Wykresy indeksu kontraktów terminowych indeksów giełdowych z zagranicą i opcji akceptacji Aby wyświetlić ten artykuł, potrzebujesz przeglądarki PDF, takiej jak Adobe Reader. USA 1 października 2017 r. 1 października 2017 r. Przyłączone proszę odnaleźć zaktualizowane zaktualizowane indeksy kontraktów terminowych na indeksy giełdowe i karty opcji, aktualne z dniem 1 października 2017 r. Wszystkie poprzednie wersje są zastępowane i powinny zostać odrzucone. Proszę zanotować następujące zmiany od czasu ostatniej dystrybucji Tabeli zatwierdzeń: (1) CFTC zatwierdziła następujące kontrakty na obrót przez osoby z USA: (i) kontrakt terminowy Montreal Exchangersquos oparty na indeksie rynków wschodzących FTSE (ii) pochodnymi giełdowymi w Londynie kontrakt terminowy na podstawie indeksu FTSE 100 oraz (iii) kontrakty futures na londyńskiej giełdzie Derivativesrsquo na podstawie indeksu FTSE UK Large Cap Super Liquid. (2) SEC nie zatwierdziła żadnych nowych opcji dotyczących indeksów zagranicznych papierów wartościowych, ponieważ ostatnio dystrybuowaliśmy wykres zatwierdzeń. Jednak ICE Futures Europe, Osaka Exchange, Euronext Paris, Euronext Brussels i Euronext Amsterdam zgłosiły zwolnienie w ramach Awarii LIFFE i Aneksu bezczynności SEC Class Relief (1 lipca 2017 r.) W celu oferowania Kwalifikujących się opcji do kwalifikujących się instytucji USA. Patrz notatka 16. (3) Rynek instrumentów pochodnych na Giełdzie Papierów Wartościowych w Tokio został zintegrowany z tymi, które obecnie są przedmiotem obrotu na giełdzie Osaka Exchange. (4) Uściślono status sektora bankowego Dow Jones Euro STOXX w obrocie na Eurex. Patrz uwaga 8. Informacje dodatkowe Informacje na załączonym wykresie zatwierdzeń mogą ulec zmianie w dowolnym momencie. Jeśli masz pytania lub chcesz potwierdzić status konkretnej umowy, skontaktuj się z: James D. Van De Graaff 1.312.902.5227 james. vandegraaffkattenlaw Kenneth M. Rosenzweig 1.312.902.5381 kenneth. rosenzweigkattenlaw Kevin M. Foley 1.312.902.5372 kevin. foleykattenlaw Gary DeWaal 1.212.940.6558 gary. dewaalkattenlaw Christian B. Hennion 1.312.902.5521 christian. hennionkattenlaw Blake J. Brockway 1.312.902.5438 blake. brockwaykattenlaw Definicje ldquoErialible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w końcach na koniec tej tabeli. 1 Zagranicznie notowane indeksy giełdowe Indeksy kontraktacji terminowych i opcji (październik 2017 r.) Kontrakty terminowe na krajową walutę zastępczą Opcje na kontrakty futures Opcje na akcje Opcje ETF AustraliaAASAXEXX Futures Exchange SampPASX 200 Zatwierdzona do sprzedaży dla osób z USA (24 lipca 2002 r. No-Action Letter wydane na rzecz ASX Futures Exchange ) Żaden nie był zatwierdzony dla odpowiednich instytucji amerykańskich (13 sierpnia 2007 r. Pismo o braku działania SEC wydane dla ASX Limited) Nie zatwierdzony AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Nie zatwierdzono Brak oferowanej aprobaty dla kwalifikujących się amerykańskich instytucji (13 sierpnia 2007 r. Nr List Action wydany dla ASX Limited) Brak oferowany AustraliaASXASX Futures Exchange SampPASX 50 zatwierdzony do sprzedaży dla osób z USA (24 lipca 2002 r. No-Action Letter wydany na ASX Futures Exchange) Żadna z oferowanych opcji nie została zatwierdzona dla kwalifikujących się instytucji amerykańskich (13 sierpnia 2007 r. A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A A C r Kwalifikujące się instytucje amerykańskie (13 sierpnia 2007 r. SEC bezczynności SEC wysłane do ASX Limited) Żadna oferta nie zawierała kontraktu na jednodniowe transakcje na podstawie kontraktu na długi kontrakt z kontraktem terminowym dla kontraktu terminowego z siedzibą w Sydney (SFD), który nie oferował Zatwierdzony do sprzedaży dla osób z USA (8 sierpnia 2006 r. Pismo o bezczynności wydane SFE) Brak oferowanego Brak oferowane AustraliaSydney Futures Exchange (SFE) SPI 200 Zatwierdzone do sprzedaży dla Osób z USA (10 sierpnia 1999 r. No-Action Pismo wydane dla SFE) Zatwierdzone do sprzedaży dla osób z USA (10 sierpnia 1999 r. Brak pisma wystosowanego do SFE) Brak zatwierdzenia Brak oferowanych AustriaWiener Borse ATX Brak zatwierdzenia Brak oferowanych Brak zatwierdzenia Brak oferowanych Dla definicji ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające proszę zapoznać się w końcach na koniec tej tabeli. 