Tabla De Aprobaciones De Futuros Y Opciones De Acciones

Gráfico de aprobaciones de futuros y opciones de índice de acciones con cotización extranjera Para ver este artículo, necesita un visor de PDF como Adobe Reader. Estados Unidos 1 de octubre de 2014 1 de octubre de 2014 Adjunto encontrará la tabla actualizada de aprobaciones de futuros y opciones sobre índices de acciones con cotización extranjera, vigente a partir del 1 de octubre de 2014. Todas las versiones anteriores se reemplazan y deben descartarse. (1) La CFTC ha aprobado los siguientes contratos para el comercio por personas de los Estados Unidos: (i) Contrato de futuros de Montreal Exchangersquos basado en el FTSE Emerging Markets Index (ii) London DerivativesRSquo Contrato de futuros basado en el índice FTSE 100 y (iii) contrato de futuros de la Bolsa de Valores de Londres sobre futuros basado en el índice FTSE UK Large Cap Super Liquid. (2) La SEC no ha aprobado ninguna nueva opción de índice de renta variable extranjera desde la última vez que distribuimos la Tabla de Aprobaciones. Sin embargo, ICE Futures Europe, Bolsa de Osaka, Euronext Paris, Euronext Brussels y Euronext Amsterdam han reclamado una exención en virtud de la LIFFE AampM y la Clase Relief SEC No Action Letter (1 de julio de 2013) para ofrecer Opciones Elegibles a las Instituciones Elegibles de los Estados Unidos. Véase la nota 16. (3) El mercado de derivados de la Bolsa de Tokio se ha integrado en la bolsa de Osaka y sus productos se negocian ahora. (4) Se ha aclarado el estado del sector bancario Dow Jones Euro STOXX negociado en Eurex. Ver nota 8. Para Información Adicional La información en la Tabla de Aprobaciones adjunta está sujeta a cambios en cualquier momento. Si tiene alguna pregunta o desea obtener la confirmación de la condición de un contrato específico, por favor, póngase en contacto con: James D. Van De Graaff 1.312.902.5227 james. vandegraaffkattenlaw Kenneth M. Rosenzweig 1.312.902.5381 kenneth. rosenzweigkattenlaw Kevin M. Foley Kevin 1.312.902.5372. 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 para las definiciones de los Estados Unidos ldquoEligible Institutionrdquo y ldquoEligible Optionrdquo y otra información explicativa, consulte las notas al Al final de esta tabla. 1 Contratos Futuros sobre Opciones de Futuros y Opciones de Futuros (octubre de 2014) Contratos de Futuros de Acciones Subyacentes de País / Cambios Opciones sobre Contratos de Futuros Opciones de Equity Opciones de ETF Bolsa de Futuros de Australia / ASX / ASX SampP / ASX 200 Aprobada para venta a personas estadounidenses (24 de julio de 2002) (13 de agosto de 2007 Carta de No-Acción de SEC emitida a ASX Limited) No aprobado Australia / ASX / ASX Bolsa de Futuros SampP / ASX 200 A-Reit No aprobado Ninguno Ofrecido Aprobado para las instituciones elegibles de los Estados Unidos (13 de agosto de 2007 SEC No-Action Carta enviada a ASX Limited) Ninguna ofrecida Australia / ASX / ASX Futuros Intercambio SampP / ASX 50 Aprobado para la venta a personas de EE. UU. A la Bolsa de Valores de ASX) Ninguna ofrecida Aprobada para las Instituciones Elegibles de los Estados Unidos (13 de agosto de 2007 SEC emitida a la ASX Limited) Ninguna ofrecida Australia / ASX / ASX Futures Exchange 13 de julio de 2007 SEC No Action Carta emitida a ASX Limited) Ninguna ofrecida Contrato de Futuro de Australia / Sydney Futuros (SFE) Contrato de Opción de 1 Día basado en el Contrato de Futuro Dow Mini-Sized de CBOT Ninguno ofrecido Aprobado para la venta a personas estadounidenses (8 de agosto, 2006 Se ha aprobado la venta a personas estadounidenses (10 de agosto de 1999, carta de no acción emitida a SFE) Aprobado para la venta a personas de los EE. UU. (agosto de 2006) 10, 1999 No Acción carta emitida a SFE) No aprobado No se ofrecen Austria / Wiener Borse ATX No aprobado Ninguno ofrecido no aprobado No se ofrecen para las definiciones de ldquoEligible de EE. UU. Institutionrdquo y ldquoEligible Optionrdquo y otra información explicativa, consulte las notas al Final de esta tabla. 2 País / cambio fundamental de los futuros contratos de opciones sobre contratos de futuros de acciones Opciones Opciones ETF Austria / Wiener Borse CECE Índices (CEX, CTX, HTX, PTX) no han sido aprobados Ninguno ofrecido no autorizado No se ofrecen Austria / Wiener Borse rusa que no se negocien aprobado Ninguno ofrecido no aprobado Ninguna ofrecida Austria / Wiener Borse Nombre único acciones Ninguna ofrecida Ninguna ofrecida No aprobada4 Ninguna ofrecida Bélgica / Euronext Bruselas16 BEL 20 Aprobado para la venta a personas de los Estados Unidos (31 de agosto de 2011 Carta de no acción emitida a Euronext Bruselas) (17 de septiembre de 2014 Carta de representación de Euronext Brussels a SEC) 4 Ninguna ofrecida Bélgica / Euronext Bruselas16 Mini BEL 20 (índices de participaciones) Ninguna ofrecida Ninguna ofrecida No aprobada Ninguna ofrecida Bélgica / Euronext Bruselas16 Mini Dow Jones Euro STOXX (índices de participaciones) Ninguno ofrecido Ninguno ofrecido No aprobado Ninguno ofrecido Bélgica / Euronext Bruselas16 Nombre único acciones No aprobado Ninguno ofrecido Aprobado para las instituciones elegibles de EE. UU. para las opciones elegibles sobre acciones individuales cotizadas y negociadas en Euronext Bruselas (17 de septiembre de 2014 Carta de representación de Euronext Bruselas a SEC ) 4 Ninguna ofrecida Brasil / BMampF Bovespa SA BSE SA Aprobado para la venta a personas de los Estados Unidos (Aprobado el 12 de marzo de 2013) No aprobado No aprobado Ninguno ofrecido Brasil / BMampF Bovespa SA FTSE / 2013) No aprobado No aprobado Ninguno ofrecido Para las definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para otra información explicativa, por favor vea las notas finales al final de esta tabla. 3 País / cambio fundamental de los futuros contratos de opciones sobre contratos de futuros de acciones Opciones Opciones ETF Brasil / BMampF Bovespa SA Hang Seng aprobado para su venta a personas estadounidenses (12 de marzo de 2013, certificación), no aprobado, no aprobado No se ofrecen Brasil / BMampF Bovespa SA Ibovespa aprobado para la venta (26 de agosto de 2009 Carta de No-Acción emitida a BMampF Bovespa SA) 2 Aprobada para su venta a personas de Estados Unidos (26 de agosto de 2009 Carta de No-Acción emitida a BMampF Bovespa SA) No aprobada Ninguna ofrecida Brasil / BMampF Bovespa SA Ibovespa Flex Ninguno ofrecido Ninguno ofrecido No aprobado Ninguno ofrecido Brasil / BMampF Bovespa SA IBrX 50 Contrato de Futuros del Índice Aprobación pendiente No aprobado No aprobado Ninguno ofrecido Brasil / BMampF Bovespa SA MICEX Aprobado para la venta a personas de los EE. UU. No se ofrecen Brasil / BMampF Bovespa SA Mini Ibovespa aprobado para su venta a personas estadounidenses (26 de agosto 2009 Ningún-Acción carta emitida a BMampF Bovespa SA) ofrecido Ninguno Ninguno ofrecido ninguna ofrecido Brasil / BMampF Bovespa SA SampP 500 Índice aprobado para su venta a personas de EE. UU. (Certificación del 24 de septiembre de 2012) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Intercambio Canadá / Montreal (Bourse de Montreacuteal) Índice FTSE Emerging Markets Aprobado para la venta a personas estadounidenses (21 de marzo de 2014) Ofrecido Ninguno ofrecido Para las definiciones de Institución de los Estados Unidos Elegible y Opción Elegible Elegible y para otra información explicativa, por favor vea las notas finales al final de esta tabla. 4 País / Intercambio Subyacente Contratos de Futuro Opciones sobre Contratos de Futuro Opciones sobre Acciones Opciones de ETF Opciones de Bolsa de Canadá / Montreal (Bolsa de Montreacuteal) 60 Fondo de Participación Índice (Fondo i60) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Aprobada para los EE. UU. Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Aprobada para las personas de los Estados Unidos en general de acuerdo con la Declaración de Registro (ver SampP / TSX Canada 60 arriba) (véase SampP / TSX Canada 60 arriba) Canadá / Bolsa de Montreal (Bourse de Montreacuteal) iUnits SampP / ) Canadá / Montreal Exchange (Bolsa de Montreacuteal) ofrecido Ninguno iUnits SampP / TSX Capped Financials Index Fund No se ofrecen No se ofrecen Aprobado para personas de EE. UU. en general de conformidad con la Declaración de registro (ver SampP / TSX de Canadá 60 supra) Canadá / Montreal Exchange (Bolsa de Montreacuteal ofrecido Ninguno) iUnits SampP / TSX Capped Index Fund oro No se ofrecen No se ofrecen Aprobado para personas de EE. UU. en general de conformidad con la Declaración de registro (ver SampP / TSX de Canadá 60 supra) Canadá / Montreal Exchange (Bolsa de Montreacuteal) iUnits / TSX Capped Índice de Tecnología de la Información SampP Fondo No ofrecido Ninguno ofrecido Ninguno ofrecido Aprobado para las personas de los EEUU generalmente según la declaración de registro (véase SampP / TSX Canadá 60 arriba) Intercambio de Canadá / Montreal (Bourse de Montreacuteal) Futuros del índice SampP / TSX 60 aprobados para la venta a las personas de los EEUU , 2012 certificación) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Para las definiciones de Institución de los Estados Unidos