Save & file
View original
Forward
Share
Follow
Please login to follow content.
Like
Instruct

add to folder:

My saved (default)
Read later

Folders shared with you

Register now for your free, tailored, daily legal newsfeed service.

Questions? Please contact [email protected]

Foreign Listed Stock Index Futures and Options Approvals November 2016

Katten Muchin Rosenman LLP

To view this article you need a PDF viewer such as Adobe Reader.

If you can't read this PDF, you can view its text here. Go back to the PDF .

Global November 14 2016

November 2016

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 2016. All prior versions are superseded and should be discarded.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 for trading by U.S. Persons the Taiwan Futures Exchange's futures contract based on the Nifty 50 Index.

(2) The Taiwan Futures Exchange has announced that its futures contract based on the Taiwan Futures Exchange Electronic Sector Index is now deemed a narrow-based index and therefore may only be offered and sold to U.S. persons in compliance with the applicable requirements of both the SEC and the CFTC. See note 22.

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 Kevin M. Foley Gary A. DeWaal Christian B. Hennion

+1.312.902.5227 +1.312.902.5372 +1.212.940.6558 +1.312.902.5521

[email protected] [email protected] [email protected] [email protected]

Foreign Listed Stock Index Futures and Options Approvals

(November 2016)

Country/Exchange

Australia/ASX

Australia/ASX Australia/ASX Australia/ASX Australia/ASX Australia/ASX

Underlying

1-Day Option Contract based on the CBOT MiniSized Dow Futures Contract S&P/ASX 50

S&P/ASX 200

S&P/ASX 200 A-Reit

S&P/ASX 200 VIX Single name equities

Futures Contracts

Options on Futures Contracts

None offered

Approved for sale to U.S. Persons (August 8, 2006 No-Action Letter issued to Sydney Futures Exchange (SFE))

Approved for sale to U.S. Persons (July 24, 2002 No-Action Letter issued to ASX Futures Exchange)

None offered

Approved for sale to U.S. Persons (July 24, 2002 No-Action Letter issued to ASX Futures Exchange)

None offered

Not approved

None offered

Approved for sale to U.S. Persons (August 30, 2014 certification)

None offered

Equity Options

None offered

ETF Options

None offered

Approved for Eligible U.S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited)

None offered

Approved for Eligible U.S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited)

Not approved

Approved for Eligible U.S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited)

None offered

Approved for Eligible U.S. Institutions (August 13, 2007 SEC No-Action Letter issued to ASX Limited)

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Australia/ASX

Austria/Wiener Borse (Vienna Stock Exchange) Austria/Wiener Borse (Vienna Stock Exchange) Austria/Wiener Borse (Vienna Stock Exchange) Austria/Wiener Borse (Vienna Stock Exchange)

Belgium/Euronext Brussels16

Belgium/Euronext Brussels16 Belgium/Euronext Brussels16

Underlying

SPI 200

ATX

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (August 10, 1999 No-Action Letter issued to SFE)

Not approved

None offered

Equity Options

Not approved

ETF Options

None offered

CECE Indices (CEX, CTX, Not approved HTX, PTX)

Russian Traded

Not approved

None offered None offered

Not approved Not approved

None offered None offered

Single name equities

None offered

BEL 20

Approved for sale to U.S. Persons (August 31, 2011 No-Action Letter issued to Euronext Brussels)

None offered

Mini BEL 20 (index participation units)

Mini Euro STOXX (index participation units)

None offered None offered

Not approved (but see Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Approved for Eligible U.S. Institutions (September 17, 2014 Representation Letter from Euronext Brussels to SEC)4

None offered

Not approved

None offered

Not approved

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Futures Contracts

Options on Futures Contracts

Equity Options

ETF Options

Belgium/Euronext 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) (see also Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Brazil/BM&F Bovespa S.A.

S&P BSE SENSEX

Approved for sale to U.S. None offered Persons (March 12, 2013 certification)

None offered

Brazil/BM&F Bovespa S.A.

FTSE/JSE Top 40

Approved for sale to U.S. None offered Persons (March 12, 2013 certification)

None offered

Brazil/BM&F Bovespa S.A.

Hang Seng

Approved for sale to U.S. None offered Persons (March 12, 2013 certification)

None offered

Brazil/BM&F Bovespa S.A.

Ibovespa

Approved for sale to U.S. Persons (August 26, 2009 No-Action Letter issued to BM&F Bovespa S.A.)2

Approved for sale to U.S. Persons (August 26, 2009 No-Action Letter issued to BM&F Bovespa S.A.)

Not approved

Brazil/BM&F Bovespa S.A.

Ibovespa Flex

None offered

Not approved

None offered

Brazil/BM&F Bovespa S.A.

IBrX 50

Approved for sale to U.S. Persons (May 24, 2016 certification)

Not approved

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Brazil/BM&F Bovespa S.A.

Canada/Montreal Exchange (Bourse de Montral)

Underlying

MICEX Mini Ibovespa

S&P 500 Index

FTSE Emerging Markets Index

iShares S&P/TSX 60

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. None offered Persons (March 12, 2013 certification)

Approved for sale to U.S. Persons (August 26, 2009 No-Action Letter issued to BM&F Bovespa S.A.)

None offered

Approved for sale to U.S. Persons (September 24, 2012 certification)

Approved for sale to U.S. Persons (March 21, 2014 CFTC No-Action Letter issued to Montreal Exchange)

None offered

None offered (but see S&P/TSX 60)

None offered

Equity Options

None offered None offered

None offered

None offered (but see S&P/TSX 60)

iShares S&P/TSX Capped None offered (see also None offered

Energy

S&P/TSX Capped Sector)

None offered (but see S&P/TSX Capped Sector)

ETF Options

None offered

Approved for U.S. Persons generally pursuant to Registration Statement (see S&P/TSX Canada 60) Approved for U.S. Persons generally pursuant to Registration Statement (see S&P/TSX Canada 60)

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Canada/Montreal Exchange (Bourse de Montral)

Canada/Montreal Exchange (Bourse de Montral) Canada/Montreal Exchange (Bourse de Montral)

Underlying

Futures Contracts

Options on Futures Contracts

iShares S&P/TSX Capped None offered (see also None offered

Financials

S&P/TSX Capped Sector)

iShares S&P/TSX Global None offered Gold

None offered

iShares S&P/TSX Capped Information Technology

None offered (see also S&P/TSX Capped Sector below)

None offered

S&P/TSX 60 Index Mini Futures

S&P/TSX 60

Approved for sale to U.S. Persons (April 19, 2012 certification)

None offered

Approved for sale to U.S. Persons (December 9, 1999 CFTC No-Action Letter issued to Montreal Exchange)3

None offered

Equity Options

None offered (but see S&P/TSX Capped Sector)

None offered

None offered (but see S&P/TSX Capped Sector)

None offered

ETF Options

Approved for U.S. Persons generally pursuant to Registration Statement (see S&P/TSX Canada 60)

