JLN: SIFMA’s Ellen Greene Discusses Key Concerns and Expresses Optimism at Options Industry Conference
In this post, SIFMA's Ellen Greene, managing director of equity and options market structure, shared insights on key industry concerns…
Listed Options Market Structure – Looking Ahead
SIFMA's Ellen Greene moderated the panel discussion, "Navigating the Markets During an Election Year", at the 2024 Options Industry Conference…
Top Five Takeaways from SIFMA’s 2023 Market Structure Conference
In this episode of The SIFMA podcast, Joe Siedel, SIFMA's Chief Operating Officer, and colleague Ellen Greene, Managing Director of…
Options and Equity Market Structure – A Deep Dive
Recently, SIFMA’s Ellen Greene participated in the Washington Outlook panel discussion at the 2023 Options Industry Conference in Nashville.
The 2022 Market Structure Week Debrief
Recently, SIFMA hosted our annual Listed Options Symposium and Equity Market Structure Conference. Across the two days, we gained insights…
Options Regulatory Fee (ORF) Rate Change Proposals
SIFMA provided comments to the Securities and Exchange Commission (SEC) in regards to the rate change proposals for each exchange’s…
Nasdaq BX’s Short Term Options Series Proposal
SIFMA provided comments to the Securities and Exchange Commission (SEC) on Nasdaq BX’s Proposal to Amend Options 4, Section 5,…
Proposed Rule Change to Amend the Options Regulatory Fee
SIFMA provided comments to the SEC on the proposed rule change filed by Cboe Exchange, Inc. under Section 19(b)(1) of…
Application for Review of Action Taken by CAT LLC and Certain SROs in Violation of Exchange Act Sections 19(d) and 19(f)
SIFMA applies for review of action taken by Consolidated Audit Trail, LLC and certain Self-Regulatory Organizations (SROs) in violation of…
Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds and Indexes
SIFMA provided comments to the Securities and Exchange Commission on a proposed rule change made by Cboe Exchange, Inc. In…
SIFMA Promotes Ellen Greene to Managing Director, Equity and Options Market Structure
New York, NY, January 23, 2020 – SIFMA today announced that Ellen Greene has been promoted to the position of…
Commodity Futures Trading Commission Global Markets Advisory Committee Meeting
Commodity Futures Trading Commission Global Markets Advisory Committee Meeting Tuesday, September 24, 2019 Key Topics & Takeaways Panel 1: Status…
NYSE, MIAX and Cboe Exchanges’ Proposals to Amend ORF
SIFMA provides comments to the Securities and Exchange Commission (SEC) on NYSE, MIAX and Cboe exchange family rule proposals which…
CAT: A New Timeline, But Data Protection Must Remain a Top Priority
In February 2019, the SRO Operating Committee of the Consolidated Audit Trail (CAT) announced that the Financial Industry Regulatory Authority…
Options Market Structure: Proliferation of Listed-Options Series Available for Quoting and Trading
The Listed Options Trading Committee of SIFMA sent a letter to propose working collectively with the Securities and Exchange Commission,…
NASDAQ PHLX Give Up Rule (SR-PHLX-2018-72)
SIFMA provides comments to the Securities and Exchange Commission (SEC) on on NASDAQ OMX PHLX LLC (Phlx) Rulemaking in response to the…
Governing the Give Up of a Clearing Trading Permit Holder
SIFMA provided comments to the Securities and Exchange Commission (SEC) on proposed rule change to amend Cboe Rule 6.21. In…
Proposed Rule Change to Amend the Position Limit for SPY Options
SIFMA provided comments to the Securities and Exchange Commission (SEC) on File Number SR-Cboe-042 regarding proposed rule change to amend the…
H.R.5749 – Options Markets Stability Act
SIFMA provided comments to the House Committee on Financial Services in support of H.R. 5749, the Options Market Stability Act, and urges…
H.R.6035 – Streamlining Communications for Investors Act
SIFMA provides comments to the House Committee on Financial Services in support of H.R. 6035, the Streamlining Communications for Investors…
Options Market Committee Approval
SIFMA and other industry associations have asked the Securities and Exchange Commission to let them form a committee to propose…
CAT: From Audit Trail to Opportunity
The following is a guest blog post from Keith Jamaitis of Broadridge Financial Services. The Consolidated Audit Trail (CAT) is…
Response to OCC Capital Plan
SIFMA provided comments to the Securities and Exchange Commission (SEC) on a proposed capital plan for raising additional capital that…
Fragmentation and liquidity issues must be addressed to maintain a resilient listed options market
SIFMA's Ellen Greene explores the state of the listed options industry and the changes needed in 2018 to address fragmentation…
Cboe Filing
SIFMA provided comments to the SEC on Cboe Filing, supporting the filing to increase position limits for options on a…
SIFMA Executive Vice President Randy Snook Remarks as Prepared for the 2017 Listed Options Symposium
Good afternoon. Thank you for joining us today to address the state of the listed options market. SIFMA is…
Phlx Proposal to Introduce Intellicator Analytic Tool
