Utenlandske børsnoterte futures og opsjoner Godkjenning For å se denne artikkelen trenger du en PDF-visningsprogram som Adobe Reader. European Union, USA 16. april 2014 Vedlagt finner du den oppdaterte liste over fremtidige og indekserte aksjerindekser og valgtyper, som er gjeldende fra 16. april 2014. Alle tidligere versjoner er erstattet og bør kasseres. Vennligst merk følgende utviklinger siden vi sist distribuerte godkjenningstallet: (1) CFTC har godkjent følgende kontrakter for handel av amerikanske personer: (i) Eurexrsquos terminkontrakt basert på MSCI China Free Index (ii) Eurexrsquos terminkontrakt basert på MSCI Emerging Markets Asia Index (iii) Eurexrsquos futures kontrakt basert på MSCI Emerging Markets EMEA Index (iv) Eurexrsquos futures kontrakt basert på MSCI Emerging Markets Index (v) Eurexrsquos futures kontrakt basert på MSCI Emerging Markets India Index (vi) Eurexrsquos futures kontrakt basert på MSCI Emerging Markets Latin America Index (vii) Eurexrsquos futures kontrakt basert på MSCI Europe Vekstindeks (viii) Eurexrsquos futures kontrakt basert på MSCI Europe Value Index (ix) Eurexrsquos futures kontrakt basert på MSCI Malaysia Index (x) Eurexrsquos futures kontrakt basert på MSCI South Africa Index (xi) Eurexrsquos futures kontrakt basert på MSCI Thailand Index (xii) SGX-DT rsquos futures kontrakt basert på MSCI India Index (xiii) SGX-DTrsquos futures kontrakt basert på MSCI Philippines Index (xiv) SGX-DTrsquos futures kontrakt basert på MSCI Thailand Index (xv) Euronext LIFFErsquos britisk pund sterling-denominert futures kontrakt pund2 per indekspoeng) basert på FTSE 250 Indeks og (xvi) Euronext LIFFErsquos Euro-denominerte futureskontrakt basert på MSCI Europe Index. (2) SEC har ikke godkjent nye opsjoner for utenlandske aksjeindekser siden vi sist distribuerte godkjenningsdiagrammet. (3) I tillegg er diagrammet blitt modifisert for å notere tilgjengeligheten av Bclear-tjenesten som tilbys av LIFFE, som tillater LIFFE-medlemmer som oppfyller spesifiserte kriterier for å fjerne visse ikke-amerikanske aksje - og indeksalternativer som ble utført over disken på vegne av av kvalifiserte amerikanske institusjoner. Vennligst se fotnote 4 for ytterligere informasjon. For definisjonen av ldquoEligible U. S. Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 1 Utenlandske børsnoterte aksjeindekser og opsjoner Godkjenninger (april 2014) Landutveksling Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF opsjoner AustraliaASXASX Futures Exchange SampPASX 50 Godkjent for salg til amerikanske personer (24. juli 2002 No Action Letter utstedt til ASX Futures Exchange ) Ingen tilbys Godkjent for berettigede amerikanske institusjoner bare 13. august 2007 SEK Ikke-handlingsbrev utstedt til ASX Limited) Ingen tilbudt AustraliaASXASX Futures Exchange Enkeltnavn aksjer Ingen tilbudt Ingen tilbys Godkjent for kvalifiserte amerikanske institusjoner bare 13. august 2007 SEK-nr. Handlingsbrev utstedt til ASX Limited) Ingen tilbudt AustraliaASXASX Futures Exchange SampPASX 200 Godkjent for salg til amerikanske personer (24. juli 2002 No-Action Letter utstedt til ASX Futures Exchange) Ingen tilbudt Godkjent for kvalifiserte amerikanske institusjoner bare (13. august 2007 SEK Nei - Aksjonsbrev utstedt til ASX Limited) Ikke godkjent AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Ikke godkjent Ingen offere d Godkjent for berettigede amerikanske institusjoner (13. august 2007 SEC-handlingsbrev utstedt til ASX Limited) Ingen tilbudt AustraliaSydney Futures Exchange (SFE) SPI 200 Godkjent for salg til amerikanske personer (10. august 1999 No Action Letter utstedt til SFE ) Godkjent for salg til amerikanske personer (10. august 1999, ikke-handlingsbrev utstedt til SFE) Ikke godkjent Ingen tilbudt AustraliaSydney Futures Exchange (SFE) 1-dagers opsjonskontrakt basert på CBOT Mini-Sized Dow Futures Kontrakt Ingen tilbudt Godkjent for salg til amerikanske personer (8. august 2006 ikke-handlingsbrev utstedt til SFE) Ingen tilbudt Ingen tilbudt AustriaWiener Borse ATX Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 2 CountryExchange Underliggende Futures Kontrakter Optioner på Futures Kontrakter Egenkapitaloptioner ETF Valg ØsterrikeViener Borse Russisk Handlet Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt ØsterrikeWiener Borse CECE Indekser (CEX, CTX, HTX, PTX) Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt AustriaWiener Borse Enkelt navn aksjer Ingen tilbudt Ingen tilbudt Ikke godkjent4 Ingen tilbudt BelgiumEuronext Brussels BEL 20 Godkjent for salg til amerikanske personer (31. august 2011 Ingen handlingsbrev utstedt til Euronext Brussels) Ingen tilbudt Ikke godkjent4 Ingen tilbudt BelgiumEuronext Brussels Mini BEL 20 (indeksdeltakere) Ingen tilbudt Ingen tilbudt Ikke godkjent Ingen tilbudt BelgiumEuronext Brussels Mini Dow Jones Euro STOXX (indeksdeltakere) Ingen tilbudt Ingen tilbudt Ikke godkjent Ingen tilbudt BelgiumEuronext Brussels Enkeltnavn aksjer Ikke godkjent Ingen tilbudt Ikke godkjent4 Ingen tilbudt Brasil BMampF Bovespa SA Ibovespa Godkjent for salg til USA Personer (26. august 2009 No-Acti på brev utstedt til BMampF Bovespa SA) 2 Godkjent for salg til amerikanske personer (26. august 2009 Ingen handlingsbrev utstedt til BMampF Bovespa SA) Ikke godkjent Ingen tilbudt Brasil BMampF Bovespa SA Ibovespa Flex Ingen tilbudt Ingen tilbudt Ikke godkjent Ingen tilbudt Brasil BMampF Bovespa SA Mini Ibovespa Godkjent for salg til amerikanske personer (26. august 2009 Ingen handlingsbrev utstedt til BMampF Bovespa SA) Ingen tilbudt Ingen tilbudt Ingen tilbudt Brasil BMampF Bovespa SA IBrX 50 Indeks Futures Kontrakt Godkjenning Venter Ikke godkjent Ikke godkjent Ingen tilbudt Til definisjon av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 3 CountryExchange Underliggende Futures Kontrakter Optioner på Futures Kontrakter Egenkapital Valg ETF Valg Brasil BMampF Bovespa SA SampP 500 Index Godkjent for salg til amerikanske personer (24. september 2012 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbudt Brasil BMampF Bovespa SA MICEX Godkjent for salg til amerikanske personer (12. mars 2013 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbudt Brasil BMampF Bovespa SA Hang Seng Godkjent for salg til amerikanske personer (12. mars 2013 sertifisering) Ikke godkjent Ikke godkjent Ingen tilbudt Brasil BMampF Bovespa SA FTSEJSE Topp 40 Godkjent for salg til USA Personer (12. mars 2013 sertifisering) Ikke godkjent Ikke godkjent Ingen tilbudt Brasil BMampF Bovespa SA BSE Sensitiv Godkjent for salg til amerikanske personer (12. mars 2013 sertifisering) Ikke godkjent Ikke godkjent Ingen tilbudt CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Canada 60 Godkjent til salgs til amerikanske personer (9. desember 1999 CFTC-handlingsbrev utstedt til Montreal Exchange) 3 Ingen tilbys Godkjent, inkludert godkjenning av alle andre indeksalternativer, til salg til amerikanske personer generelt som nå eller kanskje i fremtiden vil bli oppført (Post-Effective Amendment No. 27 til Registreringserklæring på Form S-20 arkivert av Canadian Derivatives Clearing Corp. SEC-fil nr. 2-69458) Ingen tilbudt For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 4 Landbytte Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF-opsjoner CanadaMontreal Exchange (Bourse de Montreacuteal) Enkeltnavn aksjer Ingen tilbudt Ingen tilbys Godkjent for alle opsjoner på enkelte verdipapirer notert på Montreal Exchange som nå eller kanskje i fremtiden skal listes for Salg til amerikanske personer generelt (Post-Effective Amendment No. 27 til Registreringserklæring på Form S-20 arkivert av Canadian Derivatives Clearing Corp. SEC Fil nr. 2-69458) Ingen tilbudt CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX 60 Index Mini Futures Godkjent for salg til amerikanske personer (19. april 2012-sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbudt CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSE 60 Indeksdeltagelsesfond (I60 Fund) Ingen tilbudt Ingen tilbudt Ingen tilbudt Godkjent for amerikanske personer generelt etter registrering Erklæring (se SampPTSX Canada 60 ovenfor) CanadaMontreal Exchange (Bourse de Montreacuteal) SampPT SX Capped Sector Ikke godkjent Ingen tilbudt Godkjent for USA Personer generelt i henhold til Registreringserklæring (se SampPTSX Canada 60 ovenfor) Ingen tilbudt CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Gold Index Fund Ingen tilbudt Ingen tilbudt Ingen tilbudt Godkjent for USA Personer generelt til registreringserklæringen (se SampPTSX Canada 60 ovenfor) For definisjonen av den lignerbare US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 5 Land Utveksling Underliggende Futures Kontrakter Optioner på Futures Kontrakter Egenkapitaloptioner ETF Valg CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Financials Index Fund Ingen tilbudt Ingen tilbudt Ingen tilbudt Godkjent for USA Personer generelt i henhold til registreringserklæring (se SampPTSX Canada 60 ovenfor) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Information Technology Index Fund Ingen tilbudt Ingen tilbudt Ingen tilbudt Godkjent for USA Personer generelt i henhold til registreringserklæring (se SampPTSX Canada 60 ovenfor) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Energy Index Fund Ingen tilbudt Ingen tilbys Ingen tilbys Godkjent for amerikanske personer generelt i henhold til registreringserklæring (se SampPTSX Canada 60 ovenfor) Kina (se også Hong Kong og Taiwan) Kinas finansielle futures Exchange CSI 300 Index Futures Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbudt DenmarkOMX Nordic Exchange Copenhagen AS Enkelt navn aksjer Ingen tilbudt Ingen tilbudt Ikke godkjent4,11 Ingen tilbudt DanmarkFUTOP Market KFX (LargeSmall Kontrakt) Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt FinlandOMX Nordisk børs Helsinki Enkeltnavn aksjer Ingen tilbudt Ingen tilbudt Ikke godkjent4,5 Ingen tilbys For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 6 Landbytte Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF Valg FranceEuronext Paris SA CAC40 Godkjent for salg til amerikanske personer (17. desember 1991 Handlingsbrev utstedt til ParisBourse) 3 Ingen tilbudt Godkjent for kvalifiserte amerikanske institusjoner bare 17. juli 1996 SEC-handlingsbrev utstedt til MONEP, bekreftet 6. desember 1999 SEC-handlingsbrev utstedt til ParisBourse) 4 Ingen tilbudt FranceEuronext Paris SA CAC40 Mini Godkjent for salg til amerikanske personer (13. september 2013 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbys FranceEuronext Paris SA Enkeltnavn aksjer Ikke godkjent Ingen tilbudt Godkjent for alle opsjoner på enkeltkapital verdipapirer som nå eller kanskje i fremtiden vil bli notert5 for Kun tilgjengelige amerikanske institusjoner (17. juli 1996 SEC No Action Letter utstedt til MONEP, bekreftet av 6 desember 1999 SEC-handlingsbrev utstedt til ParisBourse) 4 Ingen tilbudt FranceEuronext Paris SA Dow Jones STOXX 50 Godkjent for salg til US Press ons (29. februar 2000 CFTC-handlingsbrev utstedt til ParisBourse) 3 Ingen tilbudt Godkjent for støtteberettigede amerikanske institusjoner (26. oktober 1998 SEC-handlingsbrev utstedt til MONEP, bekreftet 6. desember 1999 SEKSN-handlingsbrev utstedt til ParisBourse) Ingen tilbys For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 7 Landbytte Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF Valg FrankrikeEuronext Paris SA Dow Jones Euro STOXX 50 Godkjent for salg til amerikanske personer (29. februar 2000 CFTC-handlingsbrev utstedt til ParisBourse) 3 Ingen tilbudt Godkjent kun for kvalifiserte amerikanske institusjoner (26. oktober, 1998, SEC-handlingsbrev utstedt til MONEP, bekreftet 6. desember 1999 SEC-handlingsbrev utstedt til ParisBourse) Ingen tilbudt FranceEuronext Paris SA Dow Jones STOXX 600 Sektorer (Bank, Energi, Helse, Teknologi, Telekommunikasjon) Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt FranceEuronext Paris SA FTSEurofirst 80 Godkjent for salg til amerikanske personer (5. mars 2007 CFTC-handlingsbrev utstedt til Euronext LIFFE på vegne av Euronext Paris SA) Ingen tilbudt Ingen tilbudt4 Ingen tilbudt FranceEuronext Paris SA FTSEurofirst 100 Godkjent for salg til amerikanske personer (5. mars 2007 CFTC No-Action Letter utstedt til Euronext LIFFE, på vegne av Euronext Paris S. A.) Ingen tilbudt Ingen tilbudt4 Ingen tilbudt FranceEuronext Paris SA FTSE EPRANAREIT Europe Godkjent for salg til amerikanske personer (10. juli 2008 CFTC-handlingsbrev utstedt til Euronext LIFFE på vegne av Euronext Paris SA) Ingen tilbudt Ingen tilbudt Ikke godkjent For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 8 