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 (but see iShares S&P/TSX 60)

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Canada/Montreal Exchange (Bourse de Montral)

Underlying

Futures Contracts

S&P/TSX Capped Sector Not approved

Canada/Montreal Exchange (Bourse de Montral)

Single name equities

None offered

China (see also Hong Kong and Taiwan)/China Financial Futures Exchange

CSI 300 Index Futures

Denmark/Nasdaq Copenhagen

OMX Copenhagen 20 (OMXC20)

Denmark/Nasdaq Copenhagen

Single name equities

Not approved

Not approved None offered

Options on Futures Contracts

None offered

Equity Options

ETF Options

Approved for U.S. Persons generally pursuant to Registration Statement (see S&P/TSX Canada 60)

None offered (but see iShares S&P/TSX Capped Energy; iShares S&P/TSX Capped Financials; iShares S&P/TSX Capped Information Technology)

Approved for all options on individual securities listed on the Montreal Exchange that are now or may in the future be listed for sale to U.S. Persons generally (Post-Effective Amendment No. 27 to Registration Statement on Form S-20 filed by Canadian Derivatives Clearing Corp.; SEC File No. 2-69458)

None offered

None offered None offered

Not approved

None offered

Not approved (but see U.K./ICE Futures Europe Single name equities; U.K./Turquoise Global Holdings Limited)4,11

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Finland/Nasdaq Helsinki Single name equities

France/Euronext Paris S.A.16

CAC 40

France/Euronext Paris S.A.16

CAC 40 Mini

France/Euronext Paris S.A.16

Euro STOXX 50

France/Euronext Paris S.A.16

STOXX 50

Futures Contracts

None offered

Options on Futures Contracts

None offered

Approved for sale to U.S. Persons (December 17, 1991 No-Action Letter issued to ParisBourse)3

None offered

Approved for sale to U.S. Persons (September 13, 2013 certification)

None offered

Approved for sale to U.S. Persons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3

None offered

Approved for sale to U.S. Persons (February 29, 2000 CFTC No-Action Letter issued to ParisBourse)3

None offered

Equity Options

ETF Options

Not approved (but see Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Approved for Eligible U.S. Institutions (June 17, 1996 SEC No-Action Letter issued to MONEP, confirmed by December 6, 1999 SEC No-Action Letter issued to ParisBourse)4

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

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 "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

France/Euronext Paris S.A.16 France/Euronext Paris S.A.16

France/Euronext Paris S.A.16

Underlying

STOXX 600 Sectors (Bank, Energy, Healthcare, Technology, Telecommunications) FTSE EPRA/NAREIT Euro Zone

FTSE EPRA/NAREIT Europe

FTSEurofirst 100

FTSEurofirst 80

Futures Contracts

Not approved

Options on Futures Contracts

None offered

Equity Options

Not approved

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

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

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 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

Approved for Eligible U.S. Institutions (September 17, 2014 Representation Letter from Euronext Paris to SEC)4

ETF Options

None offered Not approved

Not approved

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Futures Contracts

Options on Futures Contracts

Equity Options

ETF Options

France/Euronext 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) (see also Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Germany/Brse Frankfurt

Single name equities

None offered

Not approved (but see Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Germany/Eurex16

ATX

Not approved

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Germany/Eurex16

ATX five

Not approved

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Germany/Eurex16

CECE EUR

Not approved

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

Not approved

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16

Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16

Germany/Eurex16

Underlying

DAX

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (December 20, 1994 CFTC No-Action Letter issued to Deutsche Terminborse)3, 22

None offered

DivDAX

Not approved

None offered

Dow Jones Banks Titans Not approved 30

None offered

Dow Jones Insurance Titans 30

Not approved

None offered

Dow Jones Oil and Gas Titans 30

Not approved

None offered

Dow Jones Telecommunications Titans 30

Not approved

None offered

Dow Jones Utilities Titans Not approved 30

None offered

Dow Jones Global Titans 50 (EUR)

Approved for sale to U.S. Persons (July 18, 2002 CFTC No-Action Letter issued to Eurex)

None offered

Dow Jones Global Titans 50 Index (USD)

Approved for sale to U.S. Persons (June 4, 2012 certification)

None offered

Equity Options

ETF Options

Approved for Eligible U.S. Institutions, including weekly options with expiries on 1st, 2nd, 4th and 5th Fridays (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

None offered Not approved20

None offered None offered

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16 Germany/Eurex16

Germany/Eurex16

Germany/Eurex16 Germany/Eurex16

Underlying

Futures Contracts

Options on Futures Contracts

Dow Jones Italy Titans 30

Approved for sale to U.S. Persons (November 23, 2005 CFTC No-Action Letter issued to Eurex)

None offered

EURO STOXX

Approved for sale to U.S. Persons (June 4, 2012 certification)

None offered

EURO STOXX 50

Approved for sale to U.S. Persons (April 6, 2000 CFTC No-Action Letter issued to Eurex)3, 22

None offered

EURO STOXX 50 Dividend

EURO STOXX 50 Ex Financials Index

Not approved

Approved for sale to U.S. Persons (August 27, 2012 certification)

None offered

EURO STOXX 50 Quanto

Approved for sale to U.S. Persons (March 21, 2016 certification)

None offered

EURO STOXX 50 Variance

Approved for sale to U.S. Persons (November 15, 2014 certification)

None offered

Equity Options

Not approved

ETF Options

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Approved for Eligible U.S. Institutions, including weekly options with expiries on 1st, 2nd, 4th and 5th Fridays (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Not approved

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

None offered None offered

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16

Underlying

EURO STOXX Banks

Futures Contracts

Not approved8

Options on Futures Contracts

None offered

Equity Options

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)19

ETF Options

None offered

Germany/Eurex16

EURO STOXX Banks Dividend

Not approved

None offered

Germany/Eurex16

EURO STOXX Large

Approved for sale to U.S. Persons (June 4, 2012 certification)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Germany/Eurex16

EURO STOXX Mid

Approved for sale to U.S. Persons (June 4, 2012 certification)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Germany/Eurex16

EURO STOXX Select Dividend 30

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 (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Germany/Eurex16

EURO STOXX Small

Approved for sale to U.S. Persons (June 4, 2012 certification)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Germany/Eurex16

Various other EURO STOXX Sector Indices

Not approved

None offered

Certain of these options are approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)19

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16 Germany/Eurex16

Germany/Eurex16 Germany/Eurex16 Germany/Eurex16

Underlying

KOSPI 200 Options6 MDAX

Mini DAX Mini Euro STOXX 50 Volatility (VSTOXX)

MSCI AC Asia Pacific MSCI AC Asia Pacific exJapan

MSCI ACWI MSCI ACWI ex US MSCI Australia

Futures Contracts

Options on Futures Contracts

Not approved

None offered

Approved for sale to U.S. Persons (March 14, 2006 CFTC No-Action Letter issued to Eurex)

