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"Standardized Options"
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EFTA00716175
Dataset 9
2015-09-01
1p
347w
Subject:
MRK
From:
"Barrett, Paul S"
To:
Brad Wechsle
…products or strategies discussed herein are suitable to their needs. In actual transactions, the client's counterparty for OTC derivatives applications is JPMorgan Chase Bank, N.A., and affiliates. For a copy of the "Characteristics and Risks of
Standardized Options
" booklet, please contact your JPMorgan Advisor. This email is confidential and subject to important disclaimers and conditions including on offers for the purchase or sale of securities, accuracy and completeness of information, viruses, confidentiality, legal privilege, and legal entity disclaimers…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00716175.pdf
EFTA01353474
Dataset 10
1p
316w
DECEMBER 1997 SUPPLEMENT To accommodate the introduction of trading in cash-settled options on indexes of mutual funds, the February 1994 edition of the booklet entitled Char- acteristics and Risks of
Standardized Options
is amended by adding the following disclosure to Chapter IV, Index Options. following the third full paragraph on p. 26: Index options may be traded on underlying indexes designed to reflect the net asset values of selected mutual funds in specified categories. For example, an underlying index…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353474.pdf
EFTA01393147
Dataset 10
1p
327w
MARCH 2000 SUPPLEMENT The February 1994 edition of the booklet enti- tled Characteristics and Risks of
Standardized Options
(the "options booklet") is amended 'as follows: 1. The second full paragraph after the exam- ple on page 21 of the options booklet is amended to read: When an underlying security is converted into a right to receive a fixed amount of cash, options on that security will generally be adjusted to require the delivery upon exercise of a fixed amount of…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393147.pdf
EFTA01380006
Dataset 10
1p
662w
…By contrast, the writer of a European-style option is subject to exercise assignment only during the exercise period. NOTE: it is expected that the person(s) signing below will read the booklet entitled Characteristics and Risks of
Standardized Options
available from your broker. Particular attention is directed to the chapter entitled "Risks of Buying and Writing Options" This statement is not intended to enumerate all of the risks entailed in writing uncovered options. I have read andond d the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01380006.pdf
EFTA01462233
Dataset 10
1p
760w
…options may entail considerably greater risk. Options are not suitable for all investors. Before engaging in options trading, it is very important that you read the "characteristics and Risks of
Standardized Options
" (the Option Disclosure Document). This Option Disclosure Document may be obtained directly from the option clearing corporation's website at www.optionsclearing.com in the "Publications" section, or you may request a copy from your Client Advisor. Before trading in a margin account, investors should be aware of…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01462233.pdf
EFTA01393193
Dataset 10
1p
432w
JANUARY 2012 SUPPLEMENT The February 1994 version of the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet") is amended as provided below to accommodate options on relative performance indexes of which the index components are equity securities (including fund shares). 1. The first paragraph following the caption "Relative Performance Indexes," which was added to Chapter N of the Booklet by the March 2011 Supplement immediately following the section captioned "Strategy- Based Indexes" (which was added on page 25…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393193.pdf
EFTA01393179
Dataset 10
1p
336w
DECEMBER 2009 SUPPLEMENT The February 1994 version of the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet) Is amended as provided below. Part I of this Supplement contains information regarding options on indexes measuring () the historical ("realized') variance or the predicted ("implied") or realized volatility of the daily returns of a stock index; (ii) the return from a trading strategy involving purchases and sales of equity securi- ties and options on those securities; or (iii) the dividends on…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393179.pdf
EFTA01353523
Dataset 10
1p
396w
MARCH 2011 SUPPLEMENT The February 1994 version of the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet") is amended as provided below to accommodate (i) options on any index intended to measure the implied volatility of a single reference security; and (ii) options on relative performance indexes. 1. The first full paragraph on page 2 of the Booklet as amended by the May 2007. December 2009 and May 2010 Supplements, is replaced by the following: Each options market…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353523.pdf
EFTA01353491
Dataset 10
1p
399w
JUNE 2008 SUPPLEMENT This supplement supersedes and replaces the April 2008 Supplement to the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet"). This supplement adds information regarding the following new options products: delayed start options, binary stock options, binary index options, and range options. The third paragraph on page 1 of the Booklet is replaced with the following paragraph: What is an option? An o ori is the right to buy or sell a specified amount or value…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353491.pdf
EFTA01378960
Dataset 10
2009-02-01
1p
387w
November 2012 Supplement to Characteristics and Risks of
Standardized Options
The February 1994 version of the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet") is amended as provided below to accommodate the introduction of options originally listed to overlie less than 100 shares. The following replaces Part ll of the December 2009 Supplement: 1. The fourth paragraph on page 19 of the Booklet is amended to read as follows: As a general rule, no adjustment is made for…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378960.pdf
