, 1999 CFTC No - Action Letter issued to SIMEX) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Taiwan Approved for sale to U. S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei 300 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 24 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) USD Nikkei Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) FTSEXinhua China A50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Asia APEX 50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (July 11, 2000 CFTC No-Action Letter issued to SGX-DT)3 None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Thailand Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 25 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Philippines Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI India Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Indonesia Approved for sale to U. S. Persons (October 2, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SampP CNX Nifty (ldquoNifty 50rdquo) Approved for sale to U. S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT) None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Mini Nikkei 225 Approved for sale to U. S. Persons (December 23, 2009 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Euro STOXX 50 Approved for sale to U. S. Persons (March 22, 2012 certification) None offered None offered None offered South AfricaJSESAFEX ALSIFTSE JSE 40 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to SAFEX) None offered Not approved None offered South AfricaJSESAFEX FTSEJSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South AfricaJSESAFEX Mining Not approved None offered None offered None offered South AfricaJSESAFEX Financial Not approved None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 26 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South AfricaJSESAFEX Industrial Not approved None offered None offered None offered South KoreaKorea Exchange KOSPI 200 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Korea Futures Exchange) None offered Not approved None offered South KoreaKorea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered SpainMEFF IBEX 35 Approved for sale to U. S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3 None offered Not approved None offered SpainMEFF IBEX 35 Mini Not approved Not approved None offered None offered SpainMEFF SampP Euro Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMEFF SampP Europe 350 Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMadrid St ock Exchange Single name equities None offered None offered Not approved4 None offered SwedenOMHEX HEXTECH Not approved Not approved None offered None offered SwedenOMHEX HEXTEMP Not approved None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 27 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SwedenOMX Nordic Exchange Stockholm AB OMXS30 (formerly OMX) Approved for sale to U. S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXcap Approved for sale to U. S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB NOX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB VINX30 Approved for sale to U. S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm) None offered Not approved Not approved SwedenOMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered SwitzerlandSIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered Switzerland ndash see Germany - - - - - TaiwanTaiwan Futures Exchange GreTai Securities Market Capitalized Weighted Approved for sale to U. S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 28 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TaiwanTaiwan Futures Exchange TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Mini-TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered None offered None offered TaiwanTaiwan Futures Exchange MSCI Taiwan Approved for sale to U. S. Persons (October 12, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered TaiwanTaiwan Futures Exchange Electronic Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Finance Sector Approve d for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Taiwan Stock Exchange Non-Finance Non-Electronics Approved for sale to U. S. Persons (April 1, 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 29 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options ThailandThailand Futures Exchange PCL SET50 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange) None offered Not approved None offered TurkeyBorsa stanbul Derivatives Market (VIOP) BIST 30 (formerly ISE 30)13 Approved for sale to U. S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange) None offered Not approved None offered U. K.Euronext LIFFE FTSE 100 Approved for sale to U. S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3 None offered Approved for Eligible U. S. Institutions only (May 1, 1992 SEC No-Action Letter issued to LIFFE)4 None offered U. K.Euronext LIFFE Single name equities Not approved None offered Approved for options on individual LSE equity securities that are now or may in the future be listed for Eligible U. S. Institutions only (May 1, 1992 SEC No-Action Le tter issued to LIFFE), None offered U. K.Euronext LIFFE FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (Mid-Cap) Approved for sale to U. S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE Mini FTSE 100 Approved for sale to