Landutveksling Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF Valg FrankrikeEuronext Paris SA FTSE EPRANAREIT Euro Sone Godkjent for salg til amerikanske personer (10. juli 2008 CFTC-handlingsbrev utstedt til Euronext LIFFE, på vegne av Euronext Paris SA) Ingen tilbudt Ingen tilbudt Ikke godkjent TysklandSwitzerland Eurex DAX Godkjent for salg til amerikanske personer (20. desember 1994 CFTC-handlingsbrev utstedt til Deutsche Terminborse) 3 Ingen tilbudt Godkjent for støtteberettigede amerikanske institusjoner (27. juli 2005 SEC-handlingsbrev utstedt til Eurex ) Ingen tilbudt TysklandSwitzerland Eurex DAX EX Ikke godkjent Ingen tilbudt Ingen tilbys Godkjent for kvalifiserte amerikanske institusjoner (27. juli 2005 SEC-handlingsbrev utstedt til Eurex) TysklandSwitzerland Eurex Dow Jones Euro STOXX 50 Godkjent for salg til amerikanske personer (6. april, 2000 CFTC-handlingsbrev utstedt til Eurex) 3 Ingen tilbudt Godkjent for støtteberettigede amerikanske institusjoner (27. juli 2005 SEC-handlingsbrev utstedt til Eur eks) Ingen tilbudt TysklandSwitzerland Eurex Dow Jones Euro STOXX 50 Utbytte Ikke godkjent Ikke godkjent Ingen tilbudt Ingen tilbys TysklandSwitzerland Eurex Dow Jones STOXX 50 Godkjent for salg til amerikanske personer (6. april 2000 CFTC-handlingsbrev utstedt til Eurex) 3 Ingen tilbudt Godkjent Kun for støtteberettigede amerikanske institusjoner (27. juli 2005 SEC-handlingsbrev utstedt til Eurex) Ingen tilbudt TysklandSwitzerland Eurex Dow Jones Euro STOXX 50 EX Ikke godkjent Ingen tilbudt Ikke godkjent Godkjent for kvalifiserte amerikanske institusjoner (27. juli 2005 SEK Nei-handling Brev utstedt til Eurex) For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 9 Landbytte Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF Valg TysklandSwitzerland Eurex KOSPI 200 Alternativer6 Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbys TysklandSwitzerland Eurex Swiss Market Ikke godkjent Ingen tilbys Godkjent for kvalifiserte amerikanske institusjoner (27. juli 2005 SEC No Action Letter utstedt til Eurex) Godkjent for kvalifiserte amerikanske institusjoner (27. juli 2005 SEC-handlingsbrev utstedt til Eurex) TysklandSwitzerland Eurex SLI sveitsisk leder godkjent for salg til amerikanske personer (18. august 2008 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Swiss Market Index Midcap (SMIM) Godkjent for salg til amerikanske personer (18. august 2008 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones Global Titans 50 Godkjent for salg til amerikanske personer (18. juli 2002 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Godkjent for kvalifiserte amerikanske ins bare 27 juli 2005 SEC-handlingsbrev utstedt til Eurex) Ingen tilbudt TysklandSwitzerland Eurex Dow Jones Global Titans 50 Index (US Denominated) Godkjent for salg til amerikanske personer (5. juni 2012 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbys TysklandSwitzerland Eurex Dow Jones STOXX 600 Banksektoren Godkjent for salg til amerikanske personer (2. april 2002 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones STOXX Small 200 Godkjent for salg til amerikanske personer (6. februar, 2008 CFTC No Action Letter utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbys For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 10 Land Utveksling Underliggende Futures Kontrakter Optioner på Futures Kontrakter Egenkapital Valg ETF Valg TysklandSwitzerland Eurex Dow Jones STOXX Mid 200 Godkjent for salg til amerikanske personer (18. juni 2007 CFTC No Action Letter utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbys TysklandSwitzerland Eurex Dow Jones STOXX Large 200 Godkjent for salg til amerikanske personer (6. februar 2008 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones STOXX 600 Godkjent for salg til amerikanske personer (18. juni 2007 CFTC No-Action Brev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones STOXX 600 Industrivarer amp Tjenester Godkjent for salg til amerikanske personer (6. februar 2008 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones STOXX 600 Forsikring Godkjent for salg til amerikanske personer (6. februar 2008 CFTC No-Action Letter utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones STOXX 600 Media Godkjent for salg til amerikanske personer (6. februar 2008 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones STOXX 600 Personlig forsterker Husholdningsvarer Godkjent for salg til Amerikanske personer (6. februar 2008 CFTC-handlingsbrev utstedt til Eurex) 7 Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones STOXX 600 Detaljhandel Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbys For definisjonen av ldquoEligible US Institutionrdquo og for andre forklarende opplysninger , se sluttnotene på slutten av denne tabellen. 11 Land Utveksling Underliggende Futures Kontrakter Optioner på Futures Kontrakter Egenkapital Valg ETF Valg TysklandSwitzerland Eurex Dow Jones STOXX 600 Travel amp Fritid Godkjent for salg til amerikanske personer (6. februar 2008 CFTC No Action Letter utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbys TysklandSwitzerland Eurex Dow Jones STOXX 600 Utilities Godkjent for salg til amerikanske personer (6. februar 2008 CFTC No Action Letter utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Annet Dow Jones STOXX 600 Markedsektorer (Teknologi, helse, telekommunikasjon) Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones Euro STOXX Banksektoren Ikke godkjent8 Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Dow Jones Euro STOXX Velg utbytte 30 Godkjent for salg til amerikanske personer (18. august 2008 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Annet Dow Jones Euro STOXX Sektorer (forskjellige) Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex HEX 25 Finsk Ikke godkjent Ingen tilbys Godkjent for kvalifiserte amerikanske institusjoner (27. juli 2005 SEC-handlingsbrev utstedt til Eurex) Ingen tilbudt TysklandSwitzerland Eurex TECDAX Godkjent for salg til amerikanske personer (18. august 2008 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Godkjent for kvalifiserte amerikanske institusjoner (27. juli 2005 SEC-handlingsbrev utstedt til Eurex) Ingen tilbudt For definisjonen av ldquoEligible US Institutionrdquo og for Andre forklarende opplysninger, se sluttnotene på slutten av denne tabellen. 12 Land Utveksling Underliggende Futures Kontrakter Optioner på Futures Kontrakter Egenkapitaloptioner ETF Valg TysklandSwitzerland Eurex Dow Jones Italy Titans 30 Godkjent for salg til amerikanske personer (23. november 2005 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex MDAX Godkjent til salg til amerikanske personer (14. mars 2006 CFTC-handlingsbrev utstedt til Eurex) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex iShares DJ EURO STOXX Ingen tilbudt Ingen tilbudt Ingen tilbudt Godkjent kun for støtteberettigede amerikanske institusjoner (27. juli 2005 SEK Nei - Eksjonsbrev utstedt til Eurex) TysklandSwitzerland Eurex RDX USD12 Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex DJ Banker Titans 30 Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbudt TysklandSwitzerland Eurex DJ Olje og gass Titans 30 Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbudt TysklandSwitzerland Eurex DJ Forsikring Titans 30 Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbys TysklandSwitzerland Eurex DJ Telekommunikasjon Titans 30 Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbudt TysklandSwitzerland Eurex DJ Utilities Titans 30 Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbudt TysklandSwitzerland Eurex MSCI Alle land Asia Pacific ex-Japan Godkjent for salg til amerikanske personer (17. juni, 2013-sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 13 Land Utveksling Underliggende Futures Kontrakter Optioner på Futures Kontrakter Egenkapitaloptioner ETF Valg TysklandSwitzerland Eurex MSCI China Free Godkjent for salg til amerikanske personer (4. februar 2014 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbys TysklandSwitzerland Eurex MSCI Emerging Markets Godkjent for salg til amerikanske personer (februar 4, 2014 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex MSCI Emerging Markets Asia Godkjent for salg til amerikanske personer (4. februar 2014 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex MSCI Emerging Markets EMEA Godkjent for salg til amerikanske personer (februar 4, 2014 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex MSCI Emerging Markets Latin America Godkjent for salg til amerikanske personer (4. februar 2014 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex MSCI Europe Godkjent for salg til amerikanske personer (17. juni , 2013 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbys TysklandSwitzerland Eurex MSCI Europe Vekst Godkjent for salg til amerikanske personer (4. februar 2014 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex MSCI Europe Verdi Godkjent for salg til amerikanske personer (4. februar 2014 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbys TysklandSwitzerland Eurex MSCI India Godkjent for salg til amerikanske personer (4. februar 2014 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbys TysklandSwitzerland Eurex MSCI Japan Godkjent for salg til amerikanske personer (17. juni 2013 sertifisering) Ingen tilbudt Ingen tilbys Ingen tilbys Til definisjon av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 14 Landbytte Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF Valg TysklandSwitzerland Eurex MSCI Malaysia Godkjent for salg til amerikanske personer (4. februar 2014 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbudt TysklandSwitzerland Eurex MSCI Sør-Afrika Godkjent for salg til amerikanske personer (4. februar , 2014 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbudt TysklandSwitzerland Eurex MSCI Thailand Godkjent for salg til amerikanske personer (4. februar 2014 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbudt TysklandSwitzerland Eurex MSCI World Godkjent for salg til amerikanske personer (17. juni 2013 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex STOXX Europe 600 Godkjent for salg til amerikanske personer (5. juni 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex STOXX Europe Large 200 Godkjent for salg til amerikanske personer (5. juni 2012 sertifisering) Ingen tilbys Ikke godkjent Ingen tilbys TysklandSwitzerland Eurex STOXX Europe Mid 200 Godkjent for salg til amerikanske personer (5. juni 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex STOXX Europe Små 200 Godkjent for salg til amerikanske personer (5. juni 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Euro STOXX Godkjent for salg til amerikanske personer (5. juni 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Euro STOXX Large Godkjent for salg til amerikanske personer (5. juni 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbys For definisjonen av ldquoEligible US Institutionrdquo og for andre forklarende opplysninger, se sluttnotene på slutten av denne tabellen. 15 Landutveksling Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF Valg TysklandSwitzerland Eurex Euro STOXX Mid Godkjent for salg til amerikanske personer (5. juni 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbys TysklandSwitzerland Eurex Euro STOXX Små Godkjent for salg til amerikanske personer (juni 5, 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Mini Euro STOXX 50 Volatilitetsindeks Godkjent for salg til amerikanske personer (20. juli 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Euro STOXX 50 Ex Financials Index Godkjent for salg til Amerikanske personer (27. august 2012 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt TysklandSwitzerland Eurex Enkeltnavn aksjer Ikke godkjent Ingen tilbudt Godkjent for opsjoner på individuelle tyske, sveitsiske, finske, nederlandske, italienske og franske aksjer5 kun for kvalifiserte amerikanske institusjoner (27. juli , 2005 SEC-handlingsbrev utstedt til Eurex) Ingen tilbudt GermanyBouml rse Frankfurt Enkelt navn aksjer Ingen tilbudt Ingen tilbudt Ikke godkjent4,5 Ingen tilbudt GreeceAthens Exchange Derivatmarkedet FTSEASE 20 Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt GreeceAthens Exchange Derivatives Market FTSEASE Mid-40 Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt For definisjonen av ldquoEligible US Institutionrdquo og for andre forklarende opplysninger, se sluttnotene på slutten av denne tabellen. 