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Index arbitrage

Trading index futures against a basket of the underlying stocks when the futures price strays from its fair value.

An index future should trade at the index level plus financing minus expected dividends. When it trades meaningfully above that futures-fair-value, arbitrageurs sell futures and buy the basket; when it trades below, they buy futures and short the basket. The activity drags the two back together.

This linkage is why index futures lead the cash market: they are cheaper and faster to trade, so new information arrives there first and is transmitted to stocks by the arbitrage. It also concentrates enormous activity into the special-opening-quotation on expiry mornings.

Modern index arb is a latency game run by a handful of firms, and the profitable gap is measured in fractions of a point. Retail traders will never capture it, but they should understand it, because it explains why the fair-value gap at the open is not a trading signal.

Example: S&P cash 5,000, 90 days to expiry, financing 5.2%, expected dividends 0.4% of index. Fair value = 5,000 x (1 + (0.052 - 0.016) x 90/360) = 5,045. If the future trades 5,053, eight points are available before costs, worth $400 per es contract.

Related: futures-fair-value, es, special-opening-quotation, quadruple-witching, equity-index-futures

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