Elegible y la Opción Elegible Elegible y para otra información explicativa, consulte las notas finales al final de esta tabla. Aprobado para la venta a personas de los Estados Unidos (9 de diciembre de 1999, la Carta de No-Acción de CFTC fue emitida a la Bolsa de Montreal) 3 Ninguno ofrecido Aprobado, incluyendo la aprobación de todas las otras opciones de índices, para la venta a los Estados Unidos Las personas generalmente que están ahora o pueden ser listadas en el futuro (Enmienda Post-Efectiva No. 27 a la Declaración de Registro en Formulario S-20 presentada por Canadian Derivatives Clearing (SampP / TSX Canada 60 arriba) No se ofrece ninguno Ninguno ofrecido Canadá / Montreal Intercambio (Bourse de Montreacuteal) SampP / TSX Sector Capped No aprobado Ninguno ofrecido Aprobado para los EE. UU. Canadá / Bolsa de Montreal (Bourse de Montreacuteal) Nombramiento único de acciones Ninguna ofrecida Ninguna ofrecida Aprobada para todas las opciones sobre valores individuales cotizados en la Bolsa de Montreal, que ahora o en el futuro podrán cotizar para la venta a EE. UU. 27 a la Declaración de Registro en el Formulario S-20 presentada por Canadian Derivatives Clearing Corp. SEC Archivo No. 2-69458) Ninguna ofrecida Para las definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para otra información explicativa, por favor vea las notas finales al final De esta tabla. 6 País / Intercambio Subyacente Futuros Contratos Opciones sobre Futuros Contratos Opciones sobre acciones Opciones sobre ETF China (ver también Hong Kong y Taiwán) / China Financial Futures Exchange CSI 300 Índice Futuros No aprobado Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Dinamarca / FUTOP Market KFX (Large / Small Contrato) No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido Dinamarca / OMX Nordic Exchange Copenhague A / S Nombre único de acciones Ninguna ofrecida Ninguna ofrecida No aprobada4,11 Ninguna ofrecida Finlandia / OMX Nordic Exchange Helsinki Nombres únicos acciones Ninguna ofrecida Ninguna ofrecida No aprobada4,5 Ninguna Ofrecido Francia / Euronext Paris SA16 CAC40 Aprobado para la venta a personas de los Estados Unidos (17 de diciembre de 1991 Carta de No Action emitida a ParisBourse) 3 No se ha ofrecido ninguna Aprobada para las instituciones estadounidenses elegibles (17 de julio de 1996) Hasta el 6 de diciembre de 1999 SEC No-Action Carta emitida a ParisBourse) 4 Ninguna ofrecida Francia / Euronext Paris SA16 CAC40 Mini Aprobado para la venta a personas estadounidenses (certificación del 13 de septiembre de 2013) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida France / Euronext Paris SA16 Dow Jones Euro STOXX 50 Aprobado para la venta a personas de los Estados Unidos (29 de febrero de 2000 Carta de la CFTC sin acción enviada a ParisBourse) 3 Ninguno ofrecido Aprobado para instituciones estadounidenses elegibles (26 de octubre de 1998) 6, 1999 SEC No Action Carta enviada a ParisBourse) Ninguna ofrecida Para las definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para otra información explicativa, por favor vea las notas finales al final de esta tabla. 7 Contratos de Futuros Subyacentes por País / Intercambio Opciones sobre Contratos de Futuro Opciones sobre Acciones Opciones sobre ETF Francia / Euronext Paris SA16 Dow Jones STOXX 50 Aprobado para la venta a personas estadounidenses (29 de febrero de 2000) (26 de octubre de 1998 SEC No-Action Carta enviada a MONEP, confirmada por el 6 de diciembre de 1999 SEC No-Action Carta enviada a ParisBourse) Ninguna ofrecida Francia / Euronext Paris SA16 Dow Jones STOXX 600 Sectores (Banco, Salud, Tecnología, Telecomunicaciones) No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido Francia / Euronext Paris SA16 FTSE EPRA / NAREIT Zona Euro Aprobada para su venta a personas de los Estados Unidos (10 de julio de 2008 CFTC No Action Carta emitida a Euronext LIFFE, Euronext Paris SA) Ninguna ofrecida Ninguna ofrecida No aprobada Francia / Euronext Paris SA16 FTSE EPRA / NAREIT Europe Aprobada para la venta a personas de los Estados Unidos (10 de julio de 2008 Carta de no CFTC emitida a Euronext LIFFE en nombre de Euronext Paris SA) Ninguna Ofrecido Ninguno ofrecido No aprobado France / Euronext Paris SA16 FTSEurofirst 100 Aprobado para la venta a personas de los Estados Unidos (5 de marzo de 2007 CFTC No Action Carta emitida a Euronext LIFFE, en nombre de Euronext Paris SA) Ninguna ofrecida Ninguna ofrecida4 Ninguna ofrecida Para las definiciones De ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para obtener otra información explicativa, consulte las notas finales al final de esta tabla. FTSEurofirst 80 Aprobado para la venta a personas de los Estados Unidos (5 de marzo de 2007 Carta de no acción de la CFTC emitida a Euronext LIFFE, en nombre de Euronext Paris SA ) No ofrecido Francia / Euronext Paris SA16 Acciones de un solo nombre No aprobado Ninguno ofrecido Aprobado para las Instituciones Elegibles de Estados Unidos por Opciones Elegibles sobre acciones individuales que son Cotizadas y negociadas en Euronext Paris u otros mercados especificados18 (17 de septiembre de 2014 Carta de representación de Euronext Paris a SEC) 4,5 No se ofrece Alemania / Boumlrse Frankfurt Nombramiento único de acciones Ninguna ofrecida Ninguna ofrecida No aprobada4,5 Ninguna ofrecida Alemania / Eurex DAX Aprobado (20 de diciembre de 1994 Carta de la CFTC no-Action emitida a Deutsche Terminborse) 3 Ninguna ofrecida Aprobada para las instituciones estadounidenses elegibles (27 de julio de 2005 SEC No-Action Carta enviada a Eurex) Ninguna ofrecida Alemania / Eurex DAX EX No Aprobado Ninguno ofrecido Ninguno ofrecido Aprobado para instituciones estadounidenses elegibles (27 de julio de 2005 SEC No Action Carta enviada a Eurex) Alemania / Eurex DJ Banks Titans 30 No aprobado Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Alemania / Eurex DJ Insurance Titans 30 No aprobado Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Alemania / Eurex DJ Petróleo y gas Titans 30 No aprobado Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Para las definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para otra información explicativa, consulte las notas al final de esta tabla. 9 País / Intercambio Subyacente Futuros Contratos Opciones sobre Futuros Contratos Equity Opciones ETF Opciones Alemania / Eurex DJ Telecomunicaciones Titans 30 No aprobado Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Alemania / Eurex DJ Utilities Titans 30 No aprobado Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Alemania / Eurex Dow Jones Euro STOXX 50 Aprobado para la venta a personas de los Estados Unidos (6 de abril de 2000 Carta de no cooperación de la CFTC otorgada a Eurex) 3 Ninguna ofrecida Aprobada para instituciones estadounidenses elegibles (27 de julio de 2005 SEC No Action Carta enviada a Eurex) Alemania / Eurex Dow Jones Euro STOXX 50 Dividendos No aprobado No aprobado Ninguno ofrecido Ninguno ofrecido Alemania / Eurex Dow Jones Euro STOXX 50 EX No aprobado Ninguno ofrecido No aprobado Aprobado para instituciones estadounidenses elegibles (27 de julio de 2005 Carta de acción SEC emitida a Eurex) Alemania / Eurex Dow Jones Euro STOXX Sector Bancario No aprobado8 Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Dow Jones Euro STOXX Select Dividend 30 Aprobado para la venta a las personas de los Estados Unidos (18 de agosto de 2008 CFTC No Action Carta emitida a Eurex) Ofrecido Alemania / Eurex Dow Jones Global Titans 50 Aprobado para la venta a personas de los EE. UU. (18 de julio de 2002 CFTC No-Action Carta enviada a Eurex) Ninguna ofrecida Alemania / Eurex Dow Jones Índice Global Titans 50 Aprobado para la venta a personas de los Estados Unidos (certificación del 5 de junio de 2012) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Para las definiciones de Institución estadounidense elegible y Opción elegible para otra información explicativa, Consulte las notas finales al final de esta tabla. 10 País / Intercambio Subyacente Contratos de Futuro Opciones sobre Contratos de Futuro Opciones sobre Acciones Opciones sobre ETF Alemania / Eurex Dow Jones Italia Titanes 30 Aprobado para la venta a personas de Estados Unidos (23 de noviembre de 2005 Carta de acción de CFTC no emitida a Eurex) / Eurex Dow Jones STOXX 50 Aprobado para la venta a personas de los Estados Unidos (6 de abril de 2000 Carta de no acción de la CFTC otorgada a Eurex) 3 Ninguno ofrecido Aprobado para instituciones estadounidenses elegibles (27 de julio de 2005 SEC No Action Carta enviada a Eurex) Alemania / Eurex Dow Jones STOXX 600 Aprobado para la venta a personas de los Estados Unidos (18 de junio de 2007 Carta de la CFTC a la Eurex) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Dow Jones STOXX 600 Alemania, Eurex Dow Jones STOXX 600 Servicios de Amperios Industriales Aprobados para la venta a personas de los Estados Unidos (6 de febrero de 2008 Carta de Acción de la CFTC no emitida a Eurex) Ninguna Ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Dow Jones STOXX 600 Seguro aprobado para la venta a las personas de los EEUU (6 de febrero de 2008 Carta de la CFTC de la No-Acción concedida a Eurex) Ninguno ofrecido No aprobado No ofrecido Alemania / Eurex Dow Jones STOXX 600 Medios Aprobados para la venta A las personas estadounidenses (6 de febrero de 2008 Carta de la CFTC No-Action emitida a Eurex) Ninguna ofrecida No aprobada Ninguna ofrecida Para las definiciones de ldquoEligible US Institutionrdquo y ldquoLigible Optionrdquo y para otra información explicativa, consulte las notas finales al final de esta tabla. 