Notices Subject Index – O

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OATS (see Order Audit Trail System)
Obsolete Rules 04-64

Odd-Lot Transactions

09-15; TRN 3/18/08; 07-63; 06-39

Offering Proceeds

11-04;

Offers at Stated Prices

09-72

Office of Disciplinary Affairs

99-01

Office of Supervisory Jurisdiction

14-11; 07-64; 07-12

Ombudsman

Clarification of Role; 99-97; 98-30

Online Communications

03-33; 01-23

Operations

Corporate Debt Securities; 07-21; 07-18; 07-1506-32

Pandemic Regulatory Relief; 06-31

Professionals; 11-42; 11-33

Rules; 14-0511-2609-03; 04-51; 03-58; 03-45; 01-66
Transaction Reporting; 06-22; 06-01; 05-77; 05-52; 05-37; 05-28; 05-2105-05; 05-02; 04-66; 04-65; 04-39; 03-22; 03-12; 02-76

Options

08-78; 08-73; 08-28; IN 11/12/08; IN 5/15/08; 08-10; 08-09; 07-37

Adjustments; IN 11/12/08; 02-17

Binary; IN 8/26/08; IN 5/15/08
Cash and Margin Requirements; 01-11

Communications; 08-73

Compliance Registered Principal; 08-28

Contrary Exercise Advice; 10-36

Conventional Equity Options; 13-39; 13-20

Delayed Start; IN 8/26/08; IN 5/15/08

Disclosure Document; 13-39IN 1/24/13IN 2/9/12IN 4/20/11IN 2/7/11IN 6/15/2010; IN 11/12/08; IN 8/26/08; IN 5/15/08
Exemption; 08-37; 08-04; 05-0304-01

Excercise Cut-Off Time; IN 11/26/13IN 11/20/12
Exercise Procedures; 11-35; 06-51

Expiration; IN 11/26/13; IN 11/20/1210-36

Fixed-Return; IN 5/15/08

Hedge Positions; 03-19
Large Options Position Report Requirements; 09-47

Listed Options; 13-39

Margin Requirements; 08-09; 07-1406-26

Mini; IN 1/24/13

Obligations; 99-20
Options Self-Regulatory Council; 02-17

Option Spread Strategies; 12-44

Options Symbology Initiative; 09-47
OTC; 13-39; 06-39

Position-Limit Rule (NASD Rule 2860); 08-10; 07-37; 07-0807-0306-5406-46; 06-09; 05-56; 05-31; 05-0601-01; 99-20; 98-67; 98-49; 06-09

Position Limits; 13-20

Range Options; IN 8/26/08

Registered Options and Security Futures Principal; 08-28

Relative Performance Index Options; IN 2/9/12IN 4/20/11

Reporting Requirements; 08-04; 05-77; 05-22

Reverse Convertibles; 10-09

Senior Registered Options Principal; 08-28

Special Statement for Uncovered Options Writers; 06-54

Standardized Equity Options; 13-39IN 11/26/13; IN 11/20/12

Strategy-Based Index Options; IN 11/12/08

Structured Products; 05-59

Variability Index Options; IN 4/20/11; IN 11/12/08

Violations of Options Position and Exercise Limits; 08-33

Weekly Options; IN 11/26/13IN 11/20/12

Options Clearing Corporation (OCC)

13-39

Order Audit Trail System (OATS)

14-21; 11-03

Automated Confirmation Transaction Service, Integration; 98-82
Intermarket Sweep Orders; 07-39

Limit Orders; 00-26
OATS Reporting Technical Specifications; 99-04
Phase III Delay; FYI, August 2000; FYI, March 2000
Registration Requirements; 99-27; FYI, October 1998; 98-73
Reporting Requirements; 07-39; 06-17; 06-15; 05-78; 04-85; 04-69

Rule Changes; 04-80; 04-48; 02-31
Rule Guidance; 05-33; 04-46; 02-29
SEC Approval; 98-33

Order Entry and Executions

Practices; 09-72

Statistical Information About; 01-16

Order Handling Volume-Weighted Average Price Transactions; 05-51
Order Handling Rules (SEC Rules 11Ac1-1 and 11Ac1-4)

Compliance Guidelines; 97-49
Implementation; FYI, December 1996
Interpretation; 97-57

Order Marking 05-33

Order Protection Rule

11-24TRN 2/24/09

Order Routing and Execution Systems 04-66
OTC Bulletin Board

American Depositary Receipts (ADRs); 98-07
Direct Participation Program Directory; 97-23; 97-08
Direct Participation Programs, Quotation and Transaction Reporting; 97-08
Eligibility Rule; 99-76; 99-58; 99-43; 99-15; 98-14
Foreign Equities; 98-07
Limit Order Protection Principles; 01-46
Quotation Limitations; 99-15; 98-14
Recommendation and Disclosure Rules; 98-15
Trading Halts; 00-41

OTC Equity Securities

14-21; 13-1312-3712-2412-1909-21; 09-08; 08-74; 08-66; TRN 3/18/08; 07-46; 07-22; 07-09

Bulletin Board; 08-34; IN 4/1/08

Cancellations; 10-07

Company-Related Actions; 10-38

Customer Order Protection; 11-24

Eligibility Rule; 08-34

Limit Orders; 08-49

Market Orders; 11-29

Minimum Quotation Size; 12-51

OTC Reporting Facility; 13-1912-07TRN 9/23/11; TRN 9/23/11

"Penny for the Lot" Transactions; TRN 9/23/11

Quotations; 12-51

Recommendation and Disclosure Rules; 02-66; 98-15

Regulation NMS-Principled Rules; 10-42

Reporting Facility; 14-21; TRN 3/25/1311-40; TRN 6/3/10TRN 9/17/1010-29; 10-26; 10-24; TRN 2/8/10; 10-07; 09-21; 09-08; TRN 8/14/08; IN 4/1/08; TRN 3/18/08; TRN 2/19/08; 07-63; 07-46; 07-38

Symbol; TRN 9/23/11

"Worthless" Securities; TRN 9/23/11

Outside Business Activities

12-5503-65; 01-79

Outsourcing

11-1405-48

Over-the-Counter Derivatives Dealers

05-06

Over-the-Counter Trading

Company-Related Actions; 11-09