None offered

Approved for sale to U.S. Persons (October 22, 2015 certification)

None offered

Approved for sale to U.S. Persons (July 20, 2012 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. Persons (June 17, 2013 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Equity Options

Not approved Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC) None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC) None offered

None offered

ETF Options

None offered None offered

None offered None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16

Germany/Eurex16

Germany/Eurex16 Germany/Eurex16 Germany/Eurex16

Underlying

MSCI China Free

MSCI Emerging Markets

MSCI Emerging Markets Net Total Return (Eurodenominated) MSCI Emerging Markets Asia

MSCI Emerging Markets EMEA

MSCI Emerging Markets Price Index

MSCI Emerging Markets Latin America

MSCI EMU

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered None offered

Approved for sale to U.S. None offered Persons (March 31, 2015 certification)

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

Approved for sale to U.S. None offered Persons (March 31, 2015 certification)

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Equity Options

None offered

Not approved

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC) Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC) Not approved

Not approved

None offered

ETF Options

None offered Not approved None offered None offered

None offered

None offered None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16

Underlying

MSCI Europe

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (June 17, 2013 certification)

None offered

Equity Options

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

ETF Options

Not approved

Germany/Eurex16

MSCI Europe exSwitzerland

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Germany/Eurex16

MSCI Europe Growth

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Germany/Eurex16

MSCI Europe Price Index

Approved for sale to U.S. None offered Persons (March 31, 2015 certification)

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Germany/Eurex16

MSCI Europe Net Total Return (USD)

Approved for sale to U.S. Persons (June 22, 2016 certification)

None offered

Germany/Eurex16

Germany/Eurex16 Germany/Eurex16

MSCI Europe Value

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

MSCI Frontier Markets Index

MSCI Hong Kong

Approved for sale to U.S. Persons (July 14, 2014 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

None offered None offered

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16

Underlying

Futures Contracts

Options on Futures Contracts

MSCI India

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

MSCI Indonesia

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

MSCI Japan

Approved for sale to U.S. Persons (June 17, 2013 certification)

None offered

MSCI Japan Gross Total Return (USD)

Approved for sale to U.S. Persons (June 22, 2016 certification)

None offered

MSCI Kokusai Gross Total Approved for sale to U.S.

Return

Persons (August 4, 2016

certification)

None offered

MSCI Kokusai Net Total Return

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

MSCI Malaysia

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

MSCI Mexico

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

MSCI Pacific Gross Total Return

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

MSCI Pacific Net Total Return

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Equity Options

None offered None offered None offered None offered None offered None offered None offered None offered None offered None offered

ETF Options

None offered None offered None offered None offered None offered None offered None offered None offered None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16

Underlying

MSCI Pacific ex Japan

Germany/Eurex16

MSCI Russia

Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16

MSCI South Africa

MSCI Thailand

MSCI United Kingdom

MSCI USA Equal Weighted MSCI USA

MSCI USA Momentum

MSCI USA Quality

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Not approved

None offered

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

Approved for sale to U.S. Persons (February 4, 2014 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Equity Options

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC) None offered

None offered

ETF Options

None offered None offered

None offered None offered None offered None offered None offered None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16

Underlying

MSCI USA Value Weighted

Germany/Eurex16

MSCI World

Germany/Eurex16 Germany/Eurex16

MSCI World Net Total Return (Eurodenominated)

MSCI World MidCap

Germany/Eurex16

MSCI World Price Index

Germany/Eurex16

OMXH25 (HEX 25 Finnish)

Germany/Eurex16

RDX EUR

Germany/Eurex16

RDX USD12

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. Persons (June 17, 2013 certification)

None offered

Approved for sale to U.S. None offered Persons (March 31, 2015 certification)

Approved for sale to U.S. Persons (August 4, 2016 certification)

None offered

Approved for sale to U.S. None offered Persons (March 31, 2015 certification)

Not approved

None offered

Not approved

None offered

Not approved

None offered

Equity Options

None offered

Not approved

None offered

Not approved

ETF Options

None offered None offered None offered None offered None offered None offered

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16

Underlying

SENSEX

Germany/Eurex16

Single name equities

Germany/Eurex16

SLI Swiss Leader

Germany/Eurex16

STOXX Europe 50

Germany/Eurex16

STOXX Europe 600

Futures Contracts

Not approved

Options on Futures Contracts

None offered

Not approved

None offered

Approved for sale to U.S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex)

None offered

Approved for sale to U.S. Persons (April 6, 2000 CFTC No-Action Letter issued to Eurex)3

None offered

Approved for sale to U.S. Persons (June 4, 2012 certification; see also July 18, 2007 CFTC No-Action Letter issued to Eurex)

None offered

Equity Options

ETF Options

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Approved for Eligible U.S. Institutions for options on equities listed and traded on other exchanges excluding U.S. securities (December 1, 2015 Representation Letter from Eurex to SEC)5

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16 Germany/Eurex16

Underlying

STOXX Europe 600 Banks

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex)

None offered

STOXX Europe 600 Industrial Goods & Services

Approved for sale to U.S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex)

None offered

STOXX Europe 600 Insurance

Approved for sale to U.S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex)

None offered

STOXX Europe 600 Media

Approved for sale to U.S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex)

None offered

STOXX Europe 600 Personal & Household Goods

Not approved7

None offered

STOXX Europe 600 Travel & Leisure

Approved for sale to U.S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex)

None offered

Equity Options

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)19

ETF Options

None offered None offered None offered None offered None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16 Germany/Eurex16

Germany/Eurex16

Germany/Eurex16 Germany/Eurex16

Germany/Eurex16

Underlying

STOXX Europe 600 Utilities

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex)

None offered

Various other STOXX

Not approved

Europe 600 Sector Indices

None offered

STOXX Europe Large 200

Approved for sale to U.S. Persons (June 4, 2012 certification; see also February 6, 2008 CFTC No-Action Letter issued to Eurex)

None offered

STOXX Europe Mid 200

Approved for sale to U.S. Persons (June 4, 2012 certification; see also July 18, 2007 CFTC No-Action Letter issued to Eurex)

None offered

STOXX Europe Small 200

Approved for sale to U.S. Persons (June 4, 2012 certification; see also February 6, 2008 CFTC No-Action Letter issued to Eurex)

None offered

STOXX Global Select Dividend 100

Approved for sale to U.S. Persons (February 2, 2016 certification)

None offered

Equity Options

ETF Options

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)19

None offered

Certain of these options are approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)19

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC)

None offered None offered

Not approved

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Germany/Eurex16

Underlying

Futures Contracts

Swiss Market Index (SMI) Not approved

Options on Futures Contracts

None offered

Germany/Eurex16

Germany/Eurex16 Germany/Eurex16

Swiss Market Index Midcap (SMIM)

TA-25

TecDAX

Approved for sale to U.S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex)

None offered

Approved for sale to U.S. Persons (July 14, 2014 certification)