11 País / Intercambio Subyacente Contratos de Futuro Opciones sobre Contratos de Futuro Opciones sobre Acciones Opciones sobre ETF Alemania / Eurex Dow Jones STOXX 600 Amplificador personal Productos domésticos Aprobados para la venta a personas estadounidenses (6 de febrero de 2008 CFTC No Action Carta enviada a Eurex) Aprobado Ninguno ofrecido Alemania / Eurex Dow Jones STOXX 600 Venta al por menor No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Dow Jones STOXX 600 Travel amp Leisure Aprobado para la venta a personas de los Estados Unidos (6 de febrero de 2008) Ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Dow Jones STOXX 600 Utilidades Aprobado para la venta a las personas de los EEUU (6 de febrero de 2008 Carta de no-acción de CFTC enviada a Eurex) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Dow Jones STOXX Large 200 Aprobado para la venta Alemania (Eurex Dow Jones STOXX Mid 200) Aprobado para la venta a personas de los Estados Unidos (18 de junio de 2007 Carta de no-acción de la CFTC otorgada a Eurex ) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Dow Jones STOXX Pequeño 200 Aprobado para la venta a las personas de los EEUU (6 de febrero de 2008 Carta de no acción de la CFTC enviada a Eurex) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Euro STOXX Aprobado para la venta a Ninguna ofrecida Para las definiciones de Institución de los Estados Unidos Elegible y Opción Elegible Elegible y para otra información explicativa, por favor vea las notas finales al final de esta tabla. Eurex Euro STOXX 50 Ex Financials Index Aprobado para la venta a personas de los Estados Unidos (27 de agosto, 2012 certificación) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Euro STOXX Aprobado por Grandes (Aprobado el 5 de junio de 2012) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Euro STOXX Aprobado para la venta a personas de los EE. UU. (Aprobado el 27 de julio de 2005 SEC No-Action Carta enviada a Eurex) Ninguna ofrecida Alemania (Eurex) No se ha ofrecido Alemania / Eurex iShares DJ EURO STOXX Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Aprobada para instituciones estadounidenses elegibles (27 de julio de 2005 Carta de no acción SEC enviada a Eurex) Alemania / Eurex KOSPI 200 Opciones6 No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex MDAX Aprobado (14 de marzo de 2006 Carta de la CFTC No Action emitida a Eurex) Ninguna ofrecida No aprobada Ninguna ofrecida Alemania / Eurex Mini Euro Índice de volatilidad STOXX 50 Aprobado para la venta a personas de los EE. UU. Aprobado Ninguno ofrecido Para las definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para otra información explicativa, por favor vea las notas finales al final de esta tabla. 13 País / Intercambio Subyacente Contratos de Futuro Opciones sobre Contratos de Futuro Opciones sobre Acciones Opciones sobre ETF Alemania / Eurex MSCI Todos los países Asia Pacífico ex-Japón Aprobado para la venta a personas estadounidenses (Aprobado el 17 de junio de 2013) Ninguno ofrecido No aprobado No se ofrece Alemania / Eurex MSCI China Alemania / Eurex MSCI Emerging Markets Aprobado para la venta a personas de los Estados Unidos (certificación del 4 de febrero de 2014) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Alemania / Eurex MSCI Emerging Markets Eurex MSCI Emerging Markets EMEA Aprobado para la venta a personas de los Estados Unidos (certificación del 4 de febrero de 2014) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Mercados Emergentes MSCI América Latina Aprobado para la venta a personas de los Estados Unidos (certificación del 4 de febrero de 2014) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex MSCI Europe Aprobado para la venta a personas de los EE. UU. Eurex MSCI Europe Value Aprobado para la venta a personas de los Estados Unidos (certificación del 4 de febrero de 2014) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex MSCI India Aprobado para la venta a personas de los Estados Unidos (certificación del 4 de febrero de 2014) Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Para las definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para otra información explicativa, consulte las notas finales al final de esta tabla. Eurex MSCI Japan Aprobado para la venta a las personas de los EEUU (certificación del 17 de junio de 2013) Ninguna ofrecida Ninguna ofrecida Nada ofrecido Alemania / Eurex MSCI Malasia Aprobado para la venta a las personas de los EEUU (Certificación del 4 de febrero de 2014) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Alemania / Eurex MSCI Sudáfrica Aprobado para la venta a personas de los EE. UU. 4 de febrero de 2014 certificación) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Alemania / Eurex MSCI World Aprobado para la venta a personas de los EE. UU. (17 de junio, 2013 certificación) Ninguno ofrecido No Aprobado Ninguno ofrecido Alemania / Eurex Otros Dow Jones Euro STOXX Sectores No aprobado Ninguno ofrecido No Aprobado Ninguno ofrecido Alemania / Eurex Otros Dow Jones STOXX 600 Sectores de mercado No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex RDX USD12 No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex Nombre único acciones No aprobado Ninguno ofrecido Aprobado para opciones en alemán individual (27 de julio de 2005 SEC No-Action Letra enviada a Eurex) Ninguna ofrecida Para las definiciones de "Institución Elegible de Estados Unidos" y "Opción Elegible Elegible" y para cualquier otra información explicativa, por favor consulte Las notas al final de esta tabla. Eurex SLI Swiss Leader Aprobado para la venta a personas de los Estados Unidos (18 de agosto de 2008 Carta de no acción de la CFTC emitida a Eurex) Ninguna ofrecida No aprobada Ninguna ofrecida Alemania / Eurex STOXX Europe 600 Aprobado para la venta a personas de los EE. UU. (5 de junio, 2012 de certificación) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex STOXX Europe Large 200 Aprobado para la venta a personas de los EE. UU. Eurex STOXX Europe Mid 200 Aprobado para la venta a personas de los EE. UU. (5 de junio, 2012 de certificación) Ninguno ofrecido No aprobado Ninguno ofrecido Alemania / Eurex STOXX Europe Small 200 Aprobado para la venta a personas de EE. UU. Alemania / Eurex Swiss Market No aprobado No se ha aprobado ninguno para las instituciones estadounidenses elegibles (27 de julio de 2005 Se ha aprobado la carta de no acción SEC a Eurex) Alemania / Eurex Aprobado para la venta a personas de los EE. UU. (18 de agosto de 2008 CFTC No se ha emitido la carta de acción de la CFTC a Eurex) Ninguno se ofrece No se aprueba No se ofrece Alemania / Eurex TECDAX Aprobado para la venta a personas de EE. UU. (27 de julio de 2005 SEC No-Action Carta enviada a Eurex) Ninguna ofrecida Para las definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para cualquier otra información explicativa, consulte las notas al final Al final de esta tabla. 16 Contratos de Futuros Subyacentes de País / Intercambio Opciones sobre Contratos de Futuro Opciones sobre Acciones Opciones sobre ETF Mercado de Derivados de Intercambio de Grecia / Atenas FTSE / ASE 20 No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido Grecia / Atenas Mercado de Derivados de Intercambio FTSE / Aprobado Ninguno ofrecido Hong Kong / Hong Kong Intercambios y compensación Ltd. (HKEX) CES China 120 Aprobado para la venta a las personas de los EEUU (certificación del 17 de septiembre de 2013) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Hong Kong / Hong Kong Intercambios y compensación Ltd. (HKEX) ) DJIA No aprobado Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Hong Kong / Hong Kong Intercambios y compensación Ltd. (HKEX) FTSE / Xinhua China 25 Aprobado para la venta a las personas de los EEUU (26 de septiembre de 2006 CFTC No-Acción Letra enviada a HKFE) No aprobado Ninguno ofrecido Hong Kong / Hong Kong Intercambios y Clearing Ltd. (HKEX) Hang Seng Aprobado para la venta a las personas de los EEUU (1 de junio, 1994 Carta de la No-Acción de la CFTC expedida a HKFE) 3 Ninguno ofrecido Aprobado para las instituciones elegibles de los EEUU , 1995 SEC No Action Carta enviada a HKFE) Ninguna ofrecida Hong Kong / Hong Kong Intercambios y Clearing Ltd. (HKEX) HSCEI Dividend Point Index No Aprobado Ninguno ofrecido Ninguno ofrecido Ninguno ofrecido Hong Kong / Hong Kong Intercambios y Clearing Ltd. (HKEX ) H-Shares (Índice Hang Seng China Enterprises) Aprobado para la venta a personas de los Estados Unidos (26 de septiembre de 2006 CFTC No-Action Carta enviada a HKFE) Ninguna ofrecida No aprobada Ninguna ofrecida Hong Kong / Hong Kong Intercambios y Clearing Ltd. (HKEX) HSI Volatility Index (VHSI) Aprobado para la venta a personas estadounidenses (certificación del 17 de septiembre de 2013) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Para las definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para otra información explicativa, consulte las notas finales al final de este mesa. Hong Kong / Hong Kong Intercambios y Clearing Ltd. (HKEX) Mini Hang Seng Aprobado para la venta a las personas de los EE. UU. (16 de enero de 2009 CFTC Carta de No-Acción emitida a HKFE ) Ninguno ofrecido No aprobado Ninguno ofrecido Hong Kong / Hong Kong Intercambios y compensación Ltd. (HKEX) Mini Hang Seng Índice de las empresas de China Aprobado para la venta a las personas de los EEUU (16 de enero de 2009 CFTC Carta de la No-Acción concedida a HKFE) Ninguno ofrecido No aprobado Ninguna ofrecida Hungría / Bolsa de Budapest BUX No aprobada Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida India / Bolsa de Valores de Bombay (BSE) Índice de 30 acciones sensibles a la BSE (Sensex) 9 Aprobado para la venta a personas estadounidenses (14 de junio de 2006 CFTC No Action Letter Expedido a BSE) Ninguno ofrecido No aprobado Ninguno ofrecido India / Bombay Stock Exchange (BSE) DOLLEX-309 No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido India / Bombay Stock Exchange (BSE) SampP BSE 1009 Aprobado para la venta a personas de los EE. UU. (NSE) Nifty9 No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido India / Bolsa Nacional de Valores de India Ltd. (NSE) CNXIT9 No aprobado Ninguno ofrecido No aprobado Aprobado para la venta a personas de los Estados Unidos (17 de octubre de 2003 Carta de No-Acción de la CFTC expedida a NSE) Ninguna ofrecida No aprobada Ninguna ofrecida Para el (los) Empleado (s) Definiciones de ldquoEligible US Institutionrdquo y ldquoEligible Optionrdquo y para otra información explicativa, consulte las notas finales al final de esta tabla. 18 País / Intercambio Subyacente Futuros Contratos Opciones sobre Contratos de Futuro Opciones sobre Acciones Opciones sobre ETF Irlanda / Bolsa de Valores irlandesa Nombres únicos de acciones Ninguna ofrecida Ninguna ofrecida No aprobada4 Ninguna ofrecida Israel / Tel Aviv Bolsa TA 25 No aprobada Ninguna ofrecida No aprobada Ninguna ofrecida Israel / Tel Aviv Bolsa de valores TA Bancos No aprobado Ninguno ofrecido No aprobado Ninguno ofrecido Italia / Borsa Italiana ndash IDEM FTSE MIB Dividendo Aprobación pendiente Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Italia / Borsa Italiana ndash IDEM FTSE MIB4 Aprobado para la venta a personas estadounidenses (30 de agosto de 2004 CFTC No se ha presentado ninguna carta de acción a Borsa Italiana) No se ha presentado ninguna propuesta para instituciones estadounidenses elegibles (24 de septiembre de 2004 Carta de no acción enviada a Borsa Italiana) No se ha ofrecido Italia / Borsa Italiana ndash IDEM Mini FTSE MIB Aprobado para la venta a personas estadounidenses , 2004 Carta de no acción de la CFTC expedida a Borsa Italiana) Ninguna ofrecida Ninguna ofrecida Ninguna ofrecida Italia / Borsa Italiana ndash IDEM Nombre único de acciones No aprobado No se ofrece Aprobado para instituciones estadounidenses elegibles (véase el 1 de septiembre de 1998 SEC No Action Carta emitida a Borsa Italiana with respect to options on individual ISE equities)4,5 None offered Japan/Osaka Exchange (OSE)16 DJIA Approved for sale to US Persons (June 15, 2012 certification) None offered None offered None offered For the definitions of ldquoEligible US Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 19 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Japan/Osaka 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 Japan/Osaka Exchange (OSE)16 Mini Nikkei 225/Intercontract 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 Japan/Osaka 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 Japan/Osaka Exchange (OSE)16 Nikkei 225 Dividend Not approved None offered None offered None offered Japan/Osaka Exchange (OSE)16 Nikkei 225/Intercontract 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 Japan/Osaka Exchange (OSE)16 Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered Japan/Osaka Exchange (OSE)16 Russell/Nomura 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Japan/Osaka 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 Japan/Osaka 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 Japan/Osaka 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 Japan/Osaka Exchange (OSE)16 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 (November 15, 2002 SEC No-Action Letter issued to TSE) None offered Japan/Osaka 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Japan/Osaka 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 Japan/Tokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered Korea ndash see South Korea - - - - - Malaysia/Bursa 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 Mexico/Mexican 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 Netherlands/ 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 Country/Exchange 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 Letter from Euronext Amsterdam to SEC)4,5 None offered New Zealand/NZFOE NZSE 10 Not approved Not approved None offered None offered Norway/Oslo Stock Exchange OBX Not approved None offered Not approved None offered Norway/Oslo 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Poland/Warsaw Stock Exchange WIG20 Approval pending None offered Not approved None offered Portugal/Euronext Lisbon PSI 20 Not approved Not approved None offered4 None offered Portugal/Euronext Lisbon Single name equities Not approved None offered Not approved4 None offered Russia Single name equitiesmdashsee London Stock Exchange14 - - - - Russia/Russian Trading System Stock Exchange (RTS) RTS Index Approval pending None offered 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 None offered None offered Singapore/Singapore 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 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 None offered 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 None offered 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 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Singapore/Singapore 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 Singapore/Singapore 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 Singapore/Singapore 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 Singapore/Singapore 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 Singapore/Singapore 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 Singapore/Singapore 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 Singapore/Singapore 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 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 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered Singapore/Singapore 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 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 None offered None offered Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered Singapore/Singapore 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 South Africa/JSE/SAFEX ALSI/FTSE 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 Africa/JSE/SAFEX Financial Not approved None offered None offered None offered South Africa/JSE/SAFEX FTSE/JSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South Africa/JSE/SAFEX 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South Africa/JSE/SAFEX Mining Not approved None offered None offered None offered South Korea/Korea Exchange KOSDAQ 50 Plus Not approved Not approved None offered None offered South Korea/Korea 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 Spain/Madrid Stock Exchange Single name equities None offered None offered Not approved4 None offered Spain/MEFF 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 Spain/MEFF IBEX 35 Mini Not approved Not approved None offered None offered Spain/MEFF 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 Spain/MEFF 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 Sweden/OMHEX HEXTECH Not approved Not approved None offered None offered Sweden/OMHEX HEXTEMP Not approved None offered None offered None offered Sweden/OMX 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Sweden/OMX Nordic Exchange Stockholm AB OBX Not approved None offered Not approved None offered Sweden/OMX 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 Sweden/OMX 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 Sweden/OMX Nordic Exchange Stockholm AB Single name equities Not approved None offered Not approved4,11 None offered Sweden/OMX 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 Switzerland/SIX Swiss Exchange Ltd Single name equities None offered None offered Not approved4,5 None offered Taiwan/Taiwan 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 Taiwan/Taiwan 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Taiwan/Taiwan 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 Taiwan/Taiwan 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 Taiwan/Taiwan 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 Taiwan/Taiwan 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 Taiwan/Taiwan 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 Taiwan/Taiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered Thailand/Thailand 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Turkey/Borsa 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 KFX/Flex 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 OBX/Flex 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 OMX/Flex 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 Country/Exchange 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./LIFFE (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 Country/Exchange 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) None 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, put/call and premiums) at the start of the next trading session on the Korean Exchange. 