United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2003_register executive 2010-11-30 article Part III Rules and Regulations D09002ee1c818760b D09002ee1c81876d2 United States Securities and Exchange Commission originator org United States Government Agency or Subagency We are adopting new exemptions under the Securities Act of 1933 and the Securities Exchange Act of 1934 for most standardized options. The rules adopted today exempt standardized options issued by registered clearing agencies and traded on a registered national securities exchange or a registered national securities association from all provisions of the Securities Act, other than the section 17 antifraud provision, as well as the Exchange Act registration requirements. The rules also clarify that a security futures product that is cleared by a registered clearing agency or that is exempt from registration and traded on a registered national securities exchange or a registered national securities association is exempt from the registration requirements of Exchange Act section 12(g). The rules ensure comparable regulatory treatment of standardized options and security futures products. 68 FR 188 https://www.govinfo.gov/app/details/FR-2003-01-02/02-32912 02-32912 fr02ja03-31 RIN 3235-AI55 8010-01-P Release Nos. 33-8171 34-47082 File No. S7-29-02 https://www.govinfo.gov/app/details/FR-2003-01-02/02-32912 https://www.govinfo.gov/content/pkg/FR-2003-01-02/html/02-32912.htm https://www.govinfo.gov/content/pkg/FR-2003-01-02/pdf/02-32912.pdf Reporting and Recordkeeping Requirements Securities 6 p. 188 193 68 FR 188 Title 17 Part 230 17 CFR Part 230 Title 17 Part 240 17 CFR Part 240 RIN 3235-AI55 Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934; Federal Register Vol. 68, Issue RULE 02-32912 III SECURITIES AND EXCHANGE COMMISSION 2003-01-02 Release Nos. 33-8171 34-47082 File No. S7-29-02 8010-01-P 02-32912 Final rule.

We are adopting new exemptions under the Securities Act of 1933 and the Securities Exchange Act of 1934 for most standardized options. The rules adopted today exempt standardized options issued by registered clearing agencies and traded on a registered national securities exchange or a registered national securities association from all provisions of the Securities Act, other than the section 17 antifraud provision, as well as the Exchange Act registration requirements. The rules also clarify that a security futures product that is cleared by a registered clearing agency or that is exempt from registration and traded on a registered national securities exchange or a registered national securities association is exempt from the registration requirements of Exchange Act section 12(g). The rules ensure comparable regulatory treatment of standardized options and security futures products.

The rules are effective January 2, 2003. N. Sean Harrison, Special Counsel, Office of Rulemaking, Division of Corporation Finance at (202) 942- 2910, at the Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-0312. Reporting and Recordkeeping Requirements Securities Securities, etc.: Securities Exchange Act; registration requirements and exemption for standardized options, www.optionsclearing.com www.sec.gov Vol. 68, no. 1 Office of the Federal Register, National Archives and Records Administration 2003-01-02 continuing daily deposited born digital 261 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2003-01-02 P0b002ee180b652bc 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr02ja03 https://www.govinfo.gov/app/details/FR-2003-01-02 https://www.govinfo.gov/content/pkg/FR-2003-01-02/pdf/FR-2003-01-02.pdf https://www.govinfo.gov/content/pkg/FR-2003-01-02/xml/FR-2003-01-02.xml fdlp 1 254 DGPO 2010-11-30 2024-06-07 FR-2003-01-02 machine generated eng FR FR-2003-01-02 68 1