*Letters

Proposed Rule Change Relating to Communications to Customers

Published on:
July 31, 2008
Issue:
Committee:

The Equity Options Trading Committee of SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Chicago Board Options Exchange, Inc. (CBOE) proposed rule change regarding communications to customers, SR-CBOE-2007-030; SEC Release No. 34-58138.  The proposed rule would change Rule 9.21 to provide a more uniform approach to communications to customers regarding standardized options. SIFMA strongly endorses these changes, and supplements the recommendations to the CBOE proposed rule with comments made to the SEC on May 22, 2008, regarding a FINRA proposal relating to communications with customers, SR-FINRA-2008-13, which apply to the CBOE proposal.

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.