EFTA01393159
Dataset 10
1p
383w
JUNE 2007 SUPPLEMENT The February 1994 edition of the booklet emitted Char- acteristics and Risks of
Standardized Options
, as amended (the "booklet"), is further amended as provided below. The changes pertain to the trading of credit default options. Credit default options, including credit default bas- ket options, have characteristics that are different from those of any other options described in the booklet at the date of this Supplement. Accordingly, some of the state- ments and forms in Chapters I and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393159.pdf
EFTA01380095
Dataset 10
2009-02-01
1p
387w
November 2012 Supplement to Characteristics and Risks of
Standardized Options
The February 1994 version of the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet") is amended as provided below to accommodate the introduction of options originally listed to overlie less than 100 shares. The following replaces Part ll of the December 2009 Supplement: 1. The fourth paragraph on page 19 of the Booklet is amended to read as follows: As a general rule, no adjustment is made for…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01380095.pdf
EFTA01375730
Dataset 10
1p
679w
…option ceases to east or the listing evcitange restricts or suspends trading In the option. WE CERTIFY rum. THE FOREGOING CLIENT INFORMATION IS ACCURATE AND WE ARE AWARE THAT THE INFORMATION IS RELIED ON BY DBSI IN SERVICING THE ACCOUNT. WE ALSO ACKNOWLEDGE RECEIPT OF A CURRENT COPY OF 'CHARACTERISTICS AND RISKS OF
STANDARDIZED OPTIONS
" AND UNDERSTAND THE INFORMATION CONTAINED THEREIN. FURTHER. WE HAVE READ. UNDERSTAND AND AGREE TO BE BOUND BY THE TERMS AND PROVISIONS OF THE LISTED OPTIONS…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375730.pdf
EFTA01393165
Dataset 10
1p
399w
JUNE 2008 SUPPLEMENT This supplement supersedes and replaces the April 2008 Supplement to the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet"). This supplement adds information regarding the following new options products: delayed start options, binary stock options, binary index options, and range options. The third paragraph on page 1 of the Booklet is replaced with the following paragraph: What is an option? An o ori is the right to buy or sell a specified amount or value…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393165.pdf
EFTA01353401
Dataset 10
2009-02-01
1p
382w
November 2012 Supplement to Characteristics and Risks of
Standardized Options
The February 1994 version of the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet") is amended as provided below to accommodate the introduction of options originally listed to overlie less than 100 shares. The following replaces Part II of the December 2009 Supplement: 1. The fourth paragraph on page 19 of the Booklet is amended to read as follows: Asa general rule, no adjustment is made for ordinary…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353401.pdf
EFTA01468675
Dataset 10
2p
618w
…By contrast, the writer of a European-style option is subject to exercise assignment only during the exercise period. NOTE: It is expected that the person(s) signing below will read the booklet entitled Characteristics and Risks of
Standardized Options
available from your broker. Particular attention is directed to the chapter EFTA01468675 entitled "Risks of Buying and Writing Options." This statement is not intended to enumerate all of the risks entailed in writing uncovered options. I have read and understand…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01468675.pdf
EFTA01393093
Dataset 10
2009-02-01
1p
382w
November 2012 Supplement to Characteristics and Risks of
Standardized Options
The February 1994 version of the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet") is amended as provided below to accommodate the introduction of options originally listed to overlie less than 100 shares. The following replaces Part II of the December 2009 Supplement: 1. The fourth paragraph on page 19 of the Booklet is amended to read as follows: Asa general rule, no adjustment is made for ordinary…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393093.pdf
EFTA01371264
Dataset 10
1p
789w
…to route your order. However, please note that if DBSI determines that the execution quality of two venues is materially similar, it may take such payments into account. Please find the Characteristics & Risks of
Standardized Options
document here: http:., wmwimtionsclearing.coartomponents docstriskstoc.odf Certain equities exchanges and third party trading centers to which DBSI routes equities orders have implemented fee structures under which broker-dealer participants may receive rebates on certain orders. Under these fee structures, participants are charged a…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01371264.pdf
EFTA01353475
Dataset 10
1p
344w
APRIL 2007 SUPPLEMENT The February 1994 edition of the booklet entitled Characteristics and Risks of
Standardized Options
(the "booklet") is amended as provided below. The changes pertain to non-rate modified cash-settled foreign cur- rency options aid rate-modified cash-settled foreign cur- rency options. This supplement supersedes and replaces the January 2007 supplement. On page 38, the second paragraph under the head- ing "Special Features of Dollar-Denominated Foreign Cur- rency Options" is deleted and replaced with the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353475.pdf
EFTA01353507
Dataset 10
1p
336w
DECEMBER 2009 SUPPLEMENT The February 1994 version of the booklet entitled Characteristics and Risks of
Standardized Options
(the "Booklet) Is amended as provided below. Part I of this Supplement contains information regarding options on indexes measuring () the historical ("realized') variance or the predicted ("implied") or realized volatility of the daily returns of a stock index; (ii) the return from a trading strategy involving purchases and sales of equity securi- ties and options on those securities; or (iii) the dividends on…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353507.pdf
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