*Letters

SIA Submits Comments to the SEC on Proposals Relating to Exchange-Listed Options

Published on:
October 31, 2000
Committee:

The Options Committee of the Securities Industry Association (SIA)* provides comments to the appreciates Securities and Exchange Commission (SEC) on proposals that would apply to exchange-listed options, Securities Exchange Act Release; No. 43085; File No. 57-17-00.  Proposed Rule 11Ac1-7 would require broker-dealers to disclose to a customer when the customer’s order to buy or sell a listed option was executed at a price inferior to the best quote published at the time of execution of the customer’s order.  Separately, it is proposed that Rule 11Ac1-1 be amended to require options exchanges and options market makers to publish firm quotes.

*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

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