16 Land Utveksling Underliggende Futures Kontrakter Optjoner på Futures Kontrakter Egenkapitaloptioner ETF Valg Hong KongHong Kong Utvekslinger og Clearing Ltd. (HKEX) Hang Seng Godkjent for salg til amerikanske personer (1. juni 1994 CFTC No Action Letter utstedt til HKFE) 3 Ingen tilbudt Godkjent Kun for støtteberettigede amerikanske institusjoner (26. september 1995 SEC-handlingsbrev utstedt til HKFE) Ingen tilbudt Hong KongHong Kong Utvekslinger og Clearing Ltd. (HKEX) Mini Hang Seng Godkjent for salg til amerikanske personer (16. januar 2009 CFTC No Action Brev utstedt til HKFE) Ingen tilbudt Ikke godkjent Ingen tilbudt Hong KongHong Kong Utveksling og Clearing Ltd. (HKEX) Mini Hang Seng China Enterprises Index Godkjent for salg til amerikanske personer (16. januar 2009 CFTC No Action Letter utstedt til HKFE) Ingen tilbudt Ikke godkjent Ingen tilbudt Hong KongHong Kong Utveksling og Clearing Ltd. (HKEX) FTSEXinhua China 25 Godkjent for salg til amerikanske personer (26. september 2006 CFTC-handlingsbrev utstedt til HKFE) Ingen tilbudt Ikke godkjent Ingen tilbød Hong Kong Hong Kong Exchange og Clearing Ltd. (HKEX) H-aksjer (Hang Seng China Enterprises Index) Godkjent for salg til amerikanske personer (26. september 2006 CFTC-handlingsbrev utstedt til HKFE) Ingen tilbudt Ikke godkjent Ingen tilbudt Hong KongHong Kong Utveksling og Clearing Ltd. (HKEX) DJIA Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbudt Hong KongHong Kong Exchange and Clearing Ltd. (HKEX) CES Kina 120 Godkjent for salg til amerikanske personer (17. september 2013 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbys Hong KongHong Kong Exchange and Clearing Ltd. (HKEX) HSI-volatilitetsindeks (VHSI) Godkjent for salg til amerikanske personer (17. september 2013 sertifisering) Ingen tilbudt Ingen tilbudt Ingen tilbys For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, Vennligst se sluttnotene på slutten av denne tabellen. 17 Landbytte Underliggende fremtidige kontrakter Valg av fremtidige kontrakter Egenkapitaloptioner ETF opsjoner Hong KongHong Kong Exchange and Clearing Ltd. (HKEX) HSCEI Utbyttepoengindeks Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbudt UngarnBudapest børs BUX Ikke godkjent Ingen tilbudt Ingen tilbudt Ingen tilbudt IndiaBombay Stock BSE-sensitiv indeks på 30 aksjer (Sensex) 9 Godkjent for salg til amerikanske personer (14. juni 2006 CFTC-handlingsbrev utstedt til BSE) Ingen tilbudt Ikke godkjent Ingen tilbudt IndiaBombay Børs (BSE) SampP BSE 100 Godkjent Til salgs til amerikanske personer (24. september 2013 sertifisering) Ingen tilbudt Ikke godkjent Ingen tilbudt IndiaBombay Stock Exchange (BSE) DOLLEX-309 Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt IndiaNational Stock Exchange of India Ltd. (NSE) SampP CNX Nifty (ldquoNifty 50thquo) 9 Godkjent for salg til amerikanske personer (17. oktober 2003 CFTC No-Action Letter utstedt til NSE) Ingen tilbudt Ikke godkjent Ingen tilbudt IndiaNati Onal Stock Exchange of India Ltd. (NSE) CNXIT Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt IndiaNational Stock Exchange of India Ltd. (NSE) Bank Nifty Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt IrelandIrish Børs Enkeltnavn aksjer Ingen tilbudt Ingen tilbudt Ikke godkjent4 Ingen tilbudt IsraelTel Aviv Børs TA 25 Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt For definisjonen av ldquoEligible US Institutionrdquo og for annen forklarende informasjon, se sluttnotene på slutten av denne tabellen. 18 Land Utveksling Underliggende Futures Kontrakter Optioner på Futures Kontrakter Egenkapitaloptioner ETF Valg IsraelTel Aviv Børs TA Banker Ikke godkjent Ingen tilbudt Ikke godkjent Ingen tilbudt ItalyBorsa Italiana ndash IDEM FTSE MIB4 Godkjent for salg til amerikanske personer (30. august 2004 CFTC-handlingsbrev utstedt til Borsa Italiana) Ingen tilbudt Godkjent for kvalifiserte amerikanske institusjoner bare (24. september 2004 Ikke-handlingsbrev utstedt til Borsa Italiana) Ingen tilbudt ItalyBorsa Italiana ndash IDEM Enkeltnavn aksjer Ikke godkjent Ingen tilbys Godkjent for kvalifiserte amerikanske institusjoner bare (se 1. september, 1998 SEC-handlingsbrev utstedt til Borsa Italiana med hensyn til opsjoner på enkelte ISE-aksjer) 4,5 Ingen tilbudt ItalyBorsa Italiana ndash IDEM Mini FTSE MIB Godkjent for salg til amerikanske personer (30. august 2004 CFTC-handlingsbrev utstedt til Borsa Italiana) Ingen tilbudt Ingen tilbudt Ingen tilbudt ItalyBorsa Italiana ndash IDEM FTSE MIB Utbytte Godkjenning venter Ingen tilbud Ingen offe rød Ingen tilbudt JapanOsaka Securities Exchange (OSE) Nikkei 300Intercontract Spread Godkjent for salg til amerikanske personer (17. mai 1994 CFTC-handlingsbrev utstedt til OSE) 3 Ingen tilbudt Godkjent for støtteberettigede amerikanske institusjoner (23. juli 1999 SEC No-Action Letter issued to OSE) None offered For the definition of ldquoEligible US Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 19 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Securities Exchange (OSE) Single name equities None offered None offered Approved for options on individual equities that are listed and traded on the OSE or other Japanese exchanges that are now or may in the future be listed for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Securities Exchange (OSE) Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions only (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Securities Exchange (OSE) Mini Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (July 11, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered JapanOsaka Securities Exchange (OSE) Sector Indices (High Tech, Financial and C onsumer Indices) Not approved None offered Not approved None offered JapanOsaka Securities Exchange (OSE) DJIA Approved for sale to U. S. Persons (June 15, 2012 certification) None offered None offered None offered JapanOsaka Securities Exchange (OSE) RussellNomura Prime Approved for sale to U. S. Persons (March 14, 2005 No-Action Letter issued to OSE) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 20 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Securities Exchange (OSE) FTSE Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Securities Exchange (OSE) MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Securities Exchange (OSE) Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered JapanTokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) Nikkei 225 Dividend Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) TOPIX Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. In stitutions only (July 27, 1999 SEC No-Action Letter issued to TSE) None offered JapanTokyo Stock Exchange (TSE) Single name equities None offered None offered Approved for options on individual TSE equities that are now or may in the future be listed for Eligible U. S. Institutions only (July 27, 1999 SEC No-Action Letter issued to TSE) None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 21 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanTokyo Stock Exchange (TSE) TOPIX 150 Approved for sale to U. S. Persons (May 23, 2001 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions only (November 15, 2002 SEC No-Action Letter issued to TSE) None offered JapanTokyo Stock Exchange (TSE) TOPIX Sector Not approved None offered None offered None offered JapanTokyo Stock Exchange (TSE) TOPIX Core30 Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Stock Exchange (TSE) Tokyo Stock Exchange REIT Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Stock Exchange (TSE) Mini TOPIX Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered Korea ndash see South Korea - - - - - MalaysiaBursa Malaysia Derivatives Berhad (BMD) FTSE Bursa Malaysia Kuala Lumpur Composite Approved for sale to U. S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad) None offered Not approved None offered MexicoMexican Derivatives Exchange (MEXDER) IPC Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 22 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Netherlands Euronext Amsterdam Derivatives Markets N. V. FTSE Eurotop 100 Approved for sale to U. S. Persons (May 14, 1996 CFTC No-Action Letter issued to Financiele Termijnmarkt Amsterdam)3 None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved4 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. AEX Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Single name equities Not approved None offered Not approved4,5 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Light AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V. Amsterdam Mid-Kap Not approved None offered Not approved None offered New ZealandNZFOE NZSE 10 Not approved Not approved None offered None offered NorwayOslo Stock Exchange OBX Not approved None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 23 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options NorwayOslo Stock Exchange Single name equities None offered None offered Not approved4,11 None offered PolandWarsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered PortugalEuronext Lisbon PSI 20 Not approved Not approved None offered4 None offered PortugalEuronext Lisbon Single name equities Not approved None offered Not approved4 None offered RussiaRussian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered Not approved None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Dow Jones Thailand Not approved (the requested approval was deemed withdrawn by the CFTC in 2004) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Hong Kong Approved for sale to U. S. Persons (December 17, 1999 CFTC No - Action Letter issued to SIMEX) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Taiwan Approved for sale to U. S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei 300 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 24 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) USD Nikkei Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) FTSEXinhua China A50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Asia APEX 50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (July 11, 2000 CFTC No-Action Letter issued to SGX-DT)3 None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Thailand Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 25 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Philippines Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI India Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Indonesia Approved for sale to U. S. Persons (October 2, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SampP CNX Nifty (ldquoNifty 50rdquo) Approved for sale to U. S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT) None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Mini Nikkei 225 Approved for sale to U. S. Persons (December 23, 2009 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Euro STOXX 50 Approved for sale to U. S. Persons (March 22, 2012 certification) None offered None offered None offered South AfricaJSESAFEX ALSIFTSE JSE 40 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to SAFEX) None offered Not approved None offered South AfricaJSESAFEX FTSEJSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South AfricaJSESAFEX Mining Not approved None offered None offered None offered South AfricaJSESAFEX Financial Not approved None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 26 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South AfricaJSESAFEX Industrial Not approved None offered None offered None offered South KoreaKorea Exchange KOSPI 200 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Korea Futures Exchange) None offered Not approved None offered South KoreaKorea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered SpainMEFF IBEX 35 Approved for sale to U. S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3 None offered Not approved None offered SpainMEFF IBEX 35 Mini Not approved Not approved None offered None offered SpainMEFF SampP Euro Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMEFF SampP Europe 350 Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMadrid St ock Exchange Single name equities None offered None offered Not approved4 None offered SwedenOMHEX HEXTECH Not approved Not approved None offered None offered SwedenOMHEX HEXTEMP Not approved None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 27 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SwedenOMX Nordic Exchange Stockholm AB OMXS30 (formerly OMX) Approved for sale to U. S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXcap Approved for sale to U. S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB NOX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB VINX30 Approved for sale to U. S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm) None offered Not approved Not approved SwedenOMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered SwitzerlandSIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered Switzerland ndash see Germany - - - - - TaiwanTaiwan Futures Exchange GreTai Securities Market Capitalized Weighted Approved for sale to U. S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 28 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TaiwanTaiwan Futures Exchange TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Mini-TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered None offered None offered TaiwanTaiwan Futures Exchange MSCI Taiwan Approved for sale to U. S. Persons (October 12, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered TaiwanTaiwan Futures Exchange Electronic Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Finance Sector Approve d for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Taiwan Stock Exchange Non-Finance Non-Electronics Approved for sale to U. S. Persons (April 1, 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 29 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options ThailandThailand Futures Exchange PCL SET50 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange) None offered Not approved None offered TurkeyBorsa stanbul Derivatives Market (VIOP) BIST 30 (formerly ISE 30)13 Approved for sale to U. S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange) None offered Not approved None offered U. K.Euronext LIFFE FTSE 100 Approved for sale to U. S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3 None offered Approved for Eligible U. S. Institutions only (May 1, 1992 SEC No-Action Letter issued to LIFFE)4 None offered U. K.Euronext LIFFE Single name equities Not approved None offered Approved for options on individual LSE equity securities that are now or may in the future be listed for Eligible U. S. Institutions only (May 1, 1992 SEC No-Action Le tter issued to LIFFE), None offered U. K.Euronext LIFFE FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (Mid-Cap) Approved for sale to U. S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE Mini FTSE 100 Approved for sale to U. S. Persons (May 30, 2001 CFTC No-Action letter issued to LIFFE)3 None offered None offered None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 30 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.Euronext LIFFE FTSE Eurotop 100 Approved for sale to U. S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE FTSE 100 FLEX None offered None offered Approved for Eligible U. S. Institutions only (March 6, 1996 SEC No-Action Letter issued to LIFFE) None offered U. K.Euronext LIFFE MSCI Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE MSCI Pan-Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.Euronext LIFFE TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K.Euronext LIFFE FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offer ed None offered None offered U. K.Euronext LIFFE MSCI Europe (Euro-denominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K.EDX London Exchange OMXFlex OMX None offered None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange)4 None offered For the definition of ldquoEligible U. S. Institutionrdquo and for other explanatory information, please see the endnotes at the end of this table. 31 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.EDX London Exchange OBXFlex OBX Not approved None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange Single name equities None offered None offered Approved for options on individual Swedish, Norwegian and Danish equities11 for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange KFXFlex KFX Not approved None offered Approved for Eligible U. S. Institutions only (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.London Stock Exchange Derivatives FTSE 100 Approval pending None offered Not approved4 None offered U. K.London Stock Exchange Derivatives FTSE UK Large Cap Super Liquid (FTSE SLQ) Approval pending None offered None offered None offered U. K.London Stock Exchange Derivatives Single name equities None offered None offered Not approved (see U. K.Euronext LIFFE)4 None offered U. K.Turquoise Global Holdings Limited FTSE 100 Approved for sale to U. S. Persons (June 1, 2012 certification) None offered Not approved4 None offered NOTE: This Chart covers those products and exchanges that are likely to be of greatest interest to market participants in the United States. It is not, therefore, intended to be exhaustive, and is presented without any representation or warranty as to its accuracy, completeness or timeliness. Transmission or receipt of this information does not create an attorney-client relationship with Katten Muchin Rosenman LLP, and the information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. This Chart does not express any opinion as to the potential application of the laws of any jurisdiction other than the United States. Questions regarding the permissibility of trading in products that are not included in this Chart should be addressed to James D. Van De Graaff at 1.312.902-5227, Kenneth M. Rosenzweig at 1.312.902-5381, Kevin M. Foley at 1.312.902-5372, Christian B. Hennion at 1.312.902-5521 or Blake J. Brockway at 1.312.902-5438. ldquoEligible U. S. Institutionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible U. S. Institutionrdquo means, in general, a U. S. Person that (i) is a ldquoqualified institutional buyerrdquo as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (ii) has had prior actual experience in trading U. S. listed options contracts. For information regarding working definitions of ldquoU. S. Personrdquo as that term is used in this Chart, please contact Katten Muchin Rosenman LLP. 1 Reserved 2 The CFTC No-Action Letter also applies to BMampF Bovesparsquos ldquoIbovespa Rolloverrdquo and ldquoForward Points on the Ibovespardquo transactions. 3 The index is included in the CFTCrsquos and SECrsquos joint order dated May 31, 2002 extending the exclusion of such index from the definition of ldquonarrow-based security indexrdquo under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the ldquoJoint Orderrdquo). Foreign futures contracts or options on futures contracts on ldquonarrow-based securities indexesrdquo may not be offered or sold to U. S. Persons without the CFTC and SEC first developing joint regulations, which has not yet been done. Accordingly, the Joint Order effectively allows the stock index futures contracts and options on futures contracts that are based on the security indexes included in the Joint Order, which were granted no-action relief by the CFTC prior to the enactment of the Commodity Futures Modernization Act (ldquoCFMArdquo) on December 21, 2000, to continue to be offered and sold to U. S. Persons after July 11, 2002, the date that the exclusion set forth in the CFMA was to expire. 4 These products may be eligible for clearing through the Bclear service offered by Euronext LIFFE (ldquoLIFFErdquo). Bclear allows members to submit an option contract on a non-U. S. security that has been negotiated and completed as an over-the-counter (ldquoOTCrdquo) transaction so that LIFFE may replace the OTC transaction with an equivalent LIFFE options contract. LIFFE members that intend to offer or sell such products to U. S. persons must satisfy the following conditions: (i) Bclear services may only be offered to a U. S. person that qualifies as an Eligible U. S. Institution (see above), (ii) the LIFFE member must obtain and maintain certain representations from the customer, and (iii) before transacting, and on an annual basis thereafter, the LIFFE member must file a declaration with LIFFE. For additional information on these conditions, see LIFFE London Notice No. 3732. LIFFE maintains a list of eligible options, which includes (1) LIFFE individual equity options based on the securities of non-U. S. issuers and (2) LIFFE index options based on indices that contain no component securities of U. S. issuers. The list of eligible options may be accessed here. 5 The SEC also has approved for Eligible U. S. Institutions all options on individual German-, Swiss-, Finnish-, Dutch-, Italian - and French-issued equities that are now or that in the future may be listed on Eurex. Equities issued in any other country that are listed on Eurex have not been approved at this time. 6 Eurex offers a KOSPI product that Eurex describes as a daily futures contract that expires every night, with any net open positions at the end of trading resulting in the establishment of a corresponding position in the Korean Exchangersquos KOSPI 200 Options (with strike prices, expiries, putcall and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 28111, the Dow Jones STOXX 600 Personal amp Household Goods Sector will no longer be tradable on Eurex trading terminals in the U. S. after the close of business on February 29, 2012. The previously issued no-action letter approving such product for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 8 Pursuant to Eurex Circular 26011, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the U. S. The previously issued no-action letter approving such product for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 9 Additional restrictions apply to the trading of these products by U. S. Persons. 10 Reserved 11 The SEC also has approved for Eligible U. S. Institutions all options on individual Swedish-, Norwegian - and Danish-issued equities that are now or that in the future may be listed on the EDX London exchange. Equities issued in any other country that are listed on the EDX London Exchange have not been approved at this time. Note: EDX London Exchange has been acquired by the Turquoise Exchange. 12 The RDX USD Index futures and options contracts have not been approved for sale to U. S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD ndash RDX Extended Index futures contract) for sale to U. S. Persons in a no-action letter issued on March 6, 2008, but Eurex subsequently delisted the contract. 13 The Istanbul Stock Exchange (ldquoISErdquo) is now part of the Borsa Istanbul (ldquoBISTrdquo). As such, references to ISE 30 have been changed to BIST 30 on VIOPrsquos trading platform and the CFTCrsquos website. 14 The London Stock Exchange offers options on Russian equity products through its International Order Book. Providing all applicable conditions are met, Eligible U. S. Institutions may trade these options through the Bclear service offered by Euronext LIFFE. See Footnote 4. kattenlaw AUSTIN CENTURY CITY CHARLOTTE CHICAGO HOUSTON IRVING LONDON LOS ANGELES NEW YORK ORANGE COUNTY SAN FRANCISCO BAY AREA SHANGHAI WASHINGTON, DC Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion. copy2014 Katten Muchin Rosenman LLP. Alle rettigheter reservert. 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. Foreign Listed Stock Index Futures and Options Approvals Chart To view this article you need a PDF viewer such as Adobe Reader. USA October 1 2014 October 1, 2014 Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 1, 2014. All prior versions are superseded and should be discarded. Please note the following developments since we last distributed the Approvals Chart: (1) The CFTC has approved the following contracts for trading by U. S. Persons: (i) Montreal Exchangersquos futures contract based on the FTSE Emerging Markets Index (ii) London Stock Exchange Derivativesrsquo futures contract based on the FTSE 100 Index and (iii) London Stock Exchange Derivativesrsquo futures contract based on the FTSE UK Large Cap Super Liquid Index. (2) The SEC has not approved any new foreign equity index options since we last distributed the Approvals Chart. However, ICE Futures Europe, Osaka Exchange, Euronext Paris, Euronext Brussels and Euronext Amsterdam have claimed relief under the LIFFE AampM and Class Relief SEC No-Action Letter (Jul. 1, 2013) to offer Eligible Options to Eligible U. S. Institutions. See note 16. (3) The derivative market of the Tokyo Stock Exchange has been integrated into, and those products now trade on, the Osaka Exchange. (4) The status of the Dow Jones Euro STOXX Banking Sector traded on Eurex has been clarified. See note 8. For Additional Information The information on the attached Approvals Chart is subject to change at any time. If you have questions or would like confirmation of the status of a specific contract, please contact: James D. Van De Graaff 1.312.902.5227 james. vandegraaffkattenlaw Kenneth M. Rosenzweig 1.312.902.5381 kenneth. rosenzweigkattenlaw Kevin M. Foley 1.312.902.5372 kevin. foleykattenlaw Gary DeWaal 1.212.940.6558 gary. dewaalkattenlaw Christian B. Hennion 1.312.902.5521 christian. hennionkattenlaw