None offered

Approved for sale to U.S. Persons (August 18, 2008 CFTC No-Action Letter issued to Eurex)

None offered

Greece/Athens Exchange Derivatives Market

FTSE/ATHEX Large Cap

Greece/Athens Exchange Derivatives Market

FTSE/ATHEX Mid Cap

Hong Kong/Hong Kong CES China 120 Exchanges and Clearing Ltd. (HKEX)16

Hong Kong/Hong Kong DJIA Exchanges and Clearing Ltd. (HKEX)16

Not approved

None offered

Not approved

None offered

Approved for sale to U.S. Persons (September 17, 2013 certification)

None offered

Not approved

None offered

Equity Options

Approved for Eligible U.S. Institutions (December 1, 2015 Representation Letter from Eurex to SEC) Not approved

Not approved

None offered

ETF Options

Not approved20

None offered

None offered None offered

None offered None offered None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Futures Contracts

Options on Futures Contracts

Equity Options

ETF Options

Hong Kong/Hong Kong FTSE/Xinhua China 25 Exchanges and Clearing Ltd. (HKEX)16

Approved for sale to U.S. Persons (September 26, 2006 CFTC No-Action Letter issued to HKFE)

None offered

Not approved

None offered

Hong Kong/Hong Kong Hang Seng Exchanges and Clearing Ltd. (HKEX)16

Approved for sale to U.S. Persons (June 1, 1994 CFTC No-Action Letter issued to HKFE)3

None offered

Approved for Eligible U.S. Institutions (August 24, 2015 Representation Letter from Hong Kong Futures Exchange Limited to SEC; September 26, 1995 SEC No-Action Letter issued to HKFE)

None offered

Hong Kong/Hong Kong HSCEI Dividend Point Exchanges and Clearing Index Ltd. (HKEX)16

Not Approved

None offered

Hong Kong/Hong Kong H-Shares (Hang Seng Exchanges and Clearing China Enterprises Index) Ltd. (HKEX)16

Approved for sale to U.S. Persons (September 26, 2006 CFTC No-Action Letter issued to HKFE)

None offered

Approved for Eligible U.S. Institutions (August 24, 2015 Representation Letter from Hong Kong Futures Exchange Limited to SEC)

None offered

Hong Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16

HSI Volatility Index (VHSI)

Approved for sale to U.S. Persons (September 17, 2013 certification)

None offered

Hong Kong/Hong Kong Mini Hang Seng Exchanges and Clearing Ltd. (HKEX)16

Approved for sale to U.S. Persons (January 16, 2009 CFTC No-Action Letter issued to HKFE)

None offered

Approved for Eligible U.S. Institutions (August 24, 2015 Representation Letter from Hong Kong Futures Exchange Limited to SEC)

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Hong Kong/Hong Kong Mini Hang Seng China Exchanges and Clearing Enterprises Index Ltd. (HKEX)16

Hong Kong/The Stock Exchange of Hong Kong Limited (SEHK)16

Single name equities

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (January 16, 2009 CFTC No-Action Letter issued to HKFE)

None offered

Hungary/Budapest Stock BUX Exchange

Not approved

None offered

India/Bombay Stock Exchange (BSE)

India/National Stock Exchange of India Ltd. (NSE)

BSE Sensitive Index of 30 Stocks (Sensex)9 DOLLEX-309

Approved for sale to U.S. Persons (June 14, 2006 CFTC No-Action Letter issued to BSE)

Not approved

None offered None offered

S&P BSE 1009 Bank Nifty9

Approved for sale to U.S. Persons (September 24, 2013 certification)

None offered

Not approved

None offered

CNXIT9

Not approved

None offered

Equity Options

Not approved

ETF Options

None offered

Approved for Eligible U.S. Institutions (August 24, 2015 Representation Letter from The Stock Exchange of Hong Kong Limited to SEC)

None offered

Not approved

None offered

Not approved

None offered

Not approved Not approved Not approved Not approved

None offered None offered None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

India/National Stock Exchange of India Ltd. (NSE)

Underlying

S&P CNX Nifty ("Nifty 50")9

Ireland/Irish Stock Exchange

Single name equities

Israel/Tel Aviv Stock Exchange

Italy/Borsa Italiana IDEM16

TA-25 TA Banks FTSE MIB Dividend FTSE MIB

Italy/Borsa Italiana IDEM16

Mini FTSE MIB

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (October 17, 2003 CFTC No-Action Letter issued to NSE)

None offered

Not approved

None offered

Equity Options

Not approved

ETF Options

None offered

Not approved (but see Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Not approved

None offered

Not approved

None offered

Not approved

None offered

Approval pending

None offered

Approved for sale to U.S. Persons (August 30, 2004 CFTC No-Action Letter issued to Borsa Italiana)

None offered

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 4, 2015 Representation Letter from Borsa Italiana to SEC; September 24, 2004 SEC No-Action Letter issued to Borsa Italiana)

None offered

None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Futures Contracts

Options on Futures Contracts

Equity Options

ETF Options

Italy/Borsa Italiana IDEM16

Single name equities

Not approved

None offered

Approved for Eligible U.S. Institutions (September 4, 2015 Representation Letter from Borsa Italiana to SEC; see also September 1, 1998 SEC No-Action Letter issued to Borsa Italiana with respect to options on individual ISE equities) (see also Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Japan/Osaka Exchange DJIA (OSE)16

Approved for sale to U.S. Persons (June 15, 2012 certification)

None offered

Japan/Osaka Exchange FTSE Japan (OSE)16

Approved for sale to U.S. Persons (February 13, 2003 No-Action Letter issued to OSE)

None offered

Japan/Osaka Exchange JPX-Nikkei Index 400 (OSE)16

Approved for sale to U.S. Persons (October 21, 2014 certification)

None offered

Not approved

None offered

Japan/Osaka Exchange Mini Nikkei 225 (OSE)16

Approved for sale to U.S. Persons (July 10, 2006 CFTC No-Action Letter issued to OSE)3

None offered

Japan/Osaka Exchange Mini Tokyo Stock Price

(OSE)16

Index (TOPIX)

Approved for sale to U.S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE)

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Japan/Osaka Exchange (OSE)16 Japan/Osaka Exchange (OSE)16

Nikkei 225 Dividend Nikkei 225

Japan/Osaka Exchange Nikkei Stock Average

(OSE)16

Volatility

Japan/Osaka Exchange Russell/Nomura Prime (OSE)16

Japan/Osaka Exchange Single name equities (OSE)16

Japan/Osaka Exchange Tokyo Stock Exchange

(OSE)16

Mothers Index

Futures Contracts

Not approved

Options on Futures Contracts

None offered

Equity Options

None offered

ETF Options

None offered

Approved for sale to U.S. Persons (January 16, 1992 CFTC No-Action Letter issued to OSE)3

None offered

Approved for sale to U.S. Persons (March 9, 2012 certification)

None offered

Approved for sale to U.S. Persons (March 14, 2005 No-Action Letter issued to OSE)