U. S. Persons (May 30, 2001 CFTC No-Action letter issued to LIFFE)3 None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 30 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.Euronext LIFFE FTSE Eurotop 100 Approved for sale to U. S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE FTSE 100 FLEX None offered None offered Approved for Eligible U. S. Institutions only (March 6, 1996 SEC No-Action Letter issued to LIFFE) None offered U. K.Euronext LIFFE MSCI Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE MSCI Pan-Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offer ed None offered None offered U. K.Euronext LIFFE MSCI Europe (Euro-denominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K.EDX London Exchange OMXFlex OMX None offered None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange)4 None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 31 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.EDX London Exchange OBXFlex OBX Not approved None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange Single name equities None offered None offered Approved for options on individual Swedish, Norwegian and Danish equities11 for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange KFXFlex KFX Not approved None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.London Stock Exchange Derivatives FTSE 100 Approval pending None offered Not approved4 None offered U. K.London Stock Exchange Derivatives FTSE UK Large Cap Super Liquid (FTSE SLQ) Approval pending None offered None offered None offered U. K.London Stock Exchange Derivatives Single name equities None offered None offered Not approved (see U. K.Euronext LIFFE)4 None offered U. K.Turquoise Global Holdings Limited FTSE 100 Approved for sale to U. S. Persons (June 1, 2012 certification) None offered Not approved4 None offered NOTE: This Chart covers those products and exchanges that are likely to be of greatest interest to market participants in the United States. It is not, therefore, intended to be exhaustive, and is presented without any representation or warranty as to its accuracy, completeness or timeliness. Transmission or receipt of this information does not create an attorney-client relationship with Katten Muchin Rosenman LLP, and the information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. This Chart does not express any opinion as to the potential application of the laws of any jurisdiction other than the United States. Questions regarding the permissibility of trading in products that are not included in this Chart should be addressed to James D. Van De Graaff at 1.312.902-5227, Kenneth M. Rosenzweig at 1.312.902-5381, Kevin M. Foley at 1.312.902-5372, Christian B. Hennion at 1.312.902-5521 or Blake J. Brockway at 1.312.902-5438. ldquoEligible U. S. Institutionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible U. S. Institutionrdquo means, in general, a U. S. Person that (i) is a ldquoqualified institutional buyerrdquo as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (ii) has had prior actual experience in trading U. S. listed options contracts. For information regarding working definitions of ldquoU. S. Personrdquo as that term is used in this Chart, please contact Katten Muchin Rosenman LLP. 1 Reserved 2 The CFTC No-Action Letter also applies to BMampF Bovesparsquos ldquoIbovespa Rolloverrdquo and ldquoForward Points on the Ibovespardquo transactions. 3 The index is included in the CFTCrsquos and SECrsquos joint order dated May 31, 2002 extending the exclusion of such index from the definition of ldquonarrow-based security indexrdquo under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the ldquoJoint Orderrdquo). Foreign futures contracts or options on futures contracts on ldquonarrow-based securities indexesrdquo may not be offered or sold to U. S. Persons without the CFTC and SEC first developing joint regulations, which has not yet been done. Accordingly, the Joint Order effectively allows the stock index futures contracts and options on futures contracts that are based on the security indexes included in the Joint Order, which were granted no-action relief by the CFTC prior to the enactment of the Commodity Futures Modernization Act (ldquoCFMArdquo) on December 21, 2000, to continue to be offered and sold to U. S. Persons after July 11, 2002, the date that the exclusion set forth in the CFMA was to expire. 4 These products may be eligible for clearing through the Bclear service offered by Euronext LIFFE (ldquoLIFFErdquo). Bclear allows members to submit an option contract on a non-U. S. security that has been negotiated and completed as an over-the-counter (ldquoOTCrdquo) transaction so that LIFFE may replace the OTC transaction with an equivalent LIFFE options contract. LIFFE members that intend to offer or sell such products to U. S. persons must satisfy the following conditions: (i) Bclear services may only be offered to a U. S. person that qualifies as an Eligible U. S. Institution (see above), (ii) the LIFFE member must obtain and maintain certain representations from the customer, and (iii) before transacting, and on an annual basis thereafter, the LIFFE member must file a declaration with LIFFE. For additional information on these conditions, see LIFFE London Notice No. 3732. LIFFE maintains a list of eligible options, which includes (1) LIFFE