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OCC Comments on Amendments to Securities Exchange Act

OCC joined NYSE Group, Nasdaq, CBOE, Chicago Stock Exchange, and ISE in a letter to leaders of the House Financial Services Committee to express opposition to legislation seeking to amend the Securities Exchange Act of 1934 ("Exchange Act") to add voting members that are not self-regulatory organizations ("SROs") to the various National Market System plans ("NMS Plans"). As noted in the letter, SROs such as ones operated by the signatories to the letter are uniquely positioned to operate NMS Plans because each SRO, unlike broker-dealers, carries the obligation to enforce compliance with the Exchange Act.

This web site discusses exchange-traded options issued by The Options Clearing Corporation. No statement in this web site is to be construed as an endorsement, recommendation or solicitation to purchase or sell a security, or to provide investment advice. Options involve risk and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of the disclosure document, Characteristics and Risks of Standardized Options. Individuals should not enter into option transactions until they have read and understood this document. To obtain copies, contact your broker, any exchange on which options are traded, or The Options Clearing Corporation, 125 S. Franklin Street, Suite 1200, Chicago, IL 60606 ([email protected]).