Regulators Approve Nasdaq's 'Alpha' Options Plan
February 09 2011 - 9:06AM
Dow Jones News
Nasdaq OMX Group (NDAQ) has a green light from regulators to
list a new type of derivative that lets investors bet on the
performance of popular stocks like Apple Inc. (APPL) or Citigroup
Inc. (C) versus the broader market.
The exchange got the nod to list and start trading options on
the so-called "Alpha Indexes," a Securities and Exchange Commission
filing late Tuesday shows. The indexes, co-created by the designer
of the first VIX "fear gauge," track popular stocks' performance
versus a broader market benchmark. By listing options, Nasdaq hopes
to let investors generate returns even when markets are down, with
options that profit when Apple or Citigroup outperforms even a
plunging stock market.
"In stock options, you're actually making two bets. You're
betting that Apple will rise relative to the market, and also that
the market will go up," VIX designer Robert Whaley, now a professor
at Vanderbilt University's Owen Graduate School of Management, told
Dow Jones Newswires at the indexes' October unveiling. "With these,
you're getting a more precise investment in something you have some
knowledge about."
The first batch of what are generically called "relative
performance options" compare Apple, the SPDR Gold Trust (GLD), the
iShares MSCI Emerging Markets Index Fund (EEM), and the iShares
Barclays 20+ Year Treasury Bond Fund (TLT) to the SPDR S&P 500
exchange-traded fund (SPY). Also in the first group is an index
that compares Citigroup versus the Financial Select Sector SPDR
Fund (XLF).
The values of the indexes, when launched in October, were set at
100. The better or worse the stock performs versus the benchmark,
the higher or lower goes the index.
Nasdaq hasn't announced a launch date for the options, though it
said in October it planned to commence trading in early 2011 on its
PHLX exchange in Philadelphia.
The severe stock-market gyrations of the financial crisis and
last year's "flash crash" spurred greater interest in vehicles to
track stock-market volatility and "trade" it. Correlation also rose
in those periods, prompting Wall Street's efforts to list ever more
complex volatility products on exchanges.
The options are slated to be cash-settled and European-style,
meaning no physical shares change hands and closing transactions
are handled on the date of expiry, according to the SEC filing.
Nasdaq officials were not immediately available to comment.
-By Brendan Conway, Dow Jones Newswires; (212) 416-2670;
brendan.conway@dowjones.com