individual equity options based on the securities of non-U. S. issuers and (2) LIFFE index options based on indices that contain no component securities of U. S. issuers. The list of eligible options may be accessed here. 5 The SEC also has approved for Eligible U. S. Institutions all options on individual German-, Swiss-, Finnish-, Dutch-, Italian - and French-issued equities that are now or that in the future may be listed on Eurex. Equities issued in any other country that are listed on Eurex have not been approved at this time. 6 Eurex offers a KOSPI product that Eurex describes as a daily futures contract that expires every night, with any net open positions at the end of trading resulting in the establishment of a corresponding position in the Korean Exchangersquos KOSPI 200 Options (with strike prices, expiries, putcall and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 28111, the Dow Jones STOXX 600 Personal amp Household Goods Sector will no longer be tradable on Eurex trading terminals in the U. S. after the close of business on February 29, 2012. The previously issued no-action letter approving such product for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 8 Pursuant to Eurex Circular 26011, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the U. S. The previously issued no-action letter approving such product for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 9 Additional restrictions apply to the trading of these products by U. S. Persons. 10 Reserved 11 The SEC also has approved for Eligible U. S. Institutions all options on individual Swedish-, Norwegian - and Danish-issued equities that are now or that in the future may be listed on the EDX London exchange. Equities issued in any other country that are listed on the EDX London Exchange have not been approved at this time. Note: EDX London Exchange has been acquired by the Turquoise Exchange. 12 The RDX USD Index futures and options contracts have not been approved for sale to U. S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD ndash RDX Extended Index futures contract) for sale to U. S. Persons in a no-action letter issued on March 6, 2008, but Eurex subsequently delisted the contract. 13 The Istanbul Stock Exchange (ldquoISErdquo) is now part of the Borsa Istanbul (ldquoBISTrdquo). As such, references to ISE 30 have been changed to BIST 30 on VIOPrsquos trading platform and the CFTCrsquos website. 14 The London Stock Exchange offers options on Russian equity products through its International Order Book. Providing all applicable conditions are met, Eligible U. S. Institutions may trade these options through the Bclear service offered by Euronext LIFFE. See Footnote 4. kattenlaw AUSTIN CENTURY CITY CHARLOTTE CHICAGO HOUSTON IRVING LONDON LOS ANGELES NEW YORK ORANGE COUNTY SAN FRANCISCO BAY AREA SHANGHAI WASHINGTON, DC Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion. copy2014 Katten Muchin Rosenman LLP. Todos os direitos reservados. Circular 230 Disclosure: Pursuant to regulations governing practice before the Internal Revenue Service, any tax advice contained herein is not intended or written to be used and cannot be used by a taxpayer for the purpose of avoiding tax penalties that may be imposed on the taxpayer. Katten Muchin Rosenman LLP is an Illinois limited liability partnership including professional corporations that has elected to be governed by the Illinois Uniform Partnership Act (1997). London affiliate: Katten Muchin Rosenman UK LLP To view all formatting for this article (eg, tables, footnotes), please access the original here. United States. Foreign Listed Stock Index Futures And Options Approval Chart Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are superseded and should be discarded. Please note the following developments since we last distributed the Approvals Chart: The CFTC has approved the following contracts for trading by U. S. persons: (i) Eurex39s futures contract based on the MSCI China Free Index (ii) Eurex39s futures contract based on the MSCI Emerging Markets Asia Index (iii) Eurex39s futures contract based on the MSCI Emerging Markets EMEA Index (iv) Eurex39s futures contract based on the MSCI Emerging Markets Index (v) Eurex39s futures contract based on the MSCI Emerging Markets India Index (vi) Eurex39s futures contract based on the MSCI Emerging Markets Latin America Index (vii) Eurex39s futures contract based on the MSCI Europe Growth Index (viii) Eurex39s futures contract based on the MSCI Europe Value Index (ix) Eurex39s futures contract based on the MSCI Malaysia Index (x) Eurex39s futures contract based on the MSCI South Africa Index (xi) Eurex39s futures contract based on the MSCI Thailand Index (xii) SGX-DT39s futures contract based on the MSC I India Index (xiii) SGX-DT39s futures contract based on the MSCI Philippines Index (xiv) SGX-DT39s futures contract based on the MSCI Thailand Index (xv) Euronext LIFFE39s British pound sterling-denominated futures contract (2 per index point) based on the FTSE 250 Index and (xvi) Euronext LIFFE39s Euro-denominated futures contract based on the MSCI Europe Index. The SEC has not approved any new foreign equity index options since we last distributed the Approvals Chart. In addition, the Chart has been modified to note the availability of the Bclear service offered by LIFFE, which allows LIFFE members that comply with specified criteria to clear certain non-U. S. equity and index options that were executed over the counter on behalf of Eligible U. S. Institutions. Please refer to Footnote 4 for additional information. O conteúdo deste artigo destina-se a fornecer um guia geral sobre o assunto. O conselho do especialista deve ser procurado sobre suas circunstâncias específicas. Para imprimir este artigo, tudo o que você precisa é para ser registrado em Mondaq. Clique para iniciar sessão como um utilizador existente ou Registe-se para poder imprimir este artigo. 