Reportable Options Positions, Options Position Limits and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Options
Legal and Compliance
Institutional
Senior Management
Operations
Trading
Aggregation
Exercise Limits
Index Options
Large Options Position Reporting
Options
Position Limits
Rule 2860
Executive Summary
On November 15, 2006, the Securities and Exchange Commission
(
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures
FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
Technology Changes for Reporting Clearing Methods and Arrangements
Continuing Application of NASD Rules and Incorporated NYSE Rules
FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
SEC Approves Amendments to NASD Rule 2220 to Update the Standards for Options Communications; Effective Date: March 4, 2009
