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American Stock Exchange LLC_ Et Al Final Judgment

VIEWS: 30 PAGES: 12

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									2009-11-27

IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA __________________________________ ) ) UNITED STATES OF AMERICA, ) ) Plaintiff, ) ) v. ) ) ) Civ.No.00-CV-02174(EGS) AMERICAN STOCK EXCHANGE, ) LLC; CHICAGO BOARD OPTIONS ) EXCHANGE, INCORPORATED; ) PACIFIC EXCHANGE, INC.; and ) PHILADELPHIA STOCK EXCHANGE, ) INC., ) Defendants. ) ___________________________________)

FINAL JUDGMENT Plaintiff, United States of America, filed its complaint on September 11, 2000. Plaintiff and defendants, by their respective attorneys, have consented to the entry of this Final Judgment without trial or adjudication of any issue of fact or law. This Final Judgment shall not be evidence against or an admission by any party of any issue of fact or law. Therefore, before the taking of any testimony, without trial or adjudication of any issue of fact or law herein and upon consent of the parties hereto, it is hereby ORDERED, ADJUDGED AND DECREED that:

SOURCED: WWW.BACKGROUNDNOW.COM Page 1 of 12 www.BackgroundNow.com provides background checks to businesses; publishes fraud, corruption, and other criminal and civil case news; and distr butes case complaints, indictments, plea agreements and other court documents to analysts, bloggers, journalists, reporters and interested readers. Always keep in mind that indictments, complaints or informations are not evidence of guilt. These are descriptions of accusations made against defendants. Those accused are presumed innocent until guilt beyond a reasonable doubt is proven or until guilt is admitted or plead.

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I. JURISDICTION This Court has jurisdiction over the subject matter of and the parties to this action. The complaint states a claim upon which relief may be granted under Section l of the Sherman Act, 15 U.S.C. § 1. Venue is proper in the District Court for the District of Columbia. II. DEFINITIONS As used in this Final Judgment: 1. 2. 3. "Any" means one or more. "Ask" means the quoted price at which a person offers to sell an option. “Authorized by SEC personnel” means (a) conduct that has been explicitly

described to the SEC in writing, and about which the SEC has stated, in a writing signed by a person at the Director level or higher, that it has no objection to such conduct or otherwise approves it; or (b) conduct the SEC has expressly requested be undertaken in a writing signed by a person at the Director level or higher. 4. 5. "Bid" means the quoted price at which a person offers to buy an option. “Equity option” means an option on the shares of a single underlying corporate

entity, and does not include an option on an index of securities or options on shares of exchangetraded funds, such as index fund shares, Unit Investment Trust shares or Portfolio Depositary Receipts. 6. “Exchange” means any exchange in the United States that is registered under

SOURCED: WWW.BACKGROUNDNOW.COM Page 2 of 12 www.BackgroundNow.com provides background checks to businesses; publishes fraud, corruption, and other criminal and civil case news; and distr butes case complaints, indictments, plea agreements and other court documents to analysts, bloggers, journalists, reporters and interested readers. Always keep in mind that indictments, complaints or informations are not evidence of guilt. These are descriptions of accusations made against defendants. Those accused are presumed innocent until guilt beyond a reasonable doubt is proven or until guilt is admitted or plead.

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Section 6 of the Securities Exchange Act, and that provides (or begins to provide at any time

2009-11-27

during the term of this Final Judgment or has submitted an application to the SEC for authority to begin to provide) a venue (including an electronic venue)for buying and selling options issued by the OCC. 7. “List” means to certify to the OCC that an option contract, option class or option

series meets applicable standards for the purpose of buying or selling an option contract, class or series. 8. “Market maker” means a pe
								
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