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. Overseas Shipping Group (Overseas) recently sued its former attorneys, a prominent New York-based law firm, for legal malpractice in drafting credit agreements that resulted in the company incurring an estimated 463 million in tax liability. Poyner Spruill LLP Blockchain technology combines several features of existing financial infrastructure. It is partly a mass repository of historical transactions, partly a decentralized clearinghouse. Cadwalader, Wickersham Taft LLP A FINRA hearing panel expelled Red River Securities, LLC from FINRA membership, and barred its CEO from associating with any FINRA member in any capacity. On February 7, 2017, the ESMA released a Report on Distributed Ledger Technology Applied to Securities Markets that considers DLTs effect on securities markets and fit to existing regulatory infrastructure. 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. 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. Foreign Markets, Products, Intermediaries Foreign Products Available to U. S. Customers Foreign Futures and Options Contracts The CFTC receives many inquiries regarding what foreign futures and options contracts may be offered or sold to customers located in the U. S. and what registration requirements are applicable to intermediaries who offer and sell those products. Approval of Products In general, the Commodity Exchange Act (CEA) and CFTC regulations do not restrict the offer or sale of foreign exchange-traded futures and commodity option products to customers located in the U. S. (61 Fed. Reg.10891). Special procedures do apply, however, to the offer or sale of security index and foreign government debt products. These procedures are outlined below. Please note that these procedures do not apply to foreign exchange-traded security futures products, including futures or futures options on narrow-based security indices, as defined in Section 1a(35) of the CEA. Foreign exchange-traded security futures products generally may only be offered or sold to certain sophisticated customers located in the U. S. pursuant to an Order issued by the U. S. Securities and Exchange Commission (SEC) and an Advisory issued by the CFTCs Division of Clearing and Intermediary Oversight (DCIO). (See CEA Section 2(a)(1)(E) and CEA Section 2(a)(1)(F) ). Registration of Intermediaries Please note that the offer and sale of any foreign futures or options contract to a customer located in the U. S. including those products subject to the special procedures described below, is subject to the requirements applicable to intermediaries set forth in Part 30 of the CFTC39s regulations. In particular, CFTC Regulation 30.4 requires an intermediary seeking to act on behalf of a U. S. customer for the purpose of trading foreign futures or options to register in the appropriate capacity with the CFTC (i. e. FCM, IB, CTA or CPO), or apply for an exemption from registration. This registration requirement applies to all intermediaries, regardless of where they are located. So, for example, a foreign firm that clears foreign futures trades on a fully-disclosed basis on behalf of a customer located in the U. S. must register as an FCM or obtain an exemption from FCM registration pursuant to CFTC Regulation 30.10. Any firm located outside the U. S. acting in the capacity of an IB, CTA or CPO may apply for an exemption pursuant to CFTC Regulation 30.5. For more information on the registration exemptions available under Part 30 of the CFTCs regulations, see Offer and Sale of Foreign Products to U. S. Customers . Applicability of Foreign Law Notwithstanding the foregoing product-based and intermediaries-based requirements, the offer and sale of foreign futures and options to customers located in the U. S. including those products subject to the special procedures described below, remains subject to the applicable laws and regulations in the foreign jurisdiction in which the listing exchange is located. Although U. S. customers may be permitted under the CEA to buy or sell a particular product, foreign law or regulations may not permit such activity to occur. For example, the law of a particular foreign jurisdiction may not allow a U. S. FCM either to become a clearing member on the foreign exchange or establish an omnibus account with a clearing member on that exchange. In these circumstances, a U. S. customer would not be able to buy or sell the foreign product, unless appropriate relief has been granted to the foreign regulator or the exchange pursuant to CFTC Regulation 30.10 . Product Requirements and Restrictions Foreign exchange-traded broad-based security index futures contracts (and options thereon): The CFTC must first certify that foreign exchange-traded broad-based