EFTA Document EFTA01393143

CHAPTER XI SCOPE AND LIMITATIONS OF THIS BOOKLET Readers should be aware of the scope and limita- tions of this booklet set forth below: 1. This booklet has been prepared by the U.S. op- tions markets for distribution pursuant to the require- ments of SEC Rule 9b-1 under the Securities Exchange Act of 1934 and the rules of the U.S. options markets. This booklet is not intended to meet other requirements which mane in effect in any jurisdiction and should not be relied upon for that purpose. Under the applicable SEC regulatory scheme for op- tions. this booklet is not a prospectus. Nothing in this booklet should be construed as furnishing investment advice or as being a recommendation, solicitation or offer to buy or sell any option or any other security. A prospectus of OCC relating to options is available with- out charge upon request addressed to OCC. One Fi- nancial Place, 440 S. LaSalle Street. 24th Floor, Chicago, Illinois 60605. or any of the U.S. options mar- kets. The OCC registration statement relating to op- tions, which includes the OCC prospectus and the financial statements of OCC, is available for inspection at the offices of OCC, and copies may be obtained from the SEC, Room 1024. 450 5th Street. N.W., Wash- ington. D.C. 20549. upon payment of the fees pre- scribed by the SEC. Additional information concerning OCC—but not the options markets—is in- cluded in the OCC prospectus and registration statement. 2. Only the U.S. options markets on which an option is authorized to be traded are responsible for the state- ments in this booklet concerning that option. 3. The options markets do not intend this booklet to be incorporated by reference into the OCC prospectus or into any other publication that may be prepared or distributed by OCC. an options market or any other person (other than a document that has been specifi- cally designated to be a supplement to this booklet and that has been filed with the SEC pursuant to Rule 9b-1). The fact that another document states that this 89 CONFIDENTIAL - PURSUANT TaffiESEIMOV0S6574 P. 6(e) CONFIDENTIAL SDNY_GM_00244758 EFTA01393143