2 CountryExchange Bazowe kontrakty futures Opcje kontraktów terminowych Opcje kapitałowe Opcje ETF AustriaWiener Borse Indeksy CECE (CEX, CTX, HTX, PTX) Nie zatwierdzono Brak oferowany Brak zatwierdzenia Brak oferowany Austria Wiener Borse Rosyjski Handel Nie zatwierdzony Brak oferowany Brak zatwierdzenia Brak oferowany AustriaWiener Borse Pojedyncze imię akcje Brak oferowana Brak oferowana Brak zatwierdzenia4 Nie oferowano BelgiaEuronext Bruksela16 BEL 20 Została zatwierdzona do sprzedaży dla osób z USA (31 sierpnia 2017 r. Dokument bezczynności wydany dla Euronext Bruksela) Brak oferowanej aprobaty dla kwalifikujących się instytucji USA (17 września 2017 r. List reprezentacyjny z Euronext Bruksela do SEC) 4 Nie oferowane BelgiaEuronext Brussels16 Mini BEL 20 (indeks jednostki uczestnictwa) Nie podano Brak oferowane Brak zatwierdzenia Brak oferowane BelgiaEuronext Bruksela16 Mini Dow Jones Euro STOXX (jednostki uczestnictwa indeks) Brak oferowane Brak oferowane Brak zatwierdzenia Brak oferowane BelgiaEuronext Bruksela16 Jedn. akcje akcje Nie zatwierdzono Żadne oferowane zatwierdzone dla Kwalifikujące się instytucje amerykańskie w zakresie dopuszczalnych opcji na poszczególnych akcjach, które są notowane i są przedmiotem obrotu na giełdzie Euronext Bruksela (17 września 2017 r. List od przedstawicieli Euronext Bruksela do SEC) 4 Nie oferowane Brazylia BMampF Bovespa SA BSE Sensitive zatwierdzone do sprzedaży dla osób z USA (12 marca 2017 r. certyfikacja) Nie zatwierdzone Nie zatwierdzone Brak oferty Brazil BMampF Bovespa SA FTSEJSE Top 40 Zatwierdzony do sprzedaży osobom z USA (certyfikat z 12 marca 2017 r.) Brak zatwierdzenia Nie zatwierdzono Brak Oferowane przez nas definicje ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające, zobacz endnotes na końcu tej tabeli. 3 CountryExchange Bazowe kontrakty futures Opcje kontraktów futures Opcje kapitałowe Opcje ETF Brazylia BMampF Bovespa SA Hang Seng Zatwierdzone do sprzedaży dla osób z USA (certyfikat z 12 marca 2017 r.) Nie zatwierdzony Brak zatwierdzenia Brak oferowany Brazil BMampF Bovespa SA Ibovespa Zatwierdzone do sprzedaży dla USA ( 26 sierpnia 2009 r. Brak aktu skierowanego do BMampF Bovespa SA) 2 Zatwierdzony do sprzedaży osobom z USA (26 sierpnia 2009 r. Brak aktu wydanego dla BMampF Bovespa SA) Brak zatwierdzenia Brak oferowanego Brazil BMampF Bovespa SA Ibovespa Flex Brak oferenta Brak oferty Nie zatwierdzono Brak oferowany Brazylia BMampF Bovespa SA IBrX 50 Indeks Futures Zatwierdzenie kontraktu w toku Niezatwierdzony Brak zatwierdzenia Brak oferowanego produktu Brazylia BMampF Bovespa SA MICEX zatwierdzony do sprzedaży dla osób z USA (12 marca 2017 certyfikacja) Brak oferowanego Brak oferowanego Brak oferowane Brazylia BMampF Bovespa SA Mini Ibovespa Zatwierdzona na sprzedaż dla Osób z USA (26 sierpnia 2009 r. - No-Action Letter wydana dla BMampF Bovespa SA) Brak d Brak ofert Brak ofert Brazylia BMampF Bovespa SA SampP 500 Indeks zatwierdzony do sprzedaży dla osób z USA (24 września 2017 certyfikacja) Brak oferowany Brak oferowany Brak oferowany CanadaMontreal Exchange (Bourse de Montreacuteal) Indeks rynków wschodzących FTSE zatwierdzony do sprzedaży dla osób z USA (marzec 21, 2017 CFTC No-Action List wydany na Giełdzie w Montrealu) Nie podano Żadnej oferty Brak oferty Definicje LdquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w notach końcowych na końcu tej tabeli. 4 Krajowe Instrumenty Inwestycyjne w Kontrakcie Futures Opcje na kontrakty futures Opcje na akcje Opcje ETF KanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSE 60 Fundusz uczestnictwa w indeksie (fundusz i60) Brak oferowanych Brak ofert Brak ofert Zatwierdzony dla Stanów Zjednoczonych zgodnie z oświadczeniem rejestracyjnym (patrz SampPTSX Kanada 60 powyżej) KanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Fundusz indeksacji zasobów krakowanych Brak oferowanych Brak Oferowanych Brak Oferowanych Zatwierdzonych dla Stanów Zjednoczonych na ogół zgodnie z oświadczeniem o rejestracji (zob. SampPTSX Kanada 60 powyżej) KanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Financial Fund Index Brak ofert Brak oferowanych Brak oferowanych Zatwierdzonych dla USA Osób ogólnie zgodnie z Oświadczeniem o rejestracji (patrz SampPTSX Canada 60 powyżej) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Gold Index Fundusz Brak oferowanego Brak oferowane Brak oferowane Zatwierdzone dla USA Osoby ogólnie zgodnie z Registr Oświadczenie (patrz SampPTSX Canada 60 powyżej) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Information Technology Index Fundusz Brak ofert Brak oferowanych Brak oferowanych Zatwierdzonych dla USA Osób ogólnie zgodnie z Oświadczeniem o rejestracji (patrz SampPTSX Canada 60 powyżej) CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX 60 Indeks Mini Futures Zatwierdzony do sprzedaży osobom z USA (certyfikat z 19 kwietnia 2017 r.) Brak oferowanych Brak oferowanych Brak Oferowanych przez nas definicji ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz innych informacji objaśniających znajdują się w końcach pod koniec ten stół. 5 Zatwierdzone do sprzedaży dla osób z USA (9 grudnia 1999 r. CFTC No-Action Letter wydane na giełdzie w Montrealu) 3 Brak oferowanych Zatwierdzonych, w tym: zatwierdzenie wszystkich innych opcji indeksowych, na sprzedaż amerykańskim osobom, które są obecnie lub mogą być wymienione w przyszłości (poprawka nr 27 do oświadczenia o rejestracji na formularzu S-20 złożonym przez kanadyjskie instrumenty pochodne Clearing Corp. SEC File No. (Patrz SampPTSX Kanada 60 powyżej) Żadna propozycja nie zaoferowała KanadyMontreal Exchange (Bourse de Montreacuteal) Jednorazowe akcje Brak Oferowanych Oferentom (-a) z KanadyMontreal Exchange (Bourse de Montreacuteal) SampPTSX Nie oferowano opcji Zatwierdzono dla wszystkich opcji na poszczególnych papierach wartościowych notowanych na Giełdzie w Montrealu, które są teraz lub mogą w fut być wystawione na sprzedaż dla Osób z USA ogólnie (Post-Effective Poprawka nr 27 do Oświadczenia o rejestracji na formularzu S-20 złożonego przez Canadian Derivatives Clearing Corp. SEC Plik nr 2-69458) Brak oferowany Definicje ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w przypisach końcowych na końcu tej tabeli. 