None offered

Approved for sale to U.S. Persons (July 12, 2016 certification)

None offered

Approved for Eligible U.S. Institutions (July 23, 1999 SEC No-Action Letter issued to OSE)

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

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Japan/Osaka Exchange Tokyo Stock Exchange

(OSE)16

REIT

Japan/Osaka Exchange TOPIX (OSE)16

Japan/Osaka Exchange TOPIX 150 (OSE)16

Japan/Osaka Exchange (OSE)16 Japan/Osaka Exchange (OSE)16

TOPIX Banks TOPIX Core30

Japan/Tokyo Financial Exchange (TFX)

Nikkei 225 Margin

Korea see South Korea

Malaysia/Bursa Malaysia FTSE Bursa Malaysia

Derivatives Berhad

Kuala Lumpur Composite

(BMD)

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE)

None offered

Approved for sale to U.S. Persons (January 16, 1992 CFTC No-Action Letter issued to TSE)3

None offered

Approved for sale to U.S. Persons (May 23, 2001 CFTC No-Action Letter issued to TSE)3

None offered

Not approved

None offered

Approved for sale to U.S. Persons (November 9, 2009 CFTC No-Action Letter issued to TSE)

None offered

Not approved

None offered

Approved for sale to U.S. Persons (June 28, 2011 CFTC No-Action Letter issued to Bursa Malaysia Derivatives Berhad)

Approved for sale to U.S. Persons (June 28, 2011 CFTC NoAction Letter issued to Bursa Malaysia Derivatives Berhad)

Equity Options

None offered

ETF Options

None offered

Approved for Eligible U.S. Institutions (July 27, 1999 SEC No-Action Letter issued to TSE)

None offered

Approved for Eligible U.S. Institutions (November 15, 2002 SEC No-Action Letter issued to TSE)

None offered

None offered Not approved

None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Mexico/Mexican Derivatives Exchange (MEXDER)

Underlying

IPC

Mexico/Mexican Derivatives Exchange (MEXDER)

Netherlands/Euronext Amsterdam Derivatives Markets N.V.16

Mini IPC AEX

Netherlands/Euronext Amsterdam Derivatives Markets N.V.16

AEX Mini Amsterdam Mid-Kap FTSE Eurotop 100

Futures Contracts

Options on Futures Contracts

Equity Options

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 NoAction Letter issued to Mercado Mexicano de Derivados, S.A. de C.V.)

None offered

Approved for sale to U.S. None offered Persons (March 26, 2014 certification)

None offered

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

Approved for sale to U.S. Persons (September 13, 2013 certification)

None offered

Not approved

None offered

Not approved

ETF Options

Not approved

None offered None offered

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

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Netherlands/Euronext Amsterdam Derivatives Markets N.V.16

Light AEX

Netherlands/Euronext Amsterdam Derivatives Markets N.V.16

PSI 20 Single name equities

New Zealand/NZFOE

Norway/Oslo Stock Exchange

NZX 10 OBX

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (April 7, 2003 CFTC No-Action Letter issued to Euronext Amsterdam Derivatives Markets N.V.)

None offered

None offered (but see Euronext Lisbon)

None offered

Equity Options

Not approved

Not approved4

ETF Options

None offered

Not approved

Not approved Not approved

None offered

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 Letter from Euronext Amsterdam to SEC) (see also Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Not approved

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Norway/Oslo Stock Exchange

Underlying

Single name equities

Poland/Warsaw Stock Exchange

WIG20

Portugal/Euronext Lisbon

PSI 20 Single name equities

Russia

Single name equities

Russia/Moscow Exchange (Moscow Interbank Currency Exchange and Russian Trading System Stock Exchange)

MICEX Index

Futures Contracts

None offered

Options on Futures Contracts

None offered

Approved for sale to U.S. Persons (May 15, 2015 certification)

None offered

Not approved

None offered

Not approved

None offered

Not approved

Equity Options

ETF Options

Not approved (but see U.K./ICE Futures Europe Single name equities; U.K./Turquoise Global Holdings Limited Single name equities)4,11

None offered

Not approved

None offered

None offered (but see Euronext Amsterdam)4

Not approved (but see U.K./ICE Futures Europe Single name equities)4

See Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities; U.K./London Stock Exchange Derivatives Single name equities4,5,14

None offered

None offered None offered -

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Futures Contracts

Options on Futures Contracts

Equity Options

ETF Options

Russia/Moscow Exchange (Moscow Interbank Currency Exchange and Russian Trading System Stock Exchange)

MICEX Index (mini)

Not approved

None offered

Russia/Moscow Exchange (Moscow Interbank Currency Exchange and Russian Trading System Stock Exchange)

RTS Index

Approval pending

Not approved

None offered

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

Dow Jones Thailand

Not approved (the requested approval was deemed withdrawn by the CFTC in 2004)

None offered

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

Euro STOXX 50

Approved for sale to U.S. None offered Persons (March 22, 2012 certification)

None offered

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

FTSE/Xinhua China A50

Approved for sale to U.S. Persons (January 26, 2012 certification)

None offered

Singapore/Singapore 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

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

MSCI Asia APEX 50

Approved for sale to U.S. Persons (January 26, 2012 certification)

None offered

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

MSCI China Free Index

Approved for sale to U.S. Persons (April 4, 2016 certification)

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

Underlying

MSCI Hong Kong+

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

MSCI India MSCI Indonesia MSCI Malaysia Index MSCI Philippines MSCI Singapore Free

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

MSCI Taiwan

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

MSCI Thailand

Futures Contracts

Options on Futures Contracts

Equity Options

Approved for sale to U.S. Persons (December 17, 1999 CFTC No-Action Letter issued to SIMEX)

None offered

Approved for sale to U.S. Persons (January 20, 2014 certification)

None offered

Approved for sale to U.S. None offered Persons (October 2, 2012 certification)

None offered

Approved for sale to U.S. Persons (November 25, 2014 certification)

None offered

Approved for sale to U.S. Persons (January 20, 2014 certification)

None offered

Approved for sale to U.S. Persons (June 21, 2000 CFTC No-Action Letter issued to SGX-DT)3

Approved for sale to U.S. Persons (June 21, 2000 CFTC NoAction Letter issued to SGX-DT)3

None offered

Approved for sale to U.S. Persons (August 29, 1997 CFTC No-Action Letter issued to SIMEX)3

Approved for sale to U.S. Persons (August 29, 1997 CFTC NoAction Letter issued to SIMEX)3

None offered

Approved for sale to U.S. Persons (January 20, 2014 certification)

None offered

ETF Options

None offered None offered None offered None offered None offered None offered

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Futures Contracts

Options on Futures Contracts

Equity Options

ETF Options

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

Nifty Midcap 50

Approved for sale to U.S. None offered Persons (April 15, 2016)

None offered

Singapore/Singapore 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

None offered

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

Nikkei 225 (USD)