Blake J. Brockway 1.312.902.5438 blake. brockwaykattenlaw For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 1 Foreign Listed Stock Index Futures and Options Approvals (October 2014) CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options AustraliaASXASX Futures Exchange SampPASX 200 Approved for sale to U. S. Persons (July 24, 2002 No-Action Letter issued to ASX Futures Exchange) None offered Approved for Eligible U. S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited) Not approved AustraliaASXASX Futures Exchange SampPASX 200 A-Reit Not approved None offered Approved for Eligible U. S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaASXASX Futures Exchange SampPASX 50 Approved for sale to U. S. Persons (July 24, 2002 No-Action Letter issued to ASX Futures Exchange) None offered Approved for Eligible U. S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaASXASX Futures Exchange Single name equities None offered None offered Approved fo r Eligible U. S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited) None offered AustraliaSydney Futures Exchange (SFE) 1-Day Option Contract based on the CBOT Mini-Sized Dow Futures Contract None offered Approved for sale to U. S. Persons (August 8, 2006 No-Action Letter issued to SFE) None offered None offered AustraliaSydney Futures Exchange (SFE) SPI 200 Approved for sale to U. S. Persons (August 10, 1999 No-Action Letter issued to SFE) Approved for sale to U. S. Persons (August 10, 1999 No-Action Letter issued to SFE) Not approved None offered AustriaWiener Borse ATX Not approved None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 2 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options AustriaWiener Borse CECE Indices (CEX, CTX, HTX, PTX) Not approved None offered Not approved None offered AustriaWiener Borse Russian Traded Not approved None offered Not approved None offered AustriaWiener Borse Single name equities None offered None offered Not approved4 None offered BelgiumEuronext Brussels16 BEL 20 Approved for sale to U. S. Persons (August 31, 2011 No-Action Letter issued to Euronext Brussels) None offered Approved for Eligible U. S. Institutions (September 17, 2014 Representation Letter from Euronext Brussels to SEC)4 None offered BelgiumEuronext Brussels16 Mini BEL 20 (index participation units) None offered None offered Not approved None offered BelgiumEuronext Brussels16 Mini Dow Jones Euro STOXX (index participation units) None offered None offered Not approved None offered BelgiumEuronext Brussels16 Single name equities Not approved None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on Euronext Brussels (September 17, 2014 Representation Letter from Euronext Brussels to SEC)4 None offered Brazil BMampF Bovespa S. A. BSE Sensitive Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered Brazil BMampF Bovespa S. A. FTSEJSE Top 40 Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 3 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Brazil BMampF Bovespa S. A. Hang Seng Approved for sale to U. S. Persons (March 12, 2013 certification) Not approved Not approved None offered Brazil BMampF Bovespa S. A. Ibovespa Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.)2 Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.) Not approved None offered Brazil BMampF Bovespa S. A. Ibovespa Flex None offered None offered Not approved None offered Brazil BMampF Bovespa S. A. IBrX 50 Index Futures Contract Approval pending Not approved Not approved None offered Brazil BMampF Bovespa S. A. MICEX Approved for sale to U. S. Persons (March 12, 2013 certification) None offered None offered None offered Brazil BMampF Bovespa S. A. Mini Ibovespa Approved for sale to U. S. Persons (August 26, 2009 No-Action Letter issued to BMampF Bovespa S. A.) None offere d None offered None offered Brazil BMampF Bovespa S. A. SampP 500 Index Approved for sale to U. S. Persons (September 24, 2012 certification) None offered None offered None offered CanadaMontreal Exchange (Bourse de Montreacuteal) FTSE Emerging Markets Index Approved for sale to U. S. Persons (March 21, 2014 CFTC No-Action Letter issued to Montreal Exchange) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 4 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSE 60 Index Participation Fund (i60 Fund) None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Energy Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Financials Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Gold Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registr ation Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) iUnits SampPTSX Capped Information Technology Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX 60 Index Mini Futures Approved for sale to U. S. Persons (April 19, 2012 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 5 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Canada 60 Approved for sale to U. S. Persons (December 9, 1999 CFTC No-Action Letter issued to Montreal Exchange)3 None offered Approved, including approval of all other index options, for sale to U. S. Persons generally that are now or may in the future be listed (Post-Effective Amendment No. 27 to Registration Statement on Form S-20 filed by Canadian Derivatives Clearing Corp. SEC File No. 2-69458) None offered CanadaMontreal Exchange (Bourse de Montreacuteal) SampPTSX Capped Sector Not approved None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampPTSX Canada 60 above) None offered CanadaMontreal Exchange (Bourse de Montreacuteal) Single name equities None offered None offered Approved for all options on individual securities listed on the Montreal Exchange that are now or may in the fut ure be listed for sale to U. S. Persons generally (Post-Effective Amendment No. 27 to Registration Statement on Form S-20 filed by Canadian Derivatives Clearing Corp. SEC File No. 2-69458) None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 6 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options China (see also Hong Kong and Taiwan)China Financial Futures Exchange CSI 300 Index Futures Not approved None offered None offered None offered DenmarkFUTOP Market KFX (LargeSmall Contract) Not approved None offered Not approved None offered DenmarkOMX Nordic Exchange Copenhagen AS Single name equities None offered None offered Not approved4,11 None offered FinlandOMX Nordic Exchange Helsinki Single name equities None offered None offered Not approved4,5 None offered FranceEuronext Paris S. A.16 CAC40 Approved for sale to U. S. Persons (December 17, 1991 No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions (July 17, 1996 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse)4 None offered FranceEuronext Paris S. A.16 CAC40 Mini Approved for sale to U. S. Persons (September 13, 2013 certificat ion) None offered None offered None offered FranceEuronext Paris S. A.16 Dow Jones Euro STOXX 50 Approved for sale to U. S. Persons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions (October 26, 1998 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse) None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 7 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A.16 Dow Jones STOXX 50 Approved for sale to U. S. Persons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3 None offered Approved for Eligible U. S. Institutions (October 26, 1998 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse) None offered FranceEuronext Paris S. A.16 Dow Jones STOXX 600 Sectors (Bank, Energy, Healthcare, Technology, Telecommunications) Not approved None offered Not approved None offered FranceEuronext Paris S. A.16 FTSE EPRANAREIT Euro Zone Approved for sale to U. S. Persons (July 10, 2008 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered Not approved FranceEuronext Paris S. A.16 FTSE EPRANAREIT Europe Approved for sale to U. S. Persons (July 10, 2008 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Eur onext Paris S. A.) None offered None offered Not approved FranceEuronext Paris S. A.16 FTSEurofirst 100 Approved for sale to U. S. Persons (March 5, 2007 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered None offered4 None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 8 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options FranceEuronext Paris S. A.16 FTSEurofirst 80 Approved for sale to U. S. Persons (March 5, 2007 CFTC No-Action Letter issued to Euronext LIFFE, on behalf of Euronext Paris S. A.) None offered Approved for Eligible U. S. Institutions (September 17, 2014 Representation Letter from Euronext Paris to SEC)4 None offered FranceEuronext Paris S. A.16 Single name equities Not approved None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on Euronext Paris or other specified markets18 (September 17, 2014 Representation Letter from Euronext Paris to SEC)4,5 None offered GermanyBoumlrse Frankfurt Single name equities None offered None offered Not approved4,5 None offered GermanyEurex DAX Approved for sale to U. S. Persons (December 20, 1994 CFTC No-Action Letter issued to Deutsche Terminborse)3 None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex DAX EX Not approved None offered None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanyEurex DJ Banks Titans 30 Not approved None offered None offered None offered GermanyEurex DJ Insurance Titans 30 Not approved None offered None offered None offered GermanyEurex DJ Oil and Gas Titans 30 Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 9 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex DJ Telecommunications Titans 30 Not approved None offered None offered None offered GermanyEurex DJ Utilities Titans 30 Not approved None offered None offered None offered GermanyEurex Dow Jones Euro STOXX 50 Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to Eurex)3 None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex Dow Jones Euro STOXX 50 Dividend Not approved Not approved None offered None offered GermanyEurex Dow Jones Euro STOXX 50 EX Not approved None offered Not approved Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanyEurex Dow Jones Euro STOXX Banking Sector Not approved8 None offered Not approved None offered GermanyEurex Dow Jones Euro STOXX Select Dividend 30 Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones Global Titans 50 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex Dow Jones Global Titans 50 Index (US Denominated) Approved for sale to U. S. Persons (June 5, 2012 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 10 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex Dow Jones Italy Titans 30 Approved for sale to U. S. Persons (November 23, 2005 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones STOXX 50 Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to Eurex)3 None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex Dow Jones STOXX 600 Approved for sale to U. S. Persons (June 18, 2007 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones STOXX 600 Banking Sector Approved for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones STOXX 600 Industrial Goods amp Services Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eure x) None offered Not approved None offered GermanyEurex Dow Jones STOXX 600 Insurance Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones STOXX 600 Media Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 11 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex Dow Jones STOXX 600 Personal amp Household Goods Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex)7 None offered Not approved None offered GermanyEurex Dow Jones STOXX 600 Retail Not approved None offered Not approved None offered GermanyEurex Dow Jones STOXX 600 Travel amp Leisure Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones STOXX 600 Utilities Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones STOXX Large 200 Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones STOXX Mid 200 Approved for sale to U. S. Persons (June 18, 2007 C FTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Dow Jones STOXX Small 200 Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Euro STOXX Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 12 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex Euro STOXX 50 Ex Financials Index Approved for sale to U. S. Persons (August 27, 2012 certification) None offered Not approved None offered GermanyEurex Euro STOXX Large Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex Euro STOXX Mid Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex Euro STOXX Small Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex HEX 25 Finnish Not approved None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered GermanyEurex iShares DJ EURO STOXX None offered None offered None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) GermanyEurex KOSPI 200 Options6 Not approved None offered Not approved None offered GermanyEurex MDAX Approved for sale to U. S. Persons (March 14, 2006 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex Mini Euro STOXX 50 Volatility Index Approved for sale to U. S. Persons (July 20, 2012 certification) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 13 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex MSCI All Countries Asia Pacific ex-Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not approved None offered GermanyEurex MSCI China Free Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanyEurex MSCI Emerging Markets Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Emerging Markets Asia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Emerging Markets EMEA Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Emerging Markets Latin America Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSC I Europe Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not Approved None offered GermanyEurex MSCI Europe Growth Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI Europe Value Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered GermanyEurex MSCI India Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 14 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex MSCI Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered None offered None offered GermanyEurex MSCI Malaysia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanyEurex MSCI South Africa Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanyEurex MSCI Thailand Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered GermanyEurex MSCI World Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Not Approved None offered GermanyEurex Other Dow Jones Euro STOXX Sectors Not approved None offered Not approved None offered GermanyEurex Other Dow Jones STOXX 600 Market Sectors Not approved None offered Not approved None offered GermanyEurex RDX USD12 Not approv ed None offered Not approved None offered GermanyEurex Single name equities Not approved None offered Approved for options on individual German, Swiss, Finnish, Dutch, Italian, and French equities5 for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 15 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GermanyEurex SLI Swiss Leader Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex STOXX Europe 600 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex STOXX Europe Large 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex STOXX Europe Mid 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex STOXX Europe Small 200 Approved for sale to U. S. Persons (June 5, 2012 certification) None offered Not approved None offered GermanyEurex Swiss Market Not approved None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) Approved for Eligible U. S. Institutions (July 27 , 2005 SEC No-Action Letter issued to Eurex) GermanyEurex Swiss Market Index Midcap (SMIM) Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Not approved None offered GermanyEurex TECDAX Approved for sale to U. S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (July 27, 2005 SEC No-Action Letter issued to Eurex) None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 16 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options GreeceAthens Exchange Derivatives Market FTSEASE 20 Not approved None offered Not approved None offered GreeceAthens Exchange Derivatives Market FTSEASE Mid-40 Not approved None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) CES China 120 Approved for sale to U. S. Persons (September 17, 2013 certification) None offered None offered None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) DJIA Not approved None offered None offered None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) FTSEXinhua China 25 Approved for sale to U. S. Persons (September 26, 2006 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Hang Seng Approved for sale to U. S. Persons (June 1, 1994 CFTC No-Action Letter issued to HKFE)3 None offered Approved for Eligible U. S. I nstitutions (September 26, 1995 SEC No-Action Letter issued to HKFE) None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSCEI Dividend Point Index Not Approved None offered None offered None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) H-Shares (Hang Seng China Enterprises Index) Approved for sale to U. S. Persons (September 26, 2006 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) HSI Volatility Index (VHSI) Approved for sale to U. S. Persons (September 17, 2013 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 17 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng Approved for sale to U. S. Persons (January 16, 2009 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered Hong KongHong Kong Exchanges and Clearing Ltd. (HKEX) Mini Hang Seng China Enterprises Index Approved for sale to U. S. Persons (January 16, 2009 CFTC No-Action Letter issued to HKFE) None offered Not approved None offered HungaryBudapest Stock Exchange BUX Not approved None offered None offered None offered IndiaBombay Stock Exchange (BSE) BSE Sensitive Index of 30 Stocks (Sensex)9 Approved for sale to U. S. Persons (June 14, 2006 CFTC No-Action Letter issued to BSE) None offered Not approved None offered IndiaBombay Stock Exchange (BSE) DOLLEX-309 Not approved None offered Not approved None offered IndiaBombay Stock Exchange (BSE) SampP BSE 1009 Approved for sale to U. S. Persons (September 24, 2013 certification) None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) Bank Nifty9 Not approved None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) CNXIT9 Not approved None offered Not approved None offered IndiaNational Stock Exchange of India Ltd. (NSE) SampP CNX Nifty (ldquoNifty 50rdquo)9 Approved for sale to U. S. Persons (October 17, 2003 CFTC No-Action Letter issued to NSE) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 18 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options IrelandIrish Stock Exchange Single name equities None offered None offered Not approved4 None offered IsraelTel Aviv Stock Exchange TA 25 Not approved None offered Not approved None offered IsraelTel Aviv Stock Exchange TA Banks Not approved None offered Not approved None offered ItalyBorsa Italiana ndash IDEM FTSE MIB Dividend Approval pending None offered None offered None offered ItalyBorsa Italiana ndash IDEM FTSE MIB4 Approved for sale to U. S. Persons (August 30, 2004 CFTC No-Action Letter issued to Borsa Italiana) None offered Approved for Eligible U. S. Institutions (September 24, 2004 No-Action Letter issued to Borsa Italiana) None offered ItalyBorsa Italiana ndash IDEM Mini FTSE MIB Approved for sale to U. S. Persons (August 30, 2004 CFTC No-Action Letter issued to Borsa Italiana) None offered None offered None offered ItalyBorsa Italiana ndash IDEM Single name equities Not ap proved None offered Approved for Eligible U. S. Institutions (see September 1, 1998 SEC No-Action Letter issued to Borsa Italiana with respect to options on individual ISE equities)4,5 None offered JapanOsaka Exchange (OSE)16 DJIA Approved for sale to U. S. Persons (June 15, 2012 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 19 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 FTSE Japan Approved for sale to U. S. Persons (February 13, 2003 No-Action Letter issued to OSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 Mini Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (July 11, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered JapanOsaka Exchange (OSE)16 Mini TOPIX Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 Nikkei 225 Dividend Not approved None offered None offered None offered JapanOsaka Exchange (OSE)16 Nikkei 225Intercontract Spread Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3 None offered Approved for Eligible U. S. Institutions (July 23, 1999 SEC No-Action Letter issued to OSE) None offered JapanOsaka Exchange (OSE)16 Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered JapanOsaka Exchange (OSE)16 RussellNomura Prime Approved for sale to U. S. Persons (March 14, 2005 No-Action Letter issued to OSE) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 20 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 Single name equities None offered None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on the OSE or other Japanese exchanges and that meet OSE selection standards (March 14, 2014 Representation Letter from Tokyo Stock Exchange and Osaka Securities Exchange to SEC) None offered JapanOsaka Exchange (OSE)16 Tokyo Stock Exchange REIT Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanOsaka Exchange (OSE)16 TOPIX Approved for sale to U. S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions (July 27, 1999 SEC No-Action Letter issued to TSE) None offered JapanOsaka Exchange (OSE)16 TOPIX 150 Approved for sale to U. S. Persons (May 23, 2001 CFTC No-A ction Letter issued to TSE)3 None offered Approved for Eligible U. S. Institutions (November 15, 2002 SEC No-Action Letter issued to TSE) None offered JapanOsaka Exchange (OSE)16 TOPIX Banks Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 21 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options JapanOsaka Exchange (OSE)16 TOPIX Core30 Approved for sale to U. S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE) None offered None offered None offered JapanTokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered Korea ndash see South Korea - - - - - MalaysiaBursa Malaysia Derivatives Berhad (BMD) FTSE Bursa Malaysia Kuala Lumpur Composite Approved for sale to U. S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad) None offered Not approved None offered MexicoMexican Derivatives Exchange (MEXDER) IPC Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) Approved for sale to U. S. Persons (August 24, 2006 CFTC No-Action Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved Netherl ands Euronext Amsterdam Derivatives Markets N. V.16 AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Approved for Eligible U. S. Institutions (September 17, 2014 Representation Letter from Euronext Amsterdam to SEC)4 None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 AEX Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 22 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Amsterdam Mid-Kap Not approved None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 FTSE Eurotop 100 Approved for sale to U. S. Persons (May 14, 1996 CFTC No-Action Letter issued to Financiele Termijnmarkt Amsterdam)3 None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Light AEX Approved for sale to U. S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N. V.) None offered Not approved None offered Netherlands Euronext Amsterdam Derivatives Markets N. V.16 Single name equities Not approved None offered Approved for Eligible U. S. Institutions for Eligible Options on individual equities that are listed and traded on Euronext Amsterdam or other specified markets17 (September 17, 2014 Representation Let ter from Euronext Amsterdam to SEC)4,5 None offered New ZealandNZFOE NZSE 10 Not approved Not approved None offered None offered NorwayOslo Stock Exchange OBX Not approved None offered Not approved None offered NorwayOslo Stock Exchange Single name equities None offered None offered Not approved4,11 None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 23 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options PolandWarsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered PortugalEuronext Lisbon PSI 20 Not approved Not approved None offered4 None offered PortugalEuronext Lisbon Single name equities Not approved None offered Not approved4 None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - RussiaRussian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Dow Jones Thailand Not approved (the requested approval was deemed withdrawn by the CFTC in 2004) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Euro STOXX 50 Approved for sale to U. S. Persons (March 22, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) FTSEXinhua China A50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Mini Nikkei 225 Approved for sale to U. S. Persons (December 23, 2009 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Asia APEX 50 Approved for sale to U. S. Persons (January 26, 2012 certification) None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 