*Letters

EConsolidating Certain Rules Related to Options into the FINRA Rulebook

Published on:
September 4, 2008
Issue:
Committee:

SIFMA’s Equity Options Trading Committee provides comments to the Securities and Exchange Commission (SEC) on the proposed rule change to adopt Financial Industry Regulatory Authority (FINRA) Rules 2350 through 2359 (Regarding Trading of Index Warrants, and Currency Warrants), FINRA Rule 2360 (Options), and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook (SR-FINRA-2008-032; SEC Release No. 34-58333.  SIFMA supports eliminating the duplicity of FINRA and New York Stock Exchange (NYSE) rules. SIFMA also applauds the clarification that either a Registered Options Principal (Series 4) or a Limited Principal – General Securities Sales Supervisor (Series 9/10) may approve the opening of options accounts, as is consistent with Chicago Board Options Exchange (CBOE) rules.

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