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 11/24/15; IN 11/25/2014IN 11/26/13IN 11/20/12
Exercise Procedures; 11-35; 06-51
Expiration; IN 11/24/15; IN 11/25/2014IN 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; IN 11/24/15; 15-46; IN 11/25/201413-39IN 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 11/24/15;IN 11/25/2014IN 11/26/13IN 11/20/12

Options Clearing Corporation (OCC)

13-39

Order Audit Trail System (OATS)

14-5114-21; 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; 14-47
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, Quotation, and Trade Information

Recording of; 14-47

Order Routing and Execution Systems

04-66

OTC Bulletin Board

14-36

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

15-48; 14-48; 14-4614-21; 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; 15-51; 15-48; 14-36; 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; 14-4814-46TRN 7/11/14; 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