6 CountryExchange Bazowe kontrakty futures Opcje kontraktów terminowych Opcje kapitałowe Opcje ETF Chiny (patrz również Hongkong i Tajwan) Chińska Giełda Kontraktów Finansowych Kontrakty terminowe na indeks CSI 300 Brak zatwierdzenia Brak oferowanego Brak oferowanego Brak oferowanego DenmarkFUTOP Market KFX (LargeSmall Contract) Nie zatwierdzono Brak oferty Not zatwierdzony Brak oferowany DaniaOMX Nordic Exchange Copenhagen AS Jednolitkowe akcje Brak Oferowane Brak oferowane Nie zatwierdzony4,11 Nie oferowane FinlandiaOMX Nordic Exchange Helsinki Jednolitkowe akcje Brak oferowane Żadnych zaoferowanych Brak zatwierdzonych.59 Nie ma oferty FranceEuronext Paris SA16 CAC40 Dopuszczone do sprzedaży dla osób z USA ( 17 grudnia 1991 r. Akt niedziałający wydany w ParisBourse) 3 Brak oferty Zatwierdzony dla kwalifikujących się instytucji amerykańskich (17 lipca 1996 r. SEC bezczynności pismo wydane dla MONEP, potwierdzone 6 grudnia 1999 r. Sekretariat Sekretarza Generalnego wydany w ParisBourse) 4 Brak oferty FranceEuronext Paris SA16 CAC40 Mini Zatwierdzony do sprzedaży osobom z USA (13 września 2017 certyfikat jon) Brak oferowanego Brak oferowanego Brak oferowanego FranceEuronext Paris SA16 Dow Jones Euro STOXX 50 Zatwierdzony do sprzedaży dla osób z USA (29 lutego 2000 r. Pismo bezczynne CFTC wydane na ParisBourse) 3 Brak oferowanego zatwierdzonego dla kwalifikujących się instytucji amerykańskich (26 października 1998 r. SEC bezczynności List wydany dla MONEP, potwierdzony 6 grudnia 1999 r. Sekretariat SEC wysłany do ParisBourse) Brak oferty Definicje ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w końcach pod koniec ten stół. 7 CountryExchange Bazowe kontrakty futures Opcje kontraktów terminowych Opcje kapitałowe Opcje ETF FranceEuronext Paris SA16 Dow Jones STOXX 50 Zatwierdzone do sprzedaży dla osób w USA (29 lutego 2000 r. Pismo bezczynne CFTC wydane na ParisBourse) 3 Brak oferowanego zatwierdzonego dla kwalifikujących się instytucji USA ( 26 października 1998 r. SEC No-Action Letter wydany dla MONEP, potwierdzony 6 grudnia 1999 r. SEC No-Action Letter wydany na ParisBourse) Nie zaoferowano FranceEuronext Paris SA16 Dow Jones STOXX 600 Sektory (Bank, Energia, Opieka zdrowotna, Technologia, Telekomunikacja) Nie zatwierdzono Brak oferowany Brak zatwierdzenia Brak oferowany FranceEuronext Paris SA16 FTSE EPRANAREIT Strefa euro Zatwierdzona do sprzedaży dla osób z USA (10 lipca 2008 r. Komunikat o braku działań CFTC wydany dla Euronext LIFFE, w imieniu Euronext Paris SA) Brak oferowany Brak oferowany Brak zatwierdzenia FranceEuronext Paris SA16 FTSE EPRANAREIT Europe Zatwierdzony do sprzedaży osobom z USA (10 lipca 2008 r. CFTC No-Action Letter skierowane do Euronext LIFFE, w imieniu Eur onext Paris SA) Brak oferenta Brak oferty Brak informacji FranceEuronext Paris SA16 FTSEurofirst 100 Zatwierdzony do sprzedaży dla Osób USA (5 marca 2007 r. CFTC No-Action Letter skierowany do Euronext LIFFE, w imieniu Euronext Paris SA) Brak oferenta Brak ofert Definicje ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w końcach pod koniec tej tabeli. 8 CountryExchange Bazowe kontrakty futures Opcje kontraktów futures Opcje kapitałowe Opcje ETF FranceEuronext Paris SA16 FTSEurofirst 80 Zatwierdzone do sprzedaży dla osób z USA (5 marca 2007 r. Komunikat o braku działań CFTC wydany dla Euronext LIFFE, w imieniu Euronext Paris SA) Brak oferowany Approved dla upoważnionych instytucji amerykańskich (17 września 2017 r. Pismo z Reprezentacji Euronext Paris do SEC) 4 Brak oferty FranceEuronext Paris SA16 Jednoosobowe akcje Nie zatwierdzone Brak oferty Złożono zgodę na kwalifikujące się instytucje amerykańskie dotyczące kwalifikujących się opcji na poszczególnych akcjach, które są notowane i notowane na Euronext Paris lub inne wskazane rynki18 (17 września 2017 r. List od przedstawiciela z Euronext Paris do SEC) 4,5 Nie oferowane NiemcyBoumlrse Frankfurt Jednolitkowe akcje Brak oferowana Brak oferowane Nie zatwierdzone4,5 Nie oferowane NiemcyEurex DAX Zatwierdzone do sprzedaży dla osób z USA (20 grudnia 1994 r. Pismo o braku działań CFTC wydane Deutsche Terminborse) 3 Nie oferowano zatwierdzonych dla odpowiednich USA Instytucje (27 lipca 2005 r. Pismo o braku działania ze strony SEC wydane dla Eurex) Żaden nie oferował GermanyEurex DAX EX Nie zatwierdzono Brak oferowanego Brak oferowanego zatwierdzonego dla kwalifikujących się instytucji USA (27 lipca 2005 r. Pismo o braku działania ze strony SEC wydane dla Eurex) GermanyEurex DJ Banks Titans 30 Brak zatwierdzenia Brak oferowanego Brak oferowanego Brak oferowanego GermanyEurex DJ Ubezpieczenie Titans 30 Nie zatwierdzono Brak oferowanego Brak oferowanego Brak oferowane NiemcyEurex DJ Oil and Gas Titans 30 Brak zatwierdzenia Brak oferowanych Brak oferowanych Brak dostępnych ofert Definicje Definicquo i dla innych objaśniających US Institutionrdquo and ldquo Option informacje, proszę zapoznać się z końcami pod koniec tej tabeli. 