*Letters

Amending NASD Rule 2220 Relating to Options Communications

Published on:
May 22, 2008
Issue:
Committee:

The Equity Options Trading Committee of SIFMA provides comments to the Securities and Exchange Commission (SEC) on  a proposal that would amend the National Association of Securities Dealers (NASD) Rule 2220 – Options Communications with the Public, SR-FINRA-2008-013. SIFMA generally agrees with the proposal, including: (1) the elimination of the prior supervisory and (Financial Industry Regulatory Authority) FINRA pre-approval requirements for educational materials;  (2) clarification of standardized verse conventional option communication requirements; (3) and the alignment of Rule 2220 with the other NASD rules governing communications. SIFMA shares its observations and recommendations relating to the Options Disclosure Document (ODD) including the document be allowed to be presented via hyperlink, in order to save paper and to avoid e-mail issues.

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.