SIFMA provides comments to the Securities and Exchange Commission (SEC) on the NASDAQ PHLX LLC Notice of Filing of Proposed Rule…
Transformative industry changes are bringing new ways to understand customers and markets
When SIFMA hosted its 2017 Operations Conference & Exhibition in Florida, technology, regulation and compliance operations dominated the discussions. Over…
PEARL’s Most Recent ORF Filing
SIFMA’s Listed Options Trading Committee and Information Group provided comments to the Securities and Exchange Commission (SEC) on the filing…
MIAX Pearl Fee Schedule
SIFMA provides comments to the Securities and Exchange Commission (SEC) in opposition of a proposed rule change to amend the…
Options Regulatory Fee (ORF): A Guide to Exchange Collection Scenarios and Rates
This presentation includes information on “What is the Options Regulatory Fee?” – The Options Regulatory Fee (‘ORF’), is a fee assessed…
SIFMA Executive Vice President Randy Snook Remarks as Prepared for the 2016 Listed Options Symposium
Good afternoon and thank you for joining us. We’re pleased to provide this forum for thought leaders to take stock…
SIFMA Executive Vice President Randy Snook Remarks as Prepared for SIFMA 2015 Listed Options Symposium
Good afternoon and welcome. I’m Randy Snook, executive vice president, business policies and practices at SIFMA. Thank you for joining…
OCC’s Advanced Notice Filing and Proposed Rule Change relating to OCC’s Proposed Capital Plan
SIFMA submitted comments to the Securities and Exchange Commission (SEC) on the Proposed Capital Plan sought in a Notice of…
BATS Proposal to Replace Obvious Error Rule
SIFMA submitted comments to the Securities and Exchange Commission regarding a proposed rule change filed by the BATS Exchange Inc.…
New Requirements for CBOE Trading Permit Holders
SIFMA provided comments to the Chicago Board Options Exchange Incorporated (CBOE) regarding CBOE Regulatory Circular RG14-139 and C2 Regulatory Circular…
OCC Proposed Rule Change Related to Price Reasonableness Checks on Confirmed Trades
SIFMA provided comments to the Securities and Exchange Commission (SEC) regarding a proposed rule change filed by The Options Clearing…
OCC Proposed Rule Change Related to Dividend Plays
SIFMA provided comments to the Securities and Exchange Commission (SEC) regarding a proposed rule change filed by The Options Clearing…
ISE Proposed Rule Change to Amend ISE Rule 722
SIFMA provides commends to the Securities Exchange Commission (SEC), regarding the International Securities Exchange (ISE) proposed rule change to amend…
The Options Clearing Corporation Clearing Fee Schedule
SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Options Clearing Corporation's (OCC's) proposed rule change to…
Proposed Permanent Penny Program for the US Options Exchanges
SIFMA's Listed Options Trading Committee provides comments to all US Options Exchanges regarding the proposal to create a permanent Penny…
The CBOE’s Proposal on Option Orders Tied to Stock Orders
SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Chicago Board Options Exchange (CBOE) filing to amend…
SEC on the NYSE’s Requests Regarding Options Regulatory Fees
SIFMA provides comments to the Securities and Exchange Commission (SEC) on proposals by NYSE Arca, Inc. and NYSE MKT, LLC…
Extending the NYSE Arca Penny Trading Program & Making a Permanent Penny Trading Program
SIFMA provides comments to the Securities and Exchange Commission (SEC) supporting the extension of the NYSE Arca Penny Pilot Program…
SEC File No SR-PHLX-2013-05
SIFMA provides comments on the proposed rule change filed by PHLX with the SEC. PHLX has filed a proposed rule…
CBOE Rule Change to Allow Mini Options to Trade in the Same Pricing Increment as Standard Options
SIFMA provides comments to the Securities and Exchange Commission (SEC) regarding a proposed rule change (SEC File No. SR-CBOE-2013-016) filed…
Concerns About Dividend Trading
SIFMA's Listed Options Trading Committee provides comments to Options Clearing Corporation (OCC) to bring to their attention concerns about the options…
Proposed Elimination of Flash Order Exception
SIFMA's Equity Options Trading Committee provides comments to the Securities and Exchange Commission (SEC) regarding the proposal to eliminate the…
Proposed Amendments to Rule 610 of Regulation NMS
The Equity Options Trading Committee of SIFMA provides comments to the Securities and Exchange Commission (SEC) on proposed amendments to…
Penny Pilot Program
SIFMA's Equity Options Trading Committee provides comments to the Securities and Exchange Commission (SEC) on the Penny Pilot Program, File No.…
CBOE Long Term Penny Pilot Rollout Plan
The Equity Options Trading Committee of SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Long Term…
SIA Submits Comments to the SEC on Proposals Relating to Exchange-Listed Options
The Options Committee of the Securities Industry Association (SIA)* provides comments to the appreciates Securities and Exchange Commission (SEC) on proposals…
SIA Submits Comments to the SEC on a Proposal Relating to Options Linkage Plans
The Options Committee (Committee) of the Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on…