9 CountryExchange Bazowe kontrakty futures Opcje kontraktów futures Opcje kapitałowe Opcje ETF NiemcyEurex DJ Telekomunikacja Titans 30 Nie zatwierdzony Brak oferowanego Brak oferowanego Brak oferowanego GermanyEurex DJ Utilities Titans 30 Nie zatwierdzony Brak oferowanego Brak oferowane Brak oferowanego GermanyEurex Dow Jones Euro STOXX 50 Approved for sale to US Osoby (6 kwietnia 2000 r. Pismo o bezczynności CFTC wydane dla Eurex) 3 Nie oferowano zatwierdzonego dla kwalifikujących się instytucji amerykańskich (27 lipca 2005 r. Pismo o braku działania ze strony SEC wydane dla Eurex) Brak oferowany GermanyEurex Dow Jones Euro STOXX 50 Dywidenda Nie zatwierdzony Brak zatwierdzenia Nic nie zaoferowano Brak oferowane NiemcyEurex Dow Jones Euro STOXX 50 EX Nie zatwierdzono Brak oferowany Brak zatwierdzenia Zatwierdzony dla odpowiednich instytucji USA (27 lipca 2005 r. Pismo o braku działania SEC wydane dla Eurex) NiemcyEurex Dow Jones Euro STOXX Sektor bankowy Nie zatwierdzony8 Nieoferowany Nie zatwierdzony Brak oferowane NiemcyEurex Dow Jones Euro STOXX Wybierz Dividend 30 Zatwierdzony do sprzedaży osobom z USA (sierpień 18 kwietnia 2008 r. Brak aktu CFTC wydane dla Eurex) Brak oferowanych Brak zatwierdzenia Brak oferty NiemcyEurex Dow Jones Global Titans 50 Zatwierdzony do sprzedaży osobom z USA (18 lipca 2002 r. Bezczynność CFTC wydana dla Eurex) Brak oferty Zatwierdzono dla kwalifikującego się USA Instytucje (27 lipca 2005 r. SEC bezczynności list wydany dla Eurex) Żadne oferty NiemcyEurex Dow Jones Global Titans 50 Index (oznaczone w USA) Zatwierdzone do sprzedaży osobom z USA (certyfikat z dnia 5 czerwca 2017 r.) Brak oferenta Brak oferowanych ofert Brak definicji z ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające, proszę zapoznać się z końcami pod koniec tej tabeli. 10 CountryExchange Bazowe kontrakty futures Opcje kontraktów futures Opcje kapitałowe Opcje ETF NiemcyEurex Dow Jones Włochy Titans 30 Zatwierdzone do sprzedaży dla osób z USA (23 listopada 2005 r. Komunikat o braku akcji CFTC wydany dla Eurex) Brak oferowany Brak zatwierdzenia Brak oferowany GermanyEurex Dow Jones STOXX 50 Zatwierdzone do sprzedaży dla Osób z USA (6 kwietnia 2000 r. Dokument bezczynny CFTC wydany dla Eurex) 3 Brak oferowanej aprobaty dla kwalifikujących się instytucji USA (27 lipca 2005 r. Pismo o braku działania ze strony SEC wydane dla Eurex) Żadne oferowane NiemcyEurex Dow Jones STOXX 600 Zatwierdzone na sprzedaż dla Osób z USA (18 czerwca 2007 r. Bezczynny pismo CFTC wydane dla Eurex) Brak oferowany Brak zatwierdzenia Brak oferowany GermanyEurex Dow Jones STOXX 600 Sektor bankowy zatwierdzony do sprzedaży dla Osób z USA (2 kwietnia 2002 r. Pismo bezczynne CFTC wydane Eurex) Brak oferowanych Brak certyfikatu Brak oferowanych usług GermanyEurex Dow Jones STOXX 600 Industrial Goods amp Usługi zatwierdzone do sprzedaży osobom z USA (6 lutego 2008 r. CFTC No-Action Letter wydane dla Eure x) Brak oferowany Brak zatwierdzenia Brak oferowany GermanyEurex Dow Jones STOXX 600 Ubezpieczenie zatwierdzone do sprzedaży dla osób z USA (6 lutego 2008 r. Komunikat o braku działań CFTC wydany dla Eurex) Nie oferowane Nie zaaprobowane Brak oferowane NiemcyEurex Dow Jones STOXX 600 Media Zatwierdzone na sprzedaż do Osoby USA (6 lutego 2008 r. Brak działającego aktu CFTC wydane dla Eurex) Brak oferowanych Brak zatwierdzenia Brak oferty Definicje ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w końcach pod koniec tej tabeli. 11 CountryExchange Bazowe kontrakty futures Opcje kontraktów terminowych Opcje kapitałowe Opcje ETF NiemcyEurex Dow Jones STOXX 600 Osobisty sprzęt AGD zatwierdzony do sprzedaży dla osób z USA (6 lutego 2008 r. Komunikat o braku działań CFTC wydany dla Eurex) 7 Nie oferowane Nie zatwierdzone Brak oferowane NiemcyEurex Dow Jones STOXX 600 Retail Nie zatwierdzono Brak oferowano Brak zatwierdzenia Brak oferowanego GermanyEurex Dow Jones STOXX 600 Travel amp Zatwierdzony na sprzedaż dla osób w USA (6 lutego 2008 r. Dokument bezczynny CFTC wydany dla Eurex) Brak oferowany Brak zatwierdzenia Brak oferowany GermanyEurex Dow Jones STOXX 600 Narzędzia zatwierdzone do sprzedaży dla Osób z USA (6 lutego 2008 r. Pismo bezczynne CFTC wydane dla Eurex) Nie oferowane Nie zaaprobowane Brak oferowane NiemcyEurex Dow Jones STOXX Duże 200 zatwierdzone do sprzedaży dla osób z USA (6 lutego 2008 CFTC bezczynności Pismo wydane dla Eurex) Brak oferowane Brak zatwierdzenia Brak oferowany GermanyEurex Dow Jones STOXX Mid 200 Approved for sale to US Persons (18 czerwca 2007 C FTC No-Action List wydany dla Eurex) Brak Oferent nie zatwierdzony Brak oferenta NiemcyEurex Dow Jones STOXX Małe 200 Zatwierdzone do sprzedaży osobom z USA (6 lutego 2008 r. CFTC No-Action Letter wydane Eurexowi) Brak oferowanych Brak oceny Brak oferowanych GermanyEurex Euro STOXX Zatwierdzone do sprzedaży dla osób z USA (certyfikacja z 5 czerwca 2017 r.) Żadne oferowane Nie zatwierdzone Brak oferowany Definicje ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w notach końcowych na końcu tej tabeli. 