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Changes in SOX options components are proposed

Winston & Strawn LLP
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USA
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March 1 2010

On February 18th, the SEC provided notice of NASDAQ OMX PHLX's proposal to expand the number of components in the PHLX Semiconductor Sector known as SOX, on which options are listed and traded

Claims not precluded by SLUSA must be remanded to state court

Winston & Strawn LLP
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USA
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October 19 2009

On October 9th, the Ninth Circuit examined the jurisdictional and procedural aspects of the Securities Litigation Uniform Standards Act

House Financial Services Committee reviews proposed legislation

Winston & Strawn LLP
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USA
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October 19 2009

On October 14th, the House Financial Services Committee met to mark-up four financial services-related bills including the OTC Derivatives Markets Act and the Consumer Financial Protection Agency Act

SEC and CFTC issue Joint Report on Regulatory Harmonization

Winston & Strawn LLP
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USA
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October 19 2009

On October 16th, the SEC and CFTC issued a Joint Report on Regulatory Harmonization

OCC proposal to clear options based index-linked securities approved

Winston & Strawn LLP
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USA
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November 2 2009

On October 23rd, the SEC approved the Options Clearing Corporation's proposal to clear options based on index-linked securities

Amendment of options market obvious errors rule

Winston & Strawn LLP
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USA
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March 8 2010

On February 23rd, the SEC granted immediate effectiveness to the NASDAQ Stock Market's proposal to amend NASDAQ Options Market Rule Chapter V, Section 6, Obvious Errors, to provide for the review of transactions on NASDAQ's own motion

SEC to review ISE's proposed creation of a Qualified Contingent Cross Order

Winston & Strawn LLP
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USA
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November 16 2009

On November 12th, the SEC granted the Chicago Board Options Exchange's petition seeking review of the Division of Trading and Markets' order approving the International Securities Exchange's "Qualified Contingent Cross Order."

FINRA proposes quotation consolidation facility

Winston & Strawn LLP
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USA
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November 23 2009

On November 13th, the SEC provided notice of the Financial Industry Regulatory Authority's filing of a proposal to create a Quotation Consolidation Facility for OTC Equity Securities for regulatory and transparency purposes that would serve as a data consolidator for all quote data in the over-the-counter equity market

Agencies issue orders regarding security-based futures contracts

Winston & Strawn LLP
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USA
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November 23 2009

The SEC and CFTC issued two joint orders related to security-based futures contracts

FINRA delays the effective date for increased margin requirements for options on leveraged ETFs and day-trading requirements for leveraged ETFs

Winston & Strawn LLP
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USA
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November 23 2009

On November 17th, the Financial Industry Regulatory Authority deferred the effective date for increased customer margin for uncovered options overlying leveraged ETFs, as well as the application of day-trading margin requirements for leveraged ETFs to April 30, 2010

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