7 Pursuant to Eurex Circular 281/11, 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 260/11, the Dow Jones Euro STOXX Banking Sector is no longer tradable on Eurex trading terminals in the United States see also Eurex Circular 281/11. 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. Todos los derechos reservados. 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. Filed under Tagged withForeign Listed Stock Index Futures and Options Approval Chart - January 2016 To view this article you need a PDF viewer such as Adobe Reader. USA January 8 2016 January 2016 Please find below the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 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 the following contracts for trading by U. S. Persons: (i) Eurexrsquos futures contract based on the MSCI World Price Index (ii) Eurexrsquos futures contract based on the MSCI World Index (Euro-denominated) (iii) Eurexrsquos futures contract based on the MSCI Europe Price Index (iv) Eurexrsquos futures contract based on the MSCI Emerging Markets Price Index (v) Eurexrsquos futures contract based on the MSCI Emerging Markets Index (Eurodenominated) (vi) Eurexrsquos futures contract based on the Mini DAX Index and (vii) Warsaw Stock Exchangersquos futures contract based on the WIG20 Index. (2) Borsa Italiana, Eurex, Hong Kong Futures Exchange and the Stock Exchange of Hong Kong 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. For Additional Information The information on the 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 Kevin M. Foley 1.312.902.5372 kevin. foleykattenlaw Gary A. DeWaal 1.212.940.6558 gary. dewaalkattenlaw Christian B. Hennion 1.312.902.5521 christian. hennionkattenlaw 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 (January 2016) Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Australia/ASX 1-Day Option Contract based on the CBOT MiniSized Dow Futures Contract None offered Approved for sale to U. S. Persons (August 8, 2006 No-Action Letter issued to Sydney Futures Exchange (SFE)) None offered None offered Australia/ASX SampP/ASX 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 Australia/ASX SampP/ASX 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 Australia/ASX SampP/ASX 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 Australia/ASX SampP/ASX 200 VIX Approved for sale to U. S. Persons (August 30, 2014 certification) None offered None offered None offered Australia/ASX Single name equities None offered 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 ldquoEligible U. S. Institutionrdquo and ldquoEligible Optionrdquo and for other explanatory information, please see the endnotes at the end of this table. 2 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Australia/ASX 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 Austria/Wiener Borse (Vienna Stock Exchange) ATX Not approved None offered Not approved None offered Austria/Wiener Borse (Vienna Stock Exchange) CECE Indices (CEX, CTX, HTX, PTX) Not approved None offered Not approved None offered Austria/Wiener Borse (Vienna Stock Exchange) Russian Traded Not approved None offered Not approved None offered Austria/Wiener Borse (Vienna Stock Exchange) Single name equities None offered None offered Not approved (but see Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered Belgium/Euronext 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 Belgium/Euronext Brussels16 Mini BEL 20 (index participation units) None offered None offered Not approved None offered Belgium/Euronext Brussels16 Mini Dow Jones Euro STOXX (index participation units) None offered 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. 3 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 ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered Brazil/BMampF Bovespa S. A. BSE Sensitive Approved for sale to U. S. Persons (March 12, 2013 certification) None offered Not approved None offered Brazil/BMampF Bovespa S. A. FTSE/JSE Top 40 Approved for sale to U. S. Persons (March 12, 2013 certification) None offered Not approved None offered Brazil/BMampF Bovespa S. A. Hang Seng Approved for sale to U. S. Persons (March 12, 2013 certification) None offered 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 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. 4 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 offered 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 Canada/Montreal 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 Canada/Montreal Exchange (Bourse de Montreacuteal) iUnits SampP/TSE 60 Index Participation Fund (i60 Fund) None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampP/TSX Canada 60 below) Canada/Montreal Exchange (Bourse de Montreacuteal) iUnits SampP/TSX Capped Energy Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampP/TSX Canada 60 below) 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Canada/Montreal Exchange (Bourse de Montreacuteal) iUnits SampP/TSX Capped Financials Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampP/TSX Canada 60 below) Canada/Montreal Exchange (Bourse de Montreacuteal) iUnits SampP/TSX Capped Gold Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampP/TSX Canada 60 below) Canada/Montreal Exchange (Bourse de Montreacuteal) iUnits SampP/TSX Capped Information Technology Index Fund None offered None offered None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampP/TSX Canada 60 below) Canada/Montreal Exchange (Bourse de Montreacuteal) SampP/TSX 60 Index Mini Futures Approved for sale to U. S. Persons (April 19, 2012 certification) None offered None offered None offered Canada/Montreal Exchange (Bourse de Montreacuteal) SampP/TSX 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 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Canada/Montreal Exchange (Bourse de Montreacuteal) SampP/TSX Capped Sector Not approved None offered Approved for U. S. Persons generally pursuant to Registration Statement (see SampP/TSX Canada 60 above) None offered Canada/Montreal 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 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 China (see also Hong Kong and Taiwan)/China Financial Futures Exchange CSI 300 Index Futures Not approved None offered None offered None offered Denmark/FUTOP Market KFX (Large/Small Contract) Not approved None offered Not approved None offered Denmark/OMX Nordic Exchange Copenhagen A/S Single name equities None offered None offered Not approved (but see U. K./ICE Futures Europe ndash Single name equities U. K./Turquoise Global Holdings Limited)4,11 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. 7 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Finland/OMX Nordic Exchange Helsinki Single name equities None offered None offered Not approved (but see Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered France/Euronext 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 France/Euronext Paris S. A.16 CAC40 Mini Approved for sale to U. S. Persons (September 13, 2013 certification) None offered None offered None offered France/Euronext 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 France/Euronext 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 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options France/Euronext Paris S. A.16 Dow Jones STOXX 600 Sectors (Bank, Energy, Healthcare, Technology, Telecommunications) Not approved None offered Not approved None offered France/Euronext Paris S. A.16 FTSE EPRA/NAREIT 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 France/Euronext Paris S. A.16 FTSE EPRA/NAREIT Europe 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 France/Euronext 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 France/Euronext 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 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 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 ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered Germany/Boumlrse Frankfurt Single name equities None offered None offered Not approved (but see Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered Germany/Eurex16 ATX Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 ATX five Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 CECE EUR Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 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, including weekly options with expiries on 1st, 2nd, 4th and 5th Fridays (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 DAX EX Not approved None offered None offered Not approved20 Germany/Eurex16 DivDAX Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 Dow Jones Banks Titans 30 Not approved None offered None offered None offered Germany/Eurex16 Dow Jones Insurance Titans 30 Not approved None offered None offered None offered Germany/Eurex16 Dow Jones Oil and Gas Titans 30 Not approved None offered None offered None offered Germany/Eurex16 Dow Jones Telecommunications Titans 30 Not approved None offered None offered None offered Germany/Eurex16 Dow Jones Utilities Titans 30 Not approved None offered None offered None offered Germany/Eurex16 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 Not approved20 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 Dow Jones Global Titans 50 Index (USD) Approved for sale to U. S. Persons (June 4, 2012 certification) None offered None offered None offered Germany/Eurex16 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 Germany/Eurex16 Euro STOXX Approved for sale to U. S. Persons (June 4, 2012 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 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, including weekly options with expiries on 1st, 2nd, 4th and 5th Fridays (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 Euro STOXX 50 Dividend Not approved Not approved None offered None offered Germany/Eurex16 Euro STOXX 50 EX Not approved None offered Not approved Not approved20 Germany/Eurex16 Euro STOXX 50 Ex Financials Index Approved for sale to U. S. Persons (August 27, 2012 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 Euro STOXX 50 Variance Approved for sale to U. S. Persons (November 15, 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. 12 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 Euro STOXX Banks Not approved8 None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 None offered Germany/Eurex16 Euro STOXX Banks Dividend Not approved None offered None offered 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, 2017 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, 2017 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, 2017 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, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 Various other Euro STOXX Sector Indices Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 iShares DJ EURO STOXX None offered None offered None offered Not approved20 Germany/Eurex16 KOSPI 200 Options6 Not approved None offered Not approved None offered Germany/Eurex16 MDAX Approved for sale to U. S. Persons (March 14, 2006 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 Mini DAX Approved for sale to U. S. Persons (October 22, 2017 certification) None offered None offered None offered Germany/Eurex16 Mini Euro STOXX 50 Volatility Index (VSTOXX) Approved for sale to U. S. Persons (July 20, 2012 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 MSCI All Countries Asia Pacific ex-Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 MSCI China Free Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered Germany/Eurex16 MSCI Emerging Markets Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered Germany/Eurex16 MSCI Emerging Markets (Euro-denominated) Approved for sale to U. S. Persons (March 31, 2017 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. 14 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 MSCI Emerging Markets Asia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 MSCI Emerging Markets EMEA Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 MSCI Emerging Markets Price Index Approved for sale to U. S. Persons (March 31, 2017 certification) None offered Not approved None offered Germany/Eurex16 MSCI Emerging Markets Latin America Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Not approved None offered Germany/Eurex16 MSCI Europe Approved for sale to U. S. Persons (June 17, 2013 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) 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, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 MSCI Europe Price Index Approved for sale to U. S. Persons (March 31, 2017 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 MSCI Europe Value Approved for sale to U. S. Persons (February 4, 2014 certification) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 MSCI Frontier Markets Index Approved for sale to U. S. Persons (July 14, 2014 certification) None offered None offered None offered Germany/Eurex16 MSCI India Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered Germany/Eurex16 MSCI Japan Approved for sale to U. S. Persons (June 17, 2013 certification) None offered None offered None offered Germany/Eurex16 MSCI Malaysia Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered Germany/Eurex16 MSCI Russia Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 MSCI South Africa Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered Germany/Eurex16 MSCI Thailand Approved for sale to U. S. Persons (February 4, 2014 certification) None offered None offered None offered Germany/Eurex16 MSCI World Approved for sale to U. S. Persons (June 17, 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. 16 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 MSCI World (Eurodenominated) Approved for sale to U. S. Persons (March 31, 2017 certification) None offered Not approved None offered Germany/Eurex16 MSCI World Price Index Approved for sale to U. S. Persons (March 31, 2017 certification) None offered Not approved None offered Germany/Eurex16 OMXH25 (HEX 25 Finnish) Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 RDX EUR Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 RDX USD12 Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 SENSEX Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 Single name equities Not approved None offered Approved for Eligible U. S. Institutions for options on equities listed and traded on other exchanges excluding U. S. securities (December 1, 2017 Representation Letter from Eurex to SEC)5 None offered Germany/Eurex16 SLI Swiss Leader 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, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 STOXX Europe 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 (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 STOXX Europe 600 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 Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 STOXX Europe 600 Banks Approved for sale to U. S. Persons (April 2, 2002 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 STOXX Europe 600 Industrial Goods amp Services Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 None offered Germany/Eurex16 STOXX Europe 600 Insurance Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 None offered Germany/Eurex16 STOXX Europe 600 Media Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 None offered Germany/Eurex16 STOXX Europe 600 Personal amp Household Goods Not approved7 None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 None offered Germany/Eurex16 STOXX Europe 600 Travel amp Leisure Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 None offered Germany/Eurex16 STOXX Europe 600 Utilities Approved for sale to U. S. Persons (February 6, 2008 CFTC No-Action Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 Various other STOXX Europe 600 Sector Indices Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC)19 None offered Germany/Eurex16 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 Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 STOXX Europe Mid 200 Approved for sale to U. S. Persons (June 4, 2012 certification see also June 18, 2007 CFTC NoAction Letter issued to Eurex) None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 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 Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) None offered Germany/Eurex16 Swiss Market Index (SMI) Not approved None offered Approved for Eligible U. S. Institutions (December 1, 2017 Representation Letter from Eurex to SEC) Not approved20 Germany/Eurex16 Swiss Market Index Midcap (SMIM) 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, 2017 Representation Letter from Eurex to SEC) 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Germany/Eurex16 TA-25 Approved for sale to U. S. Persons (July 14, 2014 certification) None offered None offered None offered Germany/Eurex16 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 (December 1, 2017 Representation Letter from Eurex to SEC) None offered Greece/Athens Exchange Derivatives Market FTSE/ATHEX Large Cap Not approved None offered Not approved None offered Greece/Athens Exchange Derivatives Market FTSE/ATHEX Mid Cap Not approved None offered Not approved None offered Hong Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16 CES China 120 Approved for sale to U. S. Persons (September 17, 2013 certification) None offered None offered None offered Hong Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16 DJIA Not approved None offered