12 Krajowe Porozumienia Kontraktów Futures na Bazie Opcje Opcje Kontraktów Futures Opcje na akcje Opcje ETF GermanyEurex Euro STOXX 50 Ex Indeksy Finansowe Zatwierdzony do sprzedaży osobom z USA (certyfikat 27 sierpnia 2017 r.) Brak oferty Brak zatwierdzenia Brak oferty NiemcyEurex Euro STOXX Large Zatwierdzony do sprzedaży osobom z USA ( 5 czerwca 2017 certyfikat) Oferowane Oferowane przez nas brak Notatka Brak oferenta GermanyEurex Euro STOXX Mid Zatwierdzone do sprzedaży do USA Osoby (5 czerwca 2017 certyfikat) Brak oferenta Brak certyfikatu Brak oferenta NiemcyEurex Euro STOXX Small Zatwierdzone do sprzedaży na rzecz Osób USA (5 czerwca 2017 certyfikat) Oferowane przez nas brak Brak certyfikatu Brak oferowane NiemcyEurex HEX 25 Fiński Nie zatwierdzono Nie oferowano Zatwierdzono dla kwalifikujących się instytucji amerykańskich (27 lipca 2005 r. SEC bezczynności list wydany dla Eurex) Brak oferenta NiemcyEurex iShares DJ EURO STOXX Brak oferowanych Oferent Brak oferenta Zatwierdzony Kwalifikujące się instytucje amerykańskie (27 lipca 2005 r. Pismo o braku działania ze strony SEC wydane dla Eurex) GermanyEurex KOSPI 200 Opcje6 Nie zatwierdzone Oferowane przez Nie oferowane Brak zatwierdzenia Brak oferenta NiemcyEurex MDAX Zatwierdzone do sprzedaży osobom z USA (14 marca 2006 r. CFTC No-Action Letter wydane dla Eurex) Brak oferowanych Brak potwierdzenia Brak oferowanych GermanyEurex Mini Euro STOXX 50 Indeks zmienności Zatwierdzony do sprzedaży osobom z USA (Certyfikat z dnia 20 lipca 2017 r.) Brak oferenta Brak zatwierdzenia Brak oferenta Znaczenie definicji ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w końcach pod koniec tej tabeli. 13 CountryExchange Bazowe kontrakty futures Opcje kontraktów terminowych Opcje kapitałowe Opcje ETF NiemcyEurex MSCI Wszystkie kraje Azja i Pacyfik ex-Japonia Zatwierdzone do sprzedaży dla osób w USA (17 czerwca 2017 certyfikacja) Żadne oferowane Nie zatwierdzone Brak oferowane NiemcyEurex MSCI Chiny Bezpłatne zatwierdzone do sprzedaży dla USA Osoby (4 lutego 2017 r.) Brak oferowanych Oferent Brak oferenta NiemcyEurex MSCI Rynki wschodzące Zatwierdzone do sprzedaży dla Osób USA (4 lutego 2017 r.) Brak Oferent nie zatwierdzony Brak oferenta NiemcyEurex MSCI Emerging Markets Azja Zatwierdzony do sprzedaży osobom z USA (luty 4, 2017) Brak oferowanych Brak certyfikatu Brak oferenta NiemcyEurex MSCI rynki wschodzące EMEA Zatwierdzone do sprzedaży dla Osób USA (4 lutego 2017 r.) Brak oferowanych Brak certyfikatu Brak oferenta NiemcyEurex MSCI Rynki wschodzące Ameryka Łacińska Zatwierdzona na sprzedaż dla Osób USA (luty 4 , Certyfikat 2017) Brak oferowanych Brak certyfikatu Brak oferenta GermanyEurex MSC I Europa zatwierdzona do sprzedaży dla osób w USA (certyfikat z 17 czerwca 2017 r.) Nie oferowano Nie zatwierdzono Brak oferowane NiemcyEurex MSCI Europa Wzrost zatwierdzony do sprzedaży dla osób w USA (certyfikat z 4 lutego 2017 r.) Brak oferowany Brak zatwierdzenia Brak oferowany GermanyEurex MSCI Europe Value Approved for sprzedaż do USA (certyfikacja 4 lutego 2017 r.) Brak oferowana Brak zatwierdzenia Brak oferowany NiemcyEurex MSCI Indie Zatwierdzone do sprzedaży dla osób z USA (certyfikacja z 4 lutego 2017 r.) Brak oferowane Brak oferowanych Brak dostępnych ofert Definicje Standardowych instytucji amerykańskich i prywatnych w odniesieniu do innych informacji objaśniających, proszę zapoznać się z końcami pod koniec tej tabeli. 14 CountryExchange Bazowe kontrakty futures Opcje kontraktów terminowych Opcje kapitałowe Opcje ETF NiemcyEurex MSCI Japonia Zatwierdzone do sprzedaży dla osób w USA (certyfikat z 17 czerwca 2017 r.) Brak oferty Brak oferowanych Brak oferowanych NiemiecEurex MSCI Malaysia Zatwierdzone do sprzedaży dla osób z USA (certyfikat z 4 lutego 2017 r. ) Oferowane ogłoszenia brak oferty brak oferty GermanyEurex MSCI Afryka Południowa Wystawione na sprzedaż Stany Zjednoczone Osoba (4 lutego 2017 r.) Brak oferowanych Oferent Brak oferenta NiemcyEurex MSCI Thailand Zatwierdzony (a) Brak informacji Sprzedający Brak certyfikatu Brak Oferowane NiemcyEurex MSCI World Zatwierdzone do sprzedaży osobom z USA (certyfikat z dnia 17 czerwca 2017 r.) Brak oferenta Brak zatwierdzenia Brak oferenta NiemcyEurex Inne Dow Jones Euro Sektory STOXX Not approved Brak oferowanych Brak certyfikatu Brak oferenta NiemcyEurex Inne Dow Jones STOXX 600 Sektory rynku Brak zatwierdzenia Brak oferowane Nie zatwierdzone Żaden oferowany NiemcyEurex RDX USD12 Brak aprobaty ed Brak oferowany Brak zatwierdzenia Brak oferowany GermanyEurex Jednoprocentowe akcje Nie zatwierdzono Brak oferowano Zatwierdzono dla opcji na pojedyncze akcje niemieckie, szwajcarskie, fińskie, holenderskie, włoskie i francuskie5 dla kwalifikujących się instytucji amerykańskich (27 lipca 2005 r. Pismo o braku działania ze strony SEC wydane dla Eurex ) Brak oferowanych Dla definicji ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające, proszę zapoznać się z końcami pod koniec tej tabeli. 