24 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Hong Kong Approved for sale to U. S. Persons (December 17, 1999 CFTC No-Action Letter issued to SIMEX) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI India Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Indonesia Approved for sale to U. S. Persons (October 2, 2012 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Philippines Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (July 11, 2000 CFTC No-Ac tion Letter issued to SGX-DT)3 None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Taiwan Approved for sale to U. S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Thailand Approved for sale to U. S. Persons (January 20, 2014 certification) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 25 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei 300 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SampP CNX Nifty (ldquoNifty 50rdquo) Approved for sale to U. S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT) None offered Not approved None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX MSCI Japan Approved for sale to U. S. Persons (February 13, 2003 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered SingaporeSingapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered SingaporeSingapore Exchange Derivat ives Trading Ltd. (SGX-DT) USD Nikkei Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) None offered None offered None offered South AfricaJSESAFEX ALSIFTSE JSE 40 Approved for sale to U. S. Persons (July 18, 2002 CFTC No-Action Letter issued to SAFEX) None offered Not approved None offered South AfricaJSESAFEX Financial Not approved None offered None offered None offered South AfricaJSESAFEX FTSEJSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South AfricaJSESAFEX Industrial Not approved None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 26 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South AfricaJSESAFEX Mining Not approved None offered None offered None offered South KoreaKorea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered South KoreaKorea Exchange KOSPI 200 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Korea Futures Exchange) None offered Not approved None offered SpainMadrid Stock Exchange Single name equities None offered None offered Not approved4 None offered SpainMEFF IBEX 35 Approved for sale to U. S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3 None offered Not approved None offered SpainMEFF IBEX 35 Mini Not approved Not approved None offered None offered SpainMEFF SampP Euro Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SpainMEFF SampP Europe 350 Approved for sale to U. S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF) None offered None offered None offered SwedenOMHEX HEXTECH Not approved Not approved None offered None offered SwedenOMHEX HEXTEMP Not approved None offered None offered None offered SwedenOMX Nordic Exchange Stockholm AB NOX Not approved None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 27 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options SwedenOMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXcap Approved for sale to U. S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB OMXS30 (formerly OMX) Approved for sale to U. S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm)3 None offered Not approved None offered SwedenOMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered SwedenOMX Nordic Exchange Stockholm AB VINX30 Approved for sale to U. S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm) None offered Not approved Not approved SwitzerlandSIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered TaiwanTaiwan Fu tures Exchange Electronic Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Finance Sector Approved for sale to U. S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 28 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TaiwanTaiwan Futures Exchange GreTai Securities Market Capitalized Weighted Approved for sale to U. S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Mini-TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered None offered None offered TaiwanTaiwan Futures Exchange MSCI Taiwan Approved for sale to U. S. Persons (October 12, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TAIEX Approved for sale to U. S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange Taiwan Stock Exchange Non-Finance Non-Electronics Approved for sale to U. S. Persons (April 1 , 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange) None offered Not approved None offered TaiwanTaiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered ThailandThailand Futures Exchange PCL SET50 Approved for sale to U. S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange) None offered Not approved None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 29 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options TurkeyBorsa stanbul Derivatives Market (VIOP) BIST 30 (formerly ISE 30)13 Approved for sale to U. S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange) None offered Not approved None offered U. K.EDX London Exchange KFXFlex KFX Not approved None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange OBXFlex OBX Not approved None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered U. K.EDX London Exchange OMXFlex OMX None offered None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange)4 None offered U. K.EDX London Exchange Single name equities None offered None offered Approved for options on individual Swedish, Norwegian and Danish equities11 for Eligible U. S. Institutions (October 29, 2003 SEC No-Action letter issued to EDX London Exchange) None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 30 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.LIFFE (ICE Futures Europe)16 FTSE 100 Approved for sale to U. S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3 None offered Approved for Eligible U. S. Institutions (May 1, 1992 SEC No-Action Letter issued to LIFFE)4 None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 100 FLEX None offered None offered Approved for Eligible U. S. Institutions (March 6, 1996 SEC No-Action Letter issued to LIFFE) None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 FTSE 250 (Mid-Cap) Approved for sale to U. S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFF E (ICE Futures Europe)16 FTSE Eurotop 100 Approved for sale to U. S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 Mini FTSE 100 Approved for sale to U. S. Persons (May 30, 2001 CFTC No-Action letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 MSCI Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 31 CountryExchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K.LIFFE (ICE Futures Europe)16 MSCI Europe (Euro-denominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 MSCI Pan-Euro Approved for sale to U. S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3 None offered None offered None offered U. K.LIFFE (ICE Futures Europe)16 Single name equities Not approved None offered Approved for Eligible Options on individual equity securities on specified non-U. S. exchanges15 for Eligible U. S. Institutions (March 14, 2014 Representation Letter from ICE Futures Europe to SEC) None offered U. K.LIFFE (ICE Futures Europe)16 TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives FTSE 100 Approved for sale to U. S. Persons (August 28, 2014 certification) Non e offered Not approved4 None offered U. K.London Stock Exchange Derivatives FTSE UK Large Cap Super Liquid (FTSE SLQ) Approved for sale to U. S. Persons (August 28, 2014 certification) None offered None offered None offered U. K.London Stock Exchange Derivatives Single name equities None offered None offered Not approved (see U. K.LIFFE)4 None offered U. K.Turquoise Global Holdings Limited FTSE 100 Approved for sale to U. S. Persons (June 1, 2012 certification) None offered Not approved4 None offered 32 NOTE: This Chart covers those products and exchanges that are likely to be of greatest interest to market participants in the United States. It is not, therefore, intended to be exhaustive, and is presented without any representation or warranty as to its accuracy, completeness or timeliness. Transmission or receipt of this information does not create an attorney-client relationship with Katten Muchin Rosenman LLP, and the information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. This Chart does not express any opinion as to the potential application of the laws of any jurisdiction other than the United States. Questions regarding the permissibility of trading in products that are not included in this Chart should be addressed to James D. Van De Graaff at 1.312.902.5227, Kenneth M. Rosenzweig at 1.312.902.5381, Kevin M. Foley at 1.312.902.5372, Gary DeWaal at 1.212.940.6558, Christian B. Hennion at 1.312.902.5521 or Blake J. Brockway at 1.312.902.5438. ldquoEligible U. S. Institutionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible U. S. Institutionrdquo means, in general, a U. S. Person that (i) is a ldquoqualified institutional buyerrdquo as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (ii) has had prior actual experience in trading U. S.-listed options contracts. For information regarding working definitions of ldquoU. S. Personrdquo as that term is used in this Chart, please contact Katten Muchin Rosenman LLP. ldquoEligible Optionrdquo: As used in this Chart, in accordance with SEC no-action letters, the term ldquoEligible Optionrdquo means an index option or option on an individual security traded on a Foreign Options Market that is not fungible or interchangeable with options traded on any market other than the Foreign Options Market and, accordingly, each position in an Eligible Option issued by a clearing member of the Foreign Options Market can be closed out only on the Foreign Options Market. A ldquoForeign Options Marketrdquo means a non-U. S. derivatives market: (1) on which Eligible Options trade and (2) that is an organized exchange operated and regulated outside the United States. See LIFFE AampM and Class Relief, SEC No-Action Letter (Jul. 1, 2013) available here. 1 Reserved 2 The CFTC No-Action Letter also applies to BMampF Bovesparsquos ldquoIbovespa Rolloverrdquo and ldquoForward Points on the Ibovespardquo transactions. 3 The index is included in the CFTCrsquos and SECrsquos joint order dated May 31, 2002, extending the exclusion of such index from the definition of ldquonarrow-based security indexrdquo under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the ldquoJoint Orderrdquo). Foreign futures contracts or options on futures contracts on ldquonarrow-based securities indexesrdquo may not be offered or sold to U. S. Persons without the CFTC and SEC first developing joint regulations, which has not yet been done. Accordingly, the Joint Order effectively allows the stock index futures contracts and options on futures contracts that are based on the security indexes included in the Joint Order, which were granted no-action relief by the CFTC prior to the enactment of the Commodity Futures Modernization Act (ldquoCFMArdquo) on December 21, 2000, to continue to be offered and sold to U. S. Persons after July 11, 2002, the date that the exclusion set forth in the CFMA was to expire. 4 Bclear allows members to submit an option contract on a non-U. S. security that has been negotiated and completed as an over-the-counter (OTC) transaction so that LIFFE may replace the OTC transaction with an equivalent LIFFE options contract. LIFFE members that intend to offer or sell such products to U. S. Persons must satisfy the following conditions: (i) Bclear services may only be offered to a U. S. person that qualifies as an Eligible U. S. Institution (see above) (ii) the LIFFE member must obtain and maintain certain representations from the customer and (iii) before transacting, and on an annual basis thereafter, the LIFFE member must file a declaration with LIFFE. For additional information on these conditions, see LIFFE London Notice No. 3732. LIFFE maintains a list of Eligible Options, which includes (1) LIFFE individual equity options based on the securities of non-U. S. issuers and (2) LIFFE index options based on indexes that contain no component securities of U. S. issuers. The list of Eligible Options may be accessed here. 5 The SEC also has approved for Eligible U. S. Institutions all options on individual German-, Swiss-, Finnish-, Dutch-, Italian - and French-issued equities where those options are now or in the future listed on Eurex. Options on equities issued in any other country have not been approved at this time for trading by U. S. Persons on Eurex. 