Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend: (1) FINRA Rule 2360 (Options) to treat over-the-counter ("OTC") options cleared by The Options Clearing Corporation ("OCC") as conventional options for purposes of the rule; and (2) FINRA Rule 4210 (Margin Requirements) to treat OTC options cleared by the OCC as listed options with respect to applicable margin requirements.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 144.52 KB
Federal Register NoticePDF - 215.55 KB
Extension No. 1PDF - 26.66 KB
Extension No. 2PDF - 26.66 KB
Approval OrderPDF - 212.64 KB