Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document

OMB 3235-0480

OMB 3235-0480

An options disclosure document ("ODD") contains information concerning standardized options and options trading. An options market must file the ODD with the Commission prior to furnishing the ODD to customers, and must file amendments to the ODD if the information becomes materially inaccurate or incomplete. In addition, Rule 9b-1 requires a broker-dealer to furnish to each customer, and keep current, an ODD, prior to accepting an order to purchase or sell an option on behalf of that customer.

The latest form for Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document expires 2021-05-31 and can be found here.

OMB Details

Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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