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

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.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0480.pdf Supplementary Document
3235-0480.pdf Supplementary Document
Supporting Statement _ Rule 9b-1 2024 DGL FINAL REVISED (002).pdf Supporting Statement A
3235-0480 60 Day Notice.pdf Supplementary Document
3235-0480 30 Day Notice.pdf Supplementary Document
Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document
Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document

All Historical Document Collections

202402-3235-001 Approved without change	Extension without change of a currently approved collection	2024-04-12
202101-3235-018 Approved without change	Extension without change of a currently approved collection	2021-05-17
201712-3235-007 Approved without change	Extension without change of a currently approved collection	2018-03-19
201410-3235-007 Approved without change	Extension without change of a currently approved collection	2015-01-15
201111-3235-021 Approved without change	Extension without change of a currently approved collection	2012-01-26
200812-3235-008 Approved without change	Extension without change of a currently approved collection	2009-01-26
200604-3235-010 Approved without change	Extension without change of a currently approved collection	2006-04-06
200303-3235-010 Approved without change	Extension without change of a currently approved collection	2003-03-20
199912-3235-002 Approved without change	Extension without change of a currently approved collection	1999-12-10
199612-3235-018 Approved without change	Existing collection in use without an OMB Control Number	1996-12-23

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight