*Letters

Options Supervision Requirements

Published on:
June 12, 2008
Issue:
Committee:

The Equity Options Trading Committee of SIFMA provides comments to Financial Industry Regulatory Authority (FINRA) on FINRA amendments relating to certain National Association of Securities Dealers (NASD) rules governing options supervision requirements, SR-FINRA-2007-035. SIFMA applauds the elimination of SROP and CROP designations, but questions the consistency of some rules with those already in place at other Self-Regulatory Organizations (SROs).  SIFMA recommends additional measures that would more fully integrate options supervision within the overall supervisory structure of FINRA member firms.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.