None offered None offered Hong Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16 FTSE/Xinhua 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 Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16 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. Institutions (August 24, 2017 Representation Letter from Hong Kong Futures Exchange Limited to SEC September 26, 1995 SEC No-Action Letter issued to HKFE) 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Hong Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16 HSCEI Dividend Point Index Not Approved None offered None offered None offered Hong Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16 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 Approved for Eligible U. S. Institutions (August 24, 2017 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 None offered None offered Hong Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16 Mini Hang Seng 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, 2017 Representation Letter from Hong Kong Futures Exchange Limited to SEC) None offered Hong Kong/Hong Kong Exchanges and Clearing Ltd. (HKEX)16 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 Hong Kong/The Stock Exchange of Hong Kong Limited (SEHK)16 Single name equities None offered None offered Approved for Eligible U. S. Institutions (August 24, 2017 Representation Letter from The Stock Exchange of Hong Kong Limited to SEC) None offered Hungary/Budapest Stock Exchange BUX 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. 22 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options India/Bombay 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 India/Bombay Stock Exchange (BSE) DOLLEX-309 Not approved None offered Not approved None offered India/Bombay Stock Exchange (BSE) SampP BSE 1009 Approved for sale to U. S. Persons (September 24, 2013 certification) None offered Not approved None offered India/National Stock Exchange of India Ltd. (NSE) Bank Nifty9 Not approved None offered Not approved None offered India/National Stock Exchange of India Ltd. (NSE) CNXIT9 Not approved None offered Not approved None offered India/National 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 Ireland/Irish Stock Exchange Single name equities None offered None offered Not approved (but see Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered Israel/Tel Aviv Stock Exchange TA 25 Not approved None offered Not approved None offered Israel/Tel Aviv Stock Exchange TA Banks Not approved None offered Not approved None offered Italy/Borsa Italiana ndash IDEM16 FTSE MIB Dividend Approval pending 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. 23 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Italy/Borsa Italiana ndash IDEM16 FTSE MIB 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, 2017 Representation Letter from Borsa Italiana to SEC September 24, 2004 SEC No-Action Letter issued to Borsa Italiana) None offered Italy/Borsa Italiana ndash IDEM16 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 Italy/Borsa Italiana ndash IDEM16 Single name equities Not approved None offered Approved for Eligible U. S. Institutions (September 4, 2017 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 ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered Japan/Osaka 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. 24 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Japan/Osaka 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 Japan/Osaka Exchange (OSE)16 JPX-Nikkei Index 400 Approved for sale to U. S. Persons (October 21, 2014 certification) None offered None offered None offered Japan/Osaka Exchange (OSE)16 Mini Nikkei 225 Approved for sale to U. S. Persons (July 10, 2006 CFTC No-Action Letter issued to OSE)3 None offered None offered None offered Japan/Osaka 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 Japan/Osaka Exchange (OSE)16 Nikkei 225 Dividend Not approved None offered None offered None offered Japan/Osaka Exchange (OSE)16 Nikkei 225 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 Japan/Osaka Exchange (OSE)16 Nikkei Stock Average Volatility Approved for sale to U. S. Persons (March 9, 2012 certification) None offered None offered None offered Japan/Osaka Exchange (OSE)16 Russell/Nomura 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. 25 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Japan/Osaka 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 Japan/Osaka 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 Japan/Osaka 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 Japan/Osaka Exchange (OSE)16 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 (November 15, 2002 SEC No-Action Letter issued to TSE) None offered Japan/Osaka Exchange (OSE)16 TOPIX Banks Not approved None offered None offered None offered Japan/Osaka 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 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Japan/Tokyo Financial Exchange (TFX) Nikkei 225 Margin Not approved None offered None offered None offered Korea ndash see South Korea - - - - - Malaysia/Bursa 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) Approved for sale to U. S. Persons (June 28, 2011 CFTC NoAction Letter issued to Bursa Malaysia Derivatives Berhad) Not approved None offered Mexico/Mexican 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 NoAction Letter issued to Mercado Mexicano de Derivados, S. A. de C. V.) None offered Not approved Mexico/Mexican Derivatives Exchange (MEXDER) Mini IPC Approved for sale to U. S. Persons (March 26, 2014 certification) None offered None offered None offered Netherlands/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 Netherlands/Euronext Amsterdam Derivatives Markets N. V.16 Amsterdam Mid-Kap 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 Letter from Euronext Amsterdam to SEC) (see also Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered New Zealand/NZFOE NZX 10 Not approved Not approved None offered None offered Norway/Oslo Stock Exchange OBX 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. 28 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Norway/Oslo Stock Exchange Single name equities None offered None offered Not approved (but see U. K./ICE Futures Europe ndash Single name equities U. K./Turquoise Global Holdings Limited ndash Single name equities)4,11 None offered Poland/Warsaw Stock Exchange WIG20 Approved for sale to U. S. Persons (May 15, 2017 certification) None offered Not approved None offered Portugal/Euronext Lisbon PSI 20 Not approved Not approved None offered4 None offered Portugal/Euronext Lisbon Single name equities Not approved None offered Not approved (but see U. K./ICE Futures Europe ndash Single name equities)4 None offered Russia Single name equities - - See Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities U. K./London Stock Exchange Derivatives ndash Single name equities4,5,14 - Russia/Moscow Exchange (Moscow Interbank Currency Exchange and Russian Trading System Stock Exchange) MICEX Index 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. 29 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) RTS Index Approval pending None offered 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 None offered None offered Singapore/Singapore 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 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 None offered 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 None offered 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 None offered None offered Singapore/Singapore 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 Singapore/Singapore 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 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Singapore/Singapore 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 Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Malaysia Index Approved for sale to U. S. Persons (November 25, 2014 certification) None offered None offered None offered Singapore/Singapore 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 Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT) MSCI Singapore Free Approved for sale to U. S. Persons (June 21, 2000 CFTC No-Action Letter issued to SGX-DT)3 None offered None offered None offered Singapore/Singapore 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 Singapore/Singapore 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 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 Approved for sale to U. S. Persons (December 5, 1986 CFTC No-Action Letter issued to SIMEX) 3 None offered None offered Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT) Nikkei (USD) Approved for sale to U. S. Persons (May 24, 2007 CFTC No-Action Letter issued to SGX-DT) 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 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options 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 Approved for sale to U. S. Persons (December 13, 1995 CFTC No-Action Letter issued to SIMEX)3 None offered None offered Singapore/Singapore 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 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 None offered None offered Singapore/Singapore Exchange Derivatives Trading Ltd. (SGX-DT) SGX Straits Times (STI) Not approved None offered None offered None offered South Africa/JSE/SAFEX ALSI/FTSE 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 Africa/JSE/SAFEX Financial Not approved None offered None offered None offered South Africa/JSE/SAFEX FTSE/JSE Shareholder Weighted Top 40 Index (DTOP) Not approved Not approved None offered None offered South Africa/JSE/SAFEX Industrial Not approved None offered None offered None offered South Africa/JSE/SAFEX Mining Not approved None offered None offered None offered South Korea/Korea Exchange KOSDAQ 50 Plus Not approved Not approved 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. 