Approved for sale to U.S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT)

None offered

Singapore/Singapore 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

None offered

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

Nifty 50

Approved for sale to U.S. Persons (January 7, 2004 CFTC No-Action Letter issued to SGX-DT)

None offered

Not approved

None offered

Singapore/Singapore 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

Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT)

SGX Straits Times (STI)

Not approved

None offered

South Africa/JSE/SAFEX ALSI/FTSE JSE 40

Approved for sale to U.S. Persons (June 28, 2002 CFTC No-Action Letter issued to SAFEX)

None offered

Not approved

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

South Africa/JSE/SAFEX Financial

South Africa/JSE/SAFEX FTSE/JSE Shareholder Weighted Top 40 Index (DTOP)

South Africa/JSE/SAFEX Industrial

South Africa/JSE/SAFEX Mining

South Korea/Korea Exchange

KOSDAQ 150

South Korea/Korea Exchange

KOSPI 200

South Korea/Korea Exchange

Spain/Madrid Stock Exchange

Mini KOSPI 200 Single name equities

Spain/MEFF

IBEX 35

Spain/MEFF Spain/MEFF

IBEX 35 Mini S&P Euro

Futures Contracts

Not approved Not approved

Options on Futures Contracts

None offered

Not approved

Equity Options

None offered None offered

ETF Options

None offered None offered

Not approved Not approved Not approved

None offered None offered None offered

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

Approved for sale to U.S. Persons (August 8, 1994 CFTC No-Action Letter issued to MEFF)3

None offered

Not approved

Approved for sale to U.S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF)

None offered

None offered None offered None offered

Not approved

None offered None offered None offered

None offered

Not approved

None offered

Not approved (but see Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Not approved

None offered

None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Spain/MEFF

Sweden/Stockholm Stock Exchange Ltd.

Underlying

S&P Europe 350 OMXcap OMXS30 (formerly OMX)

Single name equities

VINX30

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (June 14, 2001 CFTC No-Action Letter issued to MEFF)

None offered

Approved for sale to U.S. Persons (May 25, 2000 CFTC No-Action Letter issued to OM Stockholm)3

None offered

Approved for sale to U.S. Persons (June 3, 1998 CFTC No-Action Letter issued to OM Stockholm, and reaffirmed April 17, 2007, CFTC No-Action Letter issued to Stockholm Stock Exchange Ltd. (formerly OM Stockholm))3

None offered

Not approved

None offered

Approved for sale to U.S. Persons (November 13, 2007 CFTC No-Action Letter issued to OMX Stockholm)

None offered

Equity Options

None offered

ETF Options

None offered

Not approved

None offered

Not approved

None offered

Not approved (but see Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities; U.K./Turquoise Global Holdings Limited Single name equities)4,5,11

None offered

Not approved

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Switzerland/SIX Swiss Exchange Ltd

Taiwan/Taiwan Futures Exchange

Underlying

Single name equities

Futures Contracts

None offered

Options on Futures Contracts

None offered

Electronic Sector

Not approved23

None offered

Finance Sector

Approved for sale to U.S. Persons (May 16, 2005 CFTC No-Action Letter issued to Taiwan Futures Exchange)

None offered

Taipei Exchange Capitalization Weighted Stock Index

Approved for sale to U.S. Persons (October 24, 2011 No-Action Letter issued to Taiwan Futures Exchange)

None offered

Mini-TAIEX

Approved for sale to U.S. Persons (June 2, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange)

None offered

MSCI Taiwan (Taiwan Futures Exchange delisted the product on September 22, 2011)

Approved for sale to U.S. Persons (October 11, 2006 CFTC No-Action Letter issued to Taiwan Futures Exchange)

None offered

Equity Options

ETF Options

Not approved (but see Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Approved for Eligible U.S. Institutions (February 2, 2016 Representation Letter from Taiwan Futures Exchange to SEC)

None offered

Approved for Eligible U.S. Institutions (February 2, 2016 Representation Letter from Taiwan Futures Exchange to SEC)

None offered

Approved for Eligible U.S. Institutions (February 2, 2016 Representation Letter from Taiwan Futures Exchange to SEC)

None offered

Not approved

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

Taiwan/Taiwan Futures Nifty 50 Exchange

Taiwan/Taiwan Futures TAIEX Exchange

Taiwan/Taiwan Futures Exchange

Taiwan Stock Exchange Non-Finance NonElectronics

Taiwan/Taiwan Futures TOPIX Exchange

Taiwan/Taiwan Futures Exchange

Thailand/Thailand Futures Exchange PCL

TSEC Taiwan 50 SET50

Turkey/Borsa stanbul Derivatives Market

(VIOP)

BIST 30 (formerly ISE 30)13

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (November 8, 2016 certification)

None offered

Approved for sale to U.S. Persons (July 1, 2004 CFTC No-Action Letter issued to Taiwan Futures Exchange)

None offered

Approved for sale to U.S. Persons (April 1, 2008 CFTC No-Action Letter issued to Taiwan Futures Exchange)

None offered

Approved for sale to U.S. Persons (July 26, 2016 certification)

None offered

Not approved

None offered

Equity Options

None offered

Approved for Eligible U.S. Institutions (February 2, 2016 Representation Letter from Taiwan Futures Exchange to SEC)

None offered

Approved for sale to U.S. Persons (November 26, 2008 CFTC No-Action Letter issued to Thailand Futures Exchange)

None offered

Approved for sale to U.S. Persons (August 17, 2010 CFTC No-Action Letter issued to Turkish Derivatives Exchange)

None offered

Not approved Not approved

ETF Options

None offered None offered

None offered

None offered None offered None offered

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

U.K./ICE Futures Europe16

Underlying

AEX

U.K./ICE Futures Europe16

BEL 20

U.K./ICE Futures Europe16

CAC 40

U.K./ICE Futures Europe16

FTSE 100

U.K./ICE Futures Europe16 U.K./ICE Futures Europe16

FTSE 100 Dividend RDSA Withholding

FTSE 100 FLEX

Futures Contracts

None offered

Options on Futures Contracts

None offered

Approved for sale to U.S. Persons (January 16, 1990 CFTC No-Action Letter issued to LIFFE)3

None offered

Not approved

None offered

Equity Options

ETF Options

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)4

None offered

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)4

None offered

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)4

None offered

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC) (see also May 1, 1992 SEC No-Action Letter issued to LIFFE)4

None offered

Approved for Eligible U.S. Institutions (March 6, 1996 SEC No-Action Letter issued to LIFFE)

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

U.K./ICE Futures Europe16

Underlying

FTSE 250 (GBP 2 Multiplier)

U.K./ICE Futures Europe16 U.K./ICE Futures Europe16 U.K./ICE Futures Europe16

FTSE 250 (Mid-Cap) FTSE Eurobloc 100 FTSEurofirst 80

U.K./ICE Futures Europe16

FTSEurofirst 100

U.K./ICE Futures Europe16

FTSE Eurotop 100

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (January 10, 2014 certification)

None offered

Approved for sale to U.S. Persons (July 27, 1994 CFTC No-Action Letter issued to LIFFE)3

None offered

Approved for sale to U.S. Persons (April 5, 2000 CFTC No-Action Letter issued to LIFFE)3

None offered

Approved for sale to U.S. Persons (January 22, 2004 CFTC No-Action Letter issued to LIFFE)3

None offered

Approved for sale to U.S. Persons (January 22, 2004 CFTC No-Action Letter issued to LIFFE)3

None offered

Approved for sale to U.S. Persons (March 10, 2000 CFTC No-Action Letter issued to LIFFE)3

None offered

Equity Options

ETF Options

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)4

None offered

None offered None offered

None offered

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)4

None offered

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)4

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

U.K./ICE Futures Europe16

Underlying

FTSE Eurotop 300

U.K./ICE Futures Europe16

FTSE Eurotop 300 (ex. U.K.)