15 CountryExchange Bazowe kontrakty futures Opcje kontraktów terminowych Opcje kapitałowe Opcje ETF NiemcyEurex SLI Szwajcarski lider zatwierdzony do sprzedaży dla osób z USA (18 sierpnia 2008 r. Dokument bezczynny CFTC wydany dla Eurex) Nie oferowane Nie zaaprobowane Brak oferowane NiemcyEurex STOXX Europe 600 Approved na sprzedaż do USA Osobowe (5 czerwca 2017) Brak certyfikatu Brak certyfikatu Brak oferowanych usług GermanyEurex STOXX Europe Large 200 Zatwierdzone do sprzedaży osobom z USA (certyfikat z 05 czerwca 2017) Brak oferowanych Brak certyfikatu Brak oferowanych oferentów GermanyEurex STOXX Europe Mid 200 Approved to sell to US Osoby (5 czerwca 2017) Brak certyfikatu Brak certyfikatu Nie podano GermanyEurex STOXX Europe Small 200 Zatwierdzone do sprzedaży dla USA Osoby (certyfikat Czerwiec 5, 2017) Brak oferowanych Brak certyfikatu Brak oferenta NiemcyEurex Swiss Market Nie zatwierdzono Nie oferowano Zatwierdzono dla kwalifikujących się instytucji amerykańskich (27 lipca 2005 r. Pismo wydane przez sekretarza SEC do Eurex) zatwierdzone do kwalifikujących się instytucji amerykańskich (27 lipca 2005 r.) , Pismo z niepowodzeniem z 2005 r. Skierowane do Eurex) GermanyEurex Swiss Market Index Midcap (SMIM) Zatwierdzony do sprzedaży osobom z USA (18 sierpnia 2008 r. Brak aktu CFTC wydane Eurexowi) Brak oferty Brak zatwierdzenia Brak oferty GermanyEurex TECDAX Zatwierdzona na sprzedaż dla Osób z USA (18 sierpnia 2008 r. pismo o bezczynności CFTC wydane dla Eurex) Żadne z ofert nie zostało zatwierdzone dla kwalifikujących się instytucji amerykańskich (27 lipca 2005 r. Pismo o braku działania ze strony SEC wydane dla Eurex) Brak oferowany Definicje ldquoEligible US Institutionrdquo and ldquoEligible Optionrdquo oraz inne informacje objaśniające, proszę zapoznać się z końcami pod koniec tej tabeli. 16 CountryExchange Bazowe kontrakty futures Opcje kontraktów terminowych Opcje kapitałowe Opcje ETF Grecja Rynek instrumentów pochodnych FTSEASE 20 Nie zatwierdzony Brak ofert Brak zatwierdzenia Brak oferowany w Grecji Rynek instrumentów pochodnych FTSEASE Mid-40 Brak zatwierdzenia Brak ofert Brak zatwierdzenia Brak ofert Hong KongHong Kong Exchanges and Clearing Ltd (HKEX) CES China 120 zatwierdzone do sprzedaży dla osób z USA (17 września 2017 certyfikacja) Brak oferowane Brak oferowane Żaden z oferowanych Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) DJIA Brak zatwierdzenia Brak oferowanych Brak oferowanych Żadnych ofert Hong KongHong Kong Exchange i Clearing Ltd. (HKEX) FTSEXinhua Chiny 25 Zatwierdzone do sprzedaży osobom z USA (26 września 2006 r. CFTC No-Action Letter wydane do HKFE) Brak oferowanych Brak certyfikatu Brak oferty Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Hang Seng Approved na sprzedaż osobom z USA (1 czerwca 1994 r. CFTC No-Action Letter wydanym dla HKFE) 3 Brak oferty Zatwierdzono dla kwalifikującego się USA I (notatka prasowa z dnia 26 września 1995 r. SEC bezczynności wydana na HKFE) Brak oferowanych Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSCEI Indeks dywidendowy nie zatwierdzony Brak oferowanego Brak oferenta Brak oferenta Hong KongHong Kong Exchanges and Clearing Ltd. ) H-Shares (indeks Hang Seng China Enterprises) zatwierdzony do sprzedaży dla osób z USA (26 września 2006 r. Pismo o bezczynności CFTC wydane HKFE) Brak oferowany Brak zatwierdzenia Brak oferowany Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSI Volatility Indeks (VHSI) Zatwierdzony do sprzedaży dla osób z USA (17 września 2017 r. Certyfikacja) Brak oferowany Brak oferowany Brak oferowany Dla definicji Jednostki amerykańskiej Instytucjonalne i Prawodawcze oraz dla innych informacji objaśniających, zobacz przypisy końcowe na końcu tej tabeli. 