32 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options South Korea/Korea 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 Spain/Madrid Stock Exchange Single name equities None offered None offered Not approved (but see Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered Spain/MEFF 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 Spain/MEFF IBEX 35 Mini Not approved Not approved None offered None offered Spain/MEFF 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 Spain/MEFF 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 Sweden/OMHEX HEXTECH Not approved Not approved None offered None offered Sweden/OMHEX HEXTEMP Not approved None offered None offered None offered Sweden/Stockholm Stock Exchange Ltd. 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. 33 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Sweden/Stockholm Stock Exchange Ltd. OBX Not approved None offered Not approved None offered Sweden/Stockholm Stock Exchange Ltd. 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 Sweden/Stockholm Stock Exchange Ltd. OMXS30 (formerly OMX) 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 Sweden/Stockholm Stock Exchange Ltd. Single name equities Not approved None offered Not approved (but see Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities U. K./Turquoise Global Holdings Limited ndash Single name equities)4,5,11 None offered Sweden/Stockholm Stock Exchange Ltd. 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 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. 34 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Switzerland/SIX Swiss Exchange Ltd Single name equities None offered None offered Not approved (but see Germany/Eurex ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 None offered Taiwan/Taiwan 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 Taiwan/Taiwan 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 Taiwan/Taiwan 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 Taiwan/Taiwan 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 Taiwan/Taiwan Futures Exchange MSCI Taiwan (Taiwan Futures Exchange delisted the product on September 22, 2011) 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 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. 35 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options Taiwan/Taiwan 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 Taiwan/Taiwan Futures Exchange Taiwan Stock Exchange Non-Finance NonElectronics 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 Taiwan/Taiwan Futures Exchange TSEC Taiwan 50 Not approved None offered None offered None offered Thailand/Thailand 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 Turkey/Borsa 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./ICE Futures Europe16 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./ICE Futures Europe16 FTSE 100 Dividend - RDSA Withholding Not approved None offered None offered None offered U. K./ICE Futures Europe16 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 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. 36 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K./ICE Futures Europe16 FTSE 250 (2GBP) Approved for sale to U. S. Persons (January 10, 2014 certification) None offered None offered4 None offered U. K./ICE Futures Europe16 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./ICE Futures Europe16 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./ICE Futures Europe16 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./ICE Futures Europe16 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./ICE Futures Europe16 MSCI Europe (Eurodenominated) Approved for sale to U. S. Persons (December 6, 2013 certification) None offered None offered None offered U. K./ICE Futures Europe16 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./ICE Futures Europe16 MSCI World Approved for sale to U. S. Persons (September 24, 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. 37 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K./ICE Futures Europe16 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./ICE Futures Europe16 TOPIX Approved for sale to U. S. Persons (December 1, 2011 certification) None offered None offered None offered U. K./London Stock Exchange Derivatives16 BIST 30 Pending expedited review (August 20, 2017) None offered Not approved None offered U. K./London Stock Exchange Derivatives16 FTSE 100 Approved for sale to U. S. Persons (August 28, 2014 certification) None offered Approved for Eligible U. S. Institutions (November 12, 2014 Representation Letter from London Stock Exchange to SEC)4 None offered U. K./London Stock Exchange Derivatives16 FTSE Russia IOB (FTSE RIOB) Not approved None offered Approved for Eligible U. S. Institutions (November 12, 2014 Representation Letter from London Stock Exchange to SEC) None offered U. K./London Stock Exchange Derivatives16 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 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. 38 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K./London Stock Exchange Derivatives16 Single name equities None offered None offered 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 ndash Single name equities U. K./ICE Futures Europe ndash Single name equities)4,5 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 U. K./Turquoise Global Holdings Limited KFX/Flex 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./Turquoise Global Holdings Limited OBX/Flex 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 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. 39 Country/Exchange Underlying Futures Contracts Options on Futures Contracts Equity Options ETF Options U. K./Turquoise Global Holdings Limited OMX/Flex OMX None offered None offered Approved for Eligible U. S. Institutions (October 29, 2003 SEC No-Action Letter issued to EDX London Exchange) None offered U. K./Turquoise Global Holdings Limited 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 40 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. 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 (1) is a ldquoqualified institutional buyerrdquo 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 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 In 2014, LIFFErsquos 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 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. 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 ldquoList of Contract Details for Equity Productsrdquo here. 5 Pursuant to the December 1, 2017 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 Exchangersquos 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 amp 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 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. 41 116025672 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. 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 Exchangersquos 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, 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. 19 Pursuant to the December 1, 2017 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 amp 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 amp Materials EURO STOXX Financial Services EURO STOXX Food amp Beverage EURO STOXX Health Care EURO STOXX Industrial Goods amp Services EURO STOXX Insurance EURO STOXX Media EURO STOXX Oil amp Gas EURO STOXX Personal amp Household Goods EURO STOXX Real Estate EURO STOXX Retail EURO STOXX Technology EURO STOXX Telecommunications EURO STOXX Travel amp Leisure EURO STOXX Utilities STOXX Europe 600 Automobiles amp Parts STOXX Europe 600 Banks (see also chart above) STOXX Europe 600 Basic Resources STOXX Europe 600 Chemicals STOXX Europe 600 Construction amp Materials STOXX Europe 600 Financial Services STOXX Europe 600 Food amp Beverage STOXX Europe 600 Health Care STOXX Europe 600 Industrial Goods amp 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 amp Gas STOXX Europe 600 Personal amp 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 amp 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 staffrsquos 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. 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. copy2016 Katten Muchin Rosenman LLP. Todos los derechos reservados. 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. Archivado en Etiquetado con