security index futures contract (or option thereon) meets the requirements of section 2(a)(1)(C)(ii) of the Commodity Exchange Act. If a futures contract has been certified by the Commission, then the option on that particular contract (the futures option) may also be offered or sold in the United States, without any further regulatory action from the Commission. The procedure for requesting a CFTC certification of a broad-based security index future traded on a foreign board of trade is described in CFTC Regulation 30.13. Prior to October 2011, the CFTCs Office of the General Counsel must have first issued a no-action letter to allow the offer or sale of a foreign exchange-traded, broad-based security index futures contract in the United States. That no-action procedure was replaced by the Commission certification process. Foreign Security Index Futures and Futures Options Contracts for Which Commission Certification or No-Action Relief Has Been Granted and Which are Under Review Indexes Underlying Contracts of Foreign Boards of Trade Authorized by the CFTC Pre-CFMA Filing Requirements for Foreign Security Index Exemptions Foreign exchange-traded security futures products (futures or futures options on narrow-based security indices or single securities): Foreign exchange-traded security futures products may be offered or sold in the United States subject to certain conditions set out in the SEC Order and the DCIO Advisory. Foreign government debt obligations: Debt obligations of a foreign government must be designated as an exempted security by the U. S. Securities and Exchange Commission under SEC Rule 3a12-8 before a futures contract or option thereon can be offered or sold in the United States. Government debt instruments issued by the following countries have been designated by the SEC as exempted securities: United Kingdom, Canada, Japan, Australia, France, New Zealand, Austria, Denmark, Finland, the Netherlands, Switzerland, Germany, Italy, Ireland, Spain, Mexico, Brazil, Argentina, Venezuela, Belgium, and Sweden. See 17 CFR 240.3a12-8. Please contact the SECs Division of Trading and Markets at 202-551-5777 or tradingandmarketssec. gov for further information. Exception for sales to customers located outside the United States: The product requirements and restrictions may not apply to registered futures commission merchants (FCMs), introducing brokers (IBs), and commodity trading advisors (CTAs) in offering and selling (or providing advice with respect to) certain foreign exchange-traded products to customers located outside the United States. For a more detailed description of the terms and conditions of this exception for broad-based security indices and foreign government debt, see Offer and Sale of Foreign Exchange-Traded Options, and Foreign Exchange-Traded Futures Contracts Based on Foreign Stock Indexes and Foreign Government Debt, to Persons Located Outside the United States (57 FR 36369, Aug. 13, 1992). With regard to foreign exchange-traded security futures products, CEA Section 2(a)(1)(F)(i), 7 USC 2(a)(1)(F)(i), provides that nothing in the CEA is intended to prohibit a futures commission merchant from carrying security futures products traded on or subject to the rules of a foreign board of trade in the accounts of persons located outside of the United States. Although no comparable exceptive provision is provided for in the securities laws, the SECs Division of Trading and Markets has issued interim no-action relief to FCMs that are dually registered (including through notice registration) as FCMs and BrokerDealers to clear and carry positions with respect to certain non-U. S. security futures (foreign exchange-traded futures, but not options, on a single non-U. S. security or on a narrow-based security index that has no more than 10 percent of the securities underlying the index issued by a U. S. issuer or issuers) held in futures accounts for customers who are not U. S. persons, subject to certain conditions. This relief is effective until the SEC and the CFTC issue final regulations concerning these products. For information on foreign security index or sovereign debt products not covered here and on how to qualify such contracts or products for sale in the United States, contact the CFTCs Division of Market Oversight .
Exercício de opções de compra de ações O exercício de uma opção de compra de ações significa a compra das ações ordinárias do emissor ao preço definido pela opção (preço de concessão), independentemente do preço de ações no momento em que você exerce a opção. Consulte Sobre opções de ações para obter mais informações. Dica: Exercitar suas opções de ações é uma transação sofisticada e às vezes complicada. As implicações fiscais podem variar muito ndash certifique-se de consultar um consultor fiscal antes de exercer suas opções de ações. Opções ao fazer opções de ações Normalmente, você tem várias opções ao exercer suas opções de ações adquiridas: Manter suas opções de ações Se você acredita que o preço das ações aumentará ao longo do tempo, poderá aproveitar a natureza de longo prazo da opção e esperar Exercê-los até que o preço de mercado da ação do emissor exceda seu preço de concessão e você sente que você está pronto para exercer suas opções de ações. Basta lembrar que as opções de
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