U.K./ICE Futures Europe16

Mini FTSE 100

U.K./ICE Futures Europe16

MSCI Europe Net Total Return (Eurodenominated)21

U.K./ICE Futures Europe16 U.K./ICE Futures Europe16 U.K./ICE Futures Europe16

MSCI Pan-Euro MSCI World PSI 20

Futures Contracts

Options on Futures Contracts

Approved for sale to U.S. Persons (April 5, 2000 CFTC No-Action Letter issued to LIFFE)3

None offered

Approved for sale to U.S. Persons (April 5, 2000 CFTC No-Action Letter issued to LIFFE)3

None offered

Approved for sale to U.S. Persons (May 30, 2001 CFTC No-Action Letter issued to LIFFE)3

None offered

Approved for sale to U.S. Persons (December 6, 2013 certification)

None offered

Approved for sale to U.S. Persons (April 6, 2000 CFTC No-Action Letter issued to LIFFE)3

None offered

Approved for sale to U.S. Persons (September 24, 2014 certification)

None offered

Equity Options

None offered

ETF Options

None offered

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)4

None offered

Approved for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)4

None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

U.K./ICE Futures Europe16

U.K./ICE Futures Europe16 U.K./London Stock Exchange Derivatives16 U.K./London Stock Exchange Derivatives16

U.K./London Stock Exchange Derivatives16

Underlying

Single name equities

Futures Contracts

Not approved

Options on Futures Contracts

None offered

TOPIX BIST 30 FTSE 100

Approved for sale to U.S. Persons (December 1, 2011 certification)

None offered

Approved for sale to U.S. None offered Persons (October 6, 2015 certification)

Approved for sale to U.S. Persons (August 28, 2014 certification)

None offered

FTSE Russia IOB (FTSE Not approved RIOB)

None offered

FTSE UK Large Cap Super Liquid (FTSE SLQ)

Approved for sale to U.S. Persons (August 28, 2014 certification)

None offered

Equity Options

ETF Options

Approved for Eligible Options on individual equity securities on specified non-U.S. exchanges15 for Eligible U.S. Institutions (March 28, 2014 Representation Letter from ICE Futures Europe to SEC)

None offered

Not approved

None offered

Approved for Eligible U.S. Institutions (November 12, 2014 Representation Letter from London Stock Exchange to SEC)4

Approved for Eligible U.S. Institutions (November 12, 2014 Representation Letter from London Stock Exchange to SEC)

None offered

None offered None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

Underlying

U.K./London Stock

Single name equities

Exchange Derivatives16

U.K./Turquoise Global Holdings Limited

FTSE 100

U.K./Turquoise Global Holdings Limited

OMXC20 (formerly KFX)/Flex OMXC20

U.K./Turquoise Global Holdings Limited

OBX/Flex OBX

Futures Contracts

None offered

Options on Futures Contracts

None offered

Approved for sale to U.S. Persons (June 1, 2012 certification)

None offered

Not approved

None offered

Not approved

None offered

Equity Options

ETF Options

Approved for Eligible U.S. Institutions for Eligible Options on individual equity securities offered by the London Stock Exchange (November 12, 2014 Representation Letter from London Stock Exchange to SEC) (see also Germany/Eurex Single name equities; U.K./ICE Futures Europe Single name equities)4,5

None offered

Not approved4

None offered

Approved for Eligible U.S. Institutions (October 29, 2003 SEC No-Action Letter issued to EDX London Exchange)

None offered None offered

For the definitions of "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

Country/Exchange

U.K./Turquoise Global Holdings Limited

Underlying

OMXS30 (formerly OMX)/Flex OMXS30

U.K./Turquoise Global Holdings Limited

Single name equities

Futures Contracts

None offered

Options on Futures Contracts

None offered

Equity Options

ETF Options

Approved for Eligible U.S. Institutions (October 29, 2003 SEC No-Action Letter issued to EDX London Exchange)

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 "Eligible U.S. Institution" and "Eligible Option" and for other explanatory information, please see the endnotes at the end of this table.

____________________________

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. The United States government administers and enforces sanctions programs and other trade restrictions that may restrict the ability of U.S. persons to engage in financial transactions with specified persons, entities, governments and/or non-state actors (and persons or enterprises associated therewith). These may include, but are not limited to, prohibitions on buying or selling securities, commodities or derivative instruments from or to, or issued by, or through transactions arranged or intermediated by, persons or entities located in or otherwise connected with various non-U.S. jurisdictions included in this Chart. This Chart does not address the potential applicability of such sanctions programs or trade restrictions. This Chart also 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, Kevin M. Foley at +1.312.902.5372, Gary A. DeWaal at +1.212.940.6558 or Christian B. Hennion at +1.312.902.5521.

"Eligible U.S. Institution": As used in this Chart, in accordance with SEC no-action letters, the term "Eligible U.S. Institution" means, in general, a U.S. Person that (1) is a "qualified institutional buyer" as defined in Rule 144A(a)(1) under the Securities Act of 1933, and (2) has had prior actual experience in trading U.S.-listed options contracts. For information regarding working definitions of "U.S. Person" as that term is used in this Chart, please contact Katten Muchin Rosenman LLP.

"Eligible Option": As used in this Chart, in accordance with SEC no-action letters, the term "Eligible Option" 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 "Foreign Options Market" 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 A&M and Class Relief, SEC No-Action Letter (Jul. 1, 2013) available here. ____________________________ 1 [Reserved]

2 The CFTC No-Action Letter also applies to BM&F Bovespa's "Ibovespa Rollover" and "Forward Points on the Ibovespa" transactions.