17 Kontrakty terminowe dla kontraktów futures na akcje Opcje na kontrakty futures Opcje na akcje Opcje ETF Hong Konghong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng Zatwierdzone na sprzedaż amerykańskim osobom (16 stycznia 2009 r. CFTC No-Action Letter wydane dla HKFE) zatwierdzone Brak oferty Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng China Enterprises Index Zatwierdzony do sprzedaży dla Osób USA (16 stycznia 2009 r. CFTC No-Action Letter wydany do HKFE) Brak Oferowanych Brak zatwierdzenia Brak oferowanych WęgryBudapest Stock Exchange BUX Brak zatwierdzenia Brak oferowanego Brak oferowanego Brak Oferowane India Giełda Papierów Wartościowych w Brazylii (BSE) Indeks wrażliwy BSE 30 Zapasów (Sensex) 9 Zatwierdzona do sprzedaży dla Osób z USA (14 czerwca 2006 r. Pismo o Bezczynności CFTC wydane dla BSE) Brak oferowany Brak zatwierdzenia Brak oferowany Giełda w IndiachBombay (BSE) DOLLEX-309 Nie zatwierdzono Brak oferowano Brak zatwierdzenia Brak oferowanej Giełdy w IndiachBombańska (BSE) SampP BSE 1009 Zatwierdzona na sprzedaż dla osób z USA (wrzesień Certyfikacja 24, 2017) Brak oferowany Brak zatwierdzenia Brak oferowany IndiaNational Stock Exchange of India Ltd. (NSE) Bank Nifty9 Nie zatwierdzono Brak oferowany Brak zatwierdzenia Brak oferowany IndiaNational Stock Exchange of India Ltd. (NSE) CNXIT9 Brak zatwierdzenia Brak oferowany Brak zatwierdzenia Brak oferowanych Indiańska Giełda Papierów Wartościowych w Indiach Ltd. (NSE) SampP CNX Nifty (ldquoNifty 50rdquo) 9 Zatwierdzona do sprzedaży dla osób z USA (17 października 2003 r. Pismo bezczynności CFTC wydane NSE) Brak oferowany Brak zatwierdzenia Brak oferowany Definicje LdquoFirma USA Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające znajdują się w przypisach końcowych na końcu tej tabeli. 18 Kontrakty terminowe na krajowy kurs walutowy Opcje na kontrakty terminowe Opcje na akcje Opcje ETF Wymiany Irlandii Giełda Papierów Wartościowych Jedna nazwa akcji Brak oferowanych Oferowanych Ofert Brak Oferent nie zatwierdzony4 Brak oferty IsraelTel Giełda Papierów Wartościowych w Avivu 25 Nie zatwierdzono Oferent Oferent Brak zatwierdzenia Brak ofert IsraelTel Aviv Stock Exchange TA Banki Brak zatwierdzenia Brak oferowane Nie zatwierdzono Nie zgłoszono WłochyBorsa Italiana ndash IDEM FTSE MIB Dywidenda Zatwierdzenie w toku Brak oferowanego Brak oferowanego Brak oferowane WłochyBorsa Italiana ndash IDEM FTSE MIB4 Dopuszczony do sprzedaży dla Osób z USA (30 sierpnia 2004 r. Pismo bezczynne CFTC wydane dla Borsa Italiana) Żadne oferowane Zatwierdzone dla upoważnionych instytucji amerykańskich (24 września 2004 r. Brak aktu wydanego na rzecz Borsy Italiana) Żadne zaoferowane WłochyBorsa Italiana ndash IDEM Mini FTSE MIB Zatwierdzone na sprzedaż osobom z USA (30 sierpnia 2004 r. Brak aktu CFTC wydane na rzecz Borsy Italiana) Brak Oferowanych Oferent Brak ItalyBorsa Italiana ndash IDEM Jedna nazwa akcje Nie dotyczy nie oferowane Zatwierdzono dla kwalifikujących się instytucji amerykańskich (zobacz List Akcji z dnia 1 września 1998 r. SEC skierowany do Borsy Italiana w odniesieniu do opcji na poszczególnych akcjach ISE) 4,5 Brak oferty na JapanOsaka Exchange (OSE) 16 DJIA Zatwierdzona do sprzedaży osobom z USA (Certyfikat 15 czerwca 2017) Brak oferenta Brak oferenta Brak oferenta Do definicji ldquoEligible US Institutionrdquo i ldquoEligible Optionrdquo oraz inne informacje objaśniające, patrz koniec końcowy na końcu tej tabeli. 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives FTSE 100 Approved for sale to U. S. Persons (August 28, 2017 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, 2017 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, 2017 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, 2017) 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, 2017. 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, 2017) 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. copy2017 Katten Muchin Rosenman LLP. Wszelkie prawa zastrzeżone. 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, 2017. 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. Treść tego artykułu ma na celu przedstawienie ogólnych wskazówek dotyczących przedmiotu. Należy zasięgnąć specjalistycznej porady dotyczącej konkretnych okoliczności. Aby wydrukować ten artykuł, wystarczy zarejestrować się na stronie Mondaq. Kliknij, aby zalogować się jako istniejący użytkownik lub Zarejestruj, aby móc wydrukować ten artykuł. 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, 2018 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. United States. Foreign Listed Stock Index Futures and Options Approvals Chart Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of February 15, 2017. All prior versions are superseded and should be discarded. Please note the following developments since we distributed the last Approvals Chart: The CFTC has approved (i) Taiwan Futures Exchange39s futures contract based on the GreTai Securities Market Capitalized Weighted Stock Index, and (ii) Singapore Exchange Derivatives Trading Limited39s futures contracts based on the FTSE China A50 Index and the MSCI Asia APEX 50 Index for trading by U. S. Persons. The CFTC also reports that Osaka Securities Exchange has applied for expedited review of its Nikkei Stock Average Volatility Index futures contract and that Singapore Exchange Derivatives Trading Limited has applied for expedited review of its SGX Euro Stoxx 50 Index futures contract. The Eurex futures contracts based on (i) the Dow Jones Euro STOXX Banking Sector Index are no longer tradable on Eurex trading terminals in the U. S. pursuant to Eurex circular 26011, and (ii) the Dow Jones STOXX 600 Personal Household Goods Index will no longer be tradable on Eurex trading terminals in the U. S. after the close of business on February 29, 2017, pursuant to Eurex circular 28111. The SEC has not approved any new foreign equity index options since we last distributed the Approvals Chart. To read the updated Foreign Listed Stock Index Futures and Options Approvals Chart, please click here. Treść tego artykułu ma na celu przedstawienie ogólnych wskazówek dotyczących przedmiotu. Należy zasięgnąć specjalistycznej porady dotyczącej konkretnych okoliczności. Aby wydrukować ten artykuł, wystarczy zarejestrować się na stronie Mondaq. Kliknij, aby zalogować się jako istniejący użytkownik lub Zarejestruj, aby móc wydrukować ten artykuł. 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, 2018 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 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 2017 Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2017. 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 2017) 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, 2017 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, 2017 certification) None offered None offered None offered Brazil BMampF Bovespa S. A. MICEX Approved for sale to U. S. Persons (March 12, 2017 certification) None offered None offered None offered Brazil BMampF Bovespa S. A. Hang Seng Approved for sale to U. S. Persons (March 12, 2017 certification) Not approved Not approved None offered Brazil BMampF Bovespa S. A. FTSEJSE Top 40 Approved for sale to U. S. Persons (March 12, 2017 certification) Not approved Not approved None offered Brazil BMampF Bovespa S. A. BSE Sensitive Approved for sale to U. S. Persons (March 12, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Emerging Markets Approved for sale to U. S. Persons (February 4, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets Asia Approved for sale to U. S. Persons (February 4, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets EMEA Approved for sale to U. S. Persons (February 4, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Emerging Markets Latin America Approved for sale to U. S. Persons (February 4, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Europe Approved for sale to U. S. Persons (June 17, 2017 certification) None offered Not Approved None offered GermanySwitzerland Eurex MSCI Europe Growth Approved for sale to U. S. Persons (February 4, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI Europe Value Approved for sale to U. S. Persons (February 4, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex MSCI India Approved for sale to U. S. Persons (February 4, 2017 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Japan Approved for sale to U. S. Persons (June 17, 2017 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, 2017 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI South Africa Approved for sale to U. S. Persons (February 4, 2017 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI Thailand Approved for sale to U. S. Persons (February 4, 2017 certification) None offered None offered None offered GermanySwitzerland Eurex MSCI World Approved for sale to U. S. Persons (June 17, 2017 certification) None offered Not Approved None offered GermanySwitzerland Eurex STOXX Europe 600 Approved for sale to U. S. Persons (June 5, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Large 200 Approved for sale to U. S. Persons (June 5, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Mid 200 Approved for sale to U. S. Persons (June 5, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex STOXX Europe Small 200 Approved for sale to U. S. Persons (June 5, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Approved for sale to U. S. Persons (June 5, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Large Approved for sale to U. S. Persons (June 5, 2017 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, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX Small Approved for sale to U. S. Persons (June 5, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex Mini Euro STOXX 50 Volatility Index Approved for sale to U. S. Persons (July 20, 2017 certification) None offered Not approved None offered GermanySwitzerland Eurex Euro STOXX 50 Ex Financials Index Approved for sale to U. S. Persons (August 27, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 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, 2017 certification) None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2017 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, 2017 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, 2017 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, 2017. 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. copy2017 Katten Muchin Rosenman LLP. Wszelkie prawa zastrzeżone. 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.
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