6 Eurex offers a KOSPI product that Eurex describes as a daily futures contract that expires every night, with any net open positions at the end of trading resulting in the establishment of a corresponding position in the Korean Exchangersquos KOSPI 200 Options (with strike prices, expiries, putcall and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 28111, the Dow Jones STOXX 600 Personal amp Household Goods Sector will no longer be tradable on Eurex trading terminals in the United States. after the close of business on February 29, 2012. The previously issued no-action letter approving such product for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 8 Pursuant to Eurex Circular 26011, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the United States see also Eurex Circular 28111. The previously issued no-action letter approving such product for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) has not been withdrawn. 9 Additional restrictions apply to the trading of these products by U. S. Persons. 10 Reserved 11 The SEC also has approved for Eligible U. S. Institutions all options on individual Swedish-, Norwegian - and Danish-issued equities where those options are now or in the future listed on the EDX London exchange. Options on equities issued in any other country have not been approved at this time for trading by U. S. Persons on the EDX London Exchange. Note: EDX London Exchange has been acquired by the Turquoise Exchange. 12 The RDX USD Index futures and options contracts have not been approved for sale to U. S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD ndash RDX Extended Index futures contract) for sale to U. S. Persons in a no-action letter issued on March 6, 2008, but Eurex subsequently delisted the contract. 13 The Istanbul Stock Exchange (ISE) is now part of the Borsa Istanbul (BIST). As such, references to ISE 30 have been changed to BIST 30 on VIOPrsquos trading platform and the CFTCrsquos website. For the definitions of ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 33 60970926 14 The London Stock Exchange offers options on Russian equity products through its International Order Book. Providing all applicable conditions are met, Eligible U. S. Institutions may trade these options through the Bclear service offered by LIFFE. See Footnote 4. 15 ICE Futures Europe listed the following non-U. S. stock exchanges in its claim for class relief: Borsa Italiana, Cophenhagen Stock Exchange, Deutsche Boerse, Euronext Amsterdam, Euronext Brussels, Euronext Lisbon, Euronext Paris, Helsinki Stock Exchange, Irish Stock Exchange, London Stock Exchange, London Stock Exchange International Order Book, Madrid Stock Exchange, Oslo Stock Exchange, SIX Swiss Exchange, Stockholm Stock Exchange and Vienna Stock Exchange. 16 This exchange has claimed relief under LIFFE AampM and Class Relief SEC No-Action Letter (Jul. 1, 2013) for Foreign Options Markets engaging in familiarization activities with Eligible U. S. Institutions with respect to Eligible Options. 17 Euronext Amsterdam listed the following regulated markets elsewhere in Europe for class relief: Euronext Brussels, Euronext Paris, London Stock Exchange, Deutsche Borse, Borsa Italiana, Bolsas y Mercados Espanoles, Swiss Exchange, OMX Stockholm, Oslo Stock Exchange, OMX Copenhagen, Weiner Borse, Irish Stock Exchange and OMX Helsinki. 18 Euronext Paris listed the following regulated markets elsewhere in Europe for class relief: Euronext Brussels, Euronext Amsterdam, London Stock Exchange, Deutsche Borse, Borsa Italiana, Bolsas y Mercados Espanoles, Swiss Exchange, OMX Stockholm, Oslo Stock Exchange, OMX Copenhagen, Weiner Borse, Irish Stock Exchange and OMX Helsinki. kattenlaw AUSTIN CENTURY CITY CHARLOTTE CHICAGO HOUSTON IRVING LONDON LOS ANGELES NEW YORK ORANGE COUNTY SAN FRANCISCO BAY AREA SHANGHAI WASHINGTON, DC Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion. copy2014 Katten Muchin Rosenman LLP. Alle rettigheter reservert. Katten Muchin Rosenman LLP is an Illinois limited liability partnership including professional corporations that has elected to be governed by the Illinois Uniform Partnership Act (1997). London affiliate: Katten Muchin Rosenman UK LLP To view all formatting for this article (eg, tables, footnotes), please access the original here. Foreign Markets, Products, Intermediaries Foreign Products Available to U. S. Customers Foreign Futures and Options Contracts The CFTC receives many inquiries regarding what foreign futures and options contracts may be offered or sold to customers located in the U. S. and what registration requirements are applicable to intermediaries who offer and sell those products. Approval of Products In general, the Commodity Exchange Act (CEA) and CFTC regulations do not restrict the offer or sale of foreign exchange-traded futures and commodity option products to customers located in the U. S. (61 Fed. Reg.10891). Special procedures do apply, however, to the offer or sale of security index and foreign government debt products. These procedures are outlined below. Please note that these procedures do not apply to foreign exchange-traded security futures products, including futures or futures options on narrow-based security indices, as defined in Section 1a(35) of the CEA. Foreign exchange-traded security futures products generally may only be offered or sold to certain sophisticated customers located in the U. S. pursuant to an Order issued by the U. S. Securities and Exchange Commission (SEC) and an Advisory issued by the CFTCs Division of Clearing and Intermediary Oversight (DCIO). (See CEA Section 2(a)(1)(E) and CEA Section 2(a)(1)(F) ). Registration of Intermediaries Please note that the offer and sale of any foreign futures or options contract to a customer located in the U. S. including those products subject to the special procedures described below, is subject to the requirements applicable to intermediaries set forth in Part 30 of the CFTC39s regulations. In particular, CFTC Regulation 30.4 requires an intermediary seeking to act on behalf of a U. S. customer for the purpose of trading foreign futures or options to register in the appropriate capacity with the CFTC (i. e. FCM, IB, CTA or CPO), or apply for an exemption from registration. This registration requirement applies to all intermediaries, regardless of where they are located. So, for example, a foreign firm that clears foreign futures trades on a fully-disclosed basis on behalf of a customer located in the U. S. must register as an FCM or obtain an exemption from FCM registration pursuant to CFTC Regulation 30.10. Any firm located outside the U. S. acting in the capacity of an IB, CTA or CPO may apply for an exemption pursuant to CFTC Regulation 30.5. For more information on the registration exemptions available under Part 30 of the CFTCs regulations, see Offer and Sale of Foreign Products to U. S. Customers . Applicability of Foreign Law Notwithstanding the foregoing product-based and intermediaries-based requirements, the offer and sale of foreign futures and options to customers located in the U. S. including those products subject to the special procedures described below, remains subject to the applicable laws and regulations in the foreign jurisdiction in which the listing exchange is located. Although U. S. customers may be permitted under the CEA to buy or sell a particular product, foreign law or regulations may not permit such activity to occur. For example, the law of a particular foreign jurisdiction may not allow a U. S. FCM either to become a clearing member on the foreign exchange or establish an omnibus account with a clearing member on that exchange. In these circumstances, a U. S. customer would not be able to buy or sell the foreign product, unless appropriate relief has been granted to the foreign regulator or the exchange pursuant to CFTC Regulation 30.10 . Product Requirements and Restrictions Foreign exchange-traded broad-based security index futures contracts (and options thereon): The CFTC must first certify that foreign exchange-traded broad-based security index futures contract (or option thereon) meets the requirements of section 2(a)(1)(C)(ii) of the Commodity Exchange Act. If a futures contract has been certified by the Commission, then the option on that particular contract (the futures option) may also be offered or sold in the United States, without any further regulatory action from the Commission. The procedure for requesting a CFTC certification of a broad-based security index future traded on a foreign board of trade is described in CFTC Regulation 30.13. Prior to October 2011, the CFTCs Office of the General Counsel must have first issued a no-action letter to allow the offer or sale of a foreign exchange-traded, broad-based security index futures contract in the United States. That no-action procedure was replaced by the Commission certification process. Foreign Security Index Futures and Futures Options Contracts for Which Commission Certification or No-Action Relief Has Been Granted and Which are Under Review Indexes Underlying Contracts of Foreign Boards of Trade Authorized by the CFTC Pre-CFMA Filing Requirements for Foreign Security Index Exemptions Foreign exchange-traded security futures products (futures or futures options on narrow-based security indices or single securities): Foreign exchange-traded security futures products may be offered or sold in the United States subject to certain conditions set out in the SEC Order and the DCIO Advisory. Foreign government debt obligations: Debt obligations of a foreign government must be designated as an exempted security by the U. S. Securities and Exchange Commission under SEC Rule 3a12-8 before a futures contract or option thereon can be offered or sold in the United States. Government debt instruments issued by the following countries have been designated by the SEC as exempted securities: United Kingdom, Canada, Japan, Australia, France, New Zealand, Austria, Denmark, Finland, the Netherlands, Switzerland, Germany, Italy, Ireland, Spain, Mexico, Brazil, Argentina, Venezuela, Belgium, and Sweden. See 17 CFR 240.3a12-8. Please contact the SECs Division of Trading and Markets at 202-551-5777 or tradingandmarketssec. gov for further information. Exception for sales to customers located outside the United States: The product requirements and restrictions may not apply to registered futures commission merchants (FCMs), introducing brokers (IBs), and commodity trading advisors (CTAs) in offering and selling (or providing advice with respect to) certain foreign exchange-traded products to customers located outside the United States. For a more detailed description of the terms and conditions of this exception for broad-based security indices and foreign government debt, see Offer and Sale of Foreign Exchange-Traded Options, and Foreign Exchange-Traded Futures Contracts Based on Foreign Stock Indexes and Foreign Government Debt, to Persons Located Outside the United States (57 FR 36369, Aug. 13, 1992). With regard to foreign exchange-traded security futures products, CEA Section 2(a)(1)(F)(i), 7 USC 2(a)(1)(F)(i), provides that nothing in the CEA is intended to prohibit a futures commission merchant from carrying security futures products traded on or subject to the rules of a foreign board of trade in the accounts of persons located outside of the United States. Although no comparable exceptive provision is provided for in the securities laws, the SECs Division of Trading and Markets has issued interim no-action relief to FCMs that are dually registered (including through notice registration) as FCMs and BrokerDealers to clear and carry positions with respect to certain non-U. S. security futures (foreign exchange-traded futures, but not options, on a single non-U. S. security or on a narrow-based security index that has no more than 10 percent of the securities underlying the index issued by a U. S. issuer or issuers) held in futures accounts for customers who are not U. S. persons, subject to certain conditions. This relief is effective until the SEC and the CFTC issue final regulations concerning these products. For information on foreign security index or sovereign debt products not covered here and on how to qualify such contracts or products for sale in the United States, contact the CFTCs Division of Market Oversight .
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