3 The index is included in the CFTC's and SEC's joint order dated May 31, 2002, extending the exclusion of such index from the definition of "narrow-based security index" under the Commodity Exchange Act and Securities Exchange Act of 1934 beyond its expiration date of July 11, 2002 (the Joint Order). Foreign futures contracts or options on futures contracts on "narrow-based securities indexes" 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 (CFMA) 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 In 2014, LIFFE's equity and equity index option contracts were migrated to ICE Futures Europe. See ICE Futures Europe Circular 14/146. ICE Futures Europe claimed class relief under the LIFFE A&M 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. See ICE Futures Europe Class No-Action Relief Letter. Subject to certain conditions, ICE Futures Europe members can effect transactions in Eligible Options through trading infrastructure offered by ICE Futures Europe. See ICE Futures Europe Circular 14/138; ICE Futures Europe Class No-Action Relief Letter. ICE Futures Europe maintains a list of Eligible Options, which includes: (1) individual equity options based on the securities of non-U.S. issuers; and (2) index options based on indices that contain no component securities of U.S. issuers. The list of Eligible Options is available in an Excel spreadsheet titled "List of Contract Details for Equity Products" here.

5 Pursuant to the December 1, 2015 Representation Letter from Eurex to the SEC, Eligible U.S Institutions may trade options on individual Austrian-, Belgian-, Finnish-, French-, German-, British-, Irish-, Italian-, Dutch-, Russian-, Spanish-, Swedish- and Swiss-issued equities.

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 Exchange's KOSPI 200 Options (with strike prices, expiries, put/call and premiums) at the start of the next trading session on the Korean Exchange.

7 Pursuant to Eurex Circular 281/11, the STOXX Europe 600 Personal & Household Goods futures contract is no longer tradable on Eurex trading terminals in the United States. 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 260/11, the Euro STOXX Banks futures contract is no longer offered or distributed in the United States. See also Eurex Circular 281/11.

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 contracts have not been approved for sale to U.S. Persons. The CFTC approved a similar Eurex contract (RDXxt USD 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 VIOP's trading platform and the CFTC's website.

14 The London Stock Exchange offers options on depositary receipts on Russian equity products through its International Order Book, which are approved for trading by Eligible U.S. Institutions pursuant to the London Stock Exchange's representation letter dated November 12, 2014 to the SEC. The list of eligible options may be accessed here. Eligible U.S. Institutions may also trade certain of these options through trading infrastructure offered by ICE Futures Europe, provided all applicable conditions are met. See Footnote 4.

15 ICE Futures Europe listed the following non-U.S. stock exchanges in its claim for class relief: Borsa Italiana, Copenhagen 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 A&M 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.

19 Pursuant to the December 1, 2015 Representation Letter from Eurex to the SEC, Eligible U.S Institutions may trade options on the following Euro STOXX and STOXX Europe 600 Sector Indices: EURO STOXX Automobiles & Parts; EURO STOXX Banks (see also chart above), including weekly options with expiries on 1st, 2nd, 4th and 5th Fridays; EURO STOXX Basic Resources; EURO STOXX Chemicals; EURO STOXX Construction & Materials; EURO STOXX Financial Services; EURO STOXX Food & Beverage; EURO STOXX Health Care; EURO STOXX Industrial Goods & Services; EURO STOXX Insurance; EURO STOXX Media; EURO STOXX Oil & Gas; EURO STOXX Personal & Household Goods; EURO STOXX Real Estate; EURO STOXX Retail; EURO STOXX Technology; EURO STOXX Telecommunications; EURO STOXX Travel & Leisure; EURO STOXX Utilities; STOXX Europe 600 Automobiles & Parts; STOXX Europe 600 Banks (see also chart above); STOXX Europe 600 Basic Resources; STOXX Europe 600 Chemicals; STOXX Europe 600 Construction & Materials; STOXX Europe 600 Financial Services; STOXX Europe 600 Food & Beverage; STOXX Europe 600 Health Care; STOXX Europe 600 Industrial Goods & Services (see also chart above); STOXX Europe 600 Insurance (see also chart above); STOXX Europe 600 Media (see also chart above); STOXX Europe 600 Oil & Gas; STOXX Europe 600 Personal & Household Goods (see also chart above); STOXX Europe 600 Real Estate; STOXX Europe 600 Retail; STOXX Europe 600 Technology; STOXX Europe 600 Telecommunications; STOXX Europe 600 Travel & Leisure (see also chart above); and STOXX Europe 600 Utilities (see also chart above).

20 Eurex no longer relies on the relief provided in SEC staff's no-action letter dated July 27, 2005. As such, U.S. Persons are prohibited from trading options listed on Eurex that were included in the July 27, 2005 no-action relief but not otherwise included in subsequent no-action relief, including options on the Dow Jones Global Titans 50 index and various ETF products.

21 The MSCI Europe Net Total Return (Euro-denominated) Index futures contracts has been approved for sale to U.S. Persons. The CFTC approved a similar MSCI contract (MSCI Euro) for sale to U.S. Persons in a no-action letter issued on April 6, 2000, but ICE Futures Europe subsequently delisted the contract.

22 Unless otherwise indicated, a futures contract on an ETF that tracks the same index is not approved for sale to U.S. Persons. 23 The futures contract on the Taiwan Futures Exchange Electronic Sector Index previously had been approved for sale to U.S. persons pursuant to a May 16, 2005 CFTC No-Action Letter issued to

the Taiwan Futures Exchange. On September 30, 2016, the Taiwan Futures Exchange issued a notice providing that, as of October 1, 2016, the index shall be deemed a narrow-based index and therefore may only be offered and sold to U.S. persons in compliance with the applicable requirements of both the SEC and the CFTC.

www.kattenlaw.com

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. 2016 Katten Muchin Rosenman LLP. All rights reserved. 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

Katten Muchin Rosenman LLP - James D. Van De Graaff, Kevin M. Foley, Gary DeWaal and Christian B. Hennion

Back Forward

Save & file
View original
Forward
Share
Follow
Please login to follow content.
Like
Instruct

add to folder:

My saved (default)
Read later

Folders shared with you

Filed under

Global
Capital Markets
Derivatives
Katten Muchin Rosenman LLP

Organisations

CFTC
Australian Securities Exchange

Related practical resources PRO

Checklist Checklist: Anti-bribery and corruption risk assessment (UK)
How-to guide How-to guide: How to develop a sustainable supply chain (USA)
How-to guide How-to guide: How to build a compliant culture of ethical and legal competition law behaviour in your organisation (UK)

Related research hubs

CFTC
Global
Derivatives
Capital Markets

Bob Lindsay
Privacy Manager
HP Enterprise Services

What our clients say

“I find the Lexology newsfeeds very informative as they provide concise and to-the-point content. Thanks for providing a very good service.”

Register now for your free, tailored, daily legal newsfeed service.

Foreign Listed Stock Index Futures and Options Approvals November 2016

Filed under

Organisations

Popular articles from this firm

IOSCO Suggests Key Considerations for International Regulators With Oversight Over Cryptoasset Trading Platforms *

ISDA Publishes 2018 Benchmark Supplement Protocol *

SEC Kicks Canada-Based ICO Issuer; Claims It Conducted Unregistered Securities Offering to US Persons *

Related practical resources PRO

Related research hubs