RIC-2010-97
| [ August 17, 2010 ] |
| Change to Price Improvement Mechanism (PIM) |
|
RIC-2010-96
| [ August 10, 2010 ] |
| Rule Change Notice - Proposed Change to FINRA Arbitration Rules |
|
RIC-2010-95
| [ July 28, 2010 ] |
| Bluesheet Specifications New Exchange Codes |
|
RIC-2010-94
| [ July 21, 2010 ] |
| Position Exercise Limit Decrease for the ISE Bio Pharmaceuticals Index |
|
RIC 2010-93
| [ July 20, 2010 ] |
| Options Penny Pilot Expansion |
|
RIC-2010-92
| [ July 8, 2010 ] |
| Global X Brazil Consumer BRAQ |
|
RIC-2010-91
| [ July 7, 2010 ] |
| UBS E - Tracs Leveraged Alerian MLP MLPL |
|
RIC-2010-90
| [ July 7, 2010 ] |
| Emerging Global INDXX India Small Cap SCIN |
|
RIC-2010-89
| [ July 6, 2010 ] |
| Options Penny Pilot Replacements |
|
RIC-2010-88
| [ July 2, 2010 ] |
| MITTS Linked to DJIA DFF |
|
RIC-2010-87
| [ July 2, 2010 ] |
| SPX Accelerated Notes SNK 2 |
|
RIC-2010-86
| [ June 29, 2010 ] |
| PowerShares 3x 25+ Year Treasury ETNs |
|
RIC-2010-85
| [ June 22, 2010 ] |
| Global X Brazil Mid Cap BRAZ |
|
RIC-2010-84
| [ June 21, 2010 ] |
| Bid Ask Differentials for NDX and RUT Options |
|
RIC-2010-83
| [ June 18, 2010 ] |
| Bid Ask Differentials in Certain Securities |
|
RIC-2010-82
| [ June 14, 2010 ] |
| Claymore Shipping ETF SEA |
|
RIC-2010-81
| [ June 10, 2010 ] |
| Teucrium Corn Fund CORN |
|
RIC-2010-80
| [ June 8, 2010 ] |
| SPX Accelerated Notes ADJ |
|
RIC-2010-79
| [ June 7, 2010 ] |
| Claymore BulletShares Funds Multi |
|
RIC-2010-78
| [ June 4, 2010 ] |
| BofA MITTS Linked to DJIA MSC |
|
RIC-2010-77
| [ June 4, 2010 ] |
| BofA Capped Linked to SP500 CGQ |
|
RIC-2010-76
| [ June 4, 2010 ] |
| United States Brent Oil Fund BNO |
|
RIC-2010-75
| [ June 4, 2010 ] |
| Rule Change Notice - Proposed Change to FINRA Arbitration Rules |
|
RIC-2010-75
| [ June 4, 2010 ] |
| PowerShares Intl Corp Bond Portfolio PICB |
|
RIC-2010-74
| [ May 28, 2010 ] |
| iShares MSCI Poland Fund EPOL |
|
RIC-2010-73
| [ May 20, 2010 ] |
| SPDR Capital Intl Corp Bond ETF IBND |
|
RIC-2010-72
| [ May 19, 2010 ] |
| IQ Taiwan Small Cap TWON |
|
RIC-2010-71
| [ May 19, 2010 ] |
| ESG North America Sustainability ETF NASI |
|
RIC-2010-70
| [ May 14, 2010 ] |
| SPDR Build America Bond ETF BABS |
|
RIC-2010-69
| [ May 11, 2010 ] |
| One Fund ETF ONEF |
|
RIC-2010-68
| [ May 7, 2010 ] |
| iShares MSCI Country Funds EIDO EIRL EUSA |
|
RIC-2010-67
| [ May 6, 2010 ] |
| BofA SPX Leveraged Notes CVF |
|
RIC-2010-66
| [ May 6, 2010 ] |
| BofA MITTS Linked to DJIA MHW |
|
RIC-2010-65
| [ May 6, 2010 ] |
| BofA STARS Linked to SP500 SMY |
|
RIC-2010-64
| [ April 29, 2010 ] |
| ProShares Ultra Shorts Multi |
|
RIC-2010-63
| [ April 26, 2010 ] |
| Modification to Options Regulatory Fee |
|
RIC-2010-62
| [ April 26, 2010 ] |
| ProShares Ultra Short KBW Banking ETFs KRS KRU |
|
RIC-2010-61
| [ April 21, 2010 ] |
| Options - Penny Pilot Expansion |
|
RIC-2010-60
| [ April 20, 2010 ] |
| Global X Copper Silver Miners ETFs COPX SIL |
|
RIC-2010-59
| [ April 14, 2010 ] |
| Credit Suisse Cushing MLP ETN MLPN |
|
RIC-2010-58
| [ April 14, 2010 ] |
| First Trust ISE Bick Fund BICK |
|
RIC-2010-57
| [ April 14, 2010 ] |
| IQ South Korea Small Cap SKOR |
|
RIC-2010-56
| [ April 9, 2010 ] |
| JETS Contrarian Opp Fund JCO |
|
RIC-2010-55
| [ April 8, 2010 ] |
| ProShares Ultra NDQ Biotech Funds BIB BIS |
|
RIC-2010-54
| [ April 7, 2010 ] |
| PowerShares SP SmallCap Funds Multi |
|
RIC-2010-53
| [ April 7, 2010 ] |
| Market Vectors Latin America Small Cap ETF LATM |
|
RIC-2010-52
| [ April 6, 2010 ] |
| BofA MITTS linked to DJIA SDA |
|
RIC-2010-51
| [ April 6, 2010 ] |
| BofA Leveraged Return Notes SP 500 LDX |
|
RIC-2010-50
| [ April 6, 2010 ] |
| GlobalShares FTSE Funds GSO GSW GSZ |
|
RIC-2010-49
| [ April 1, 2010 ] |
| UBS E-Tracs Alerian MLP Infra MLPI |
|
RIC-2010-48
| [ April 1, 2010 ] |
| Revised RIC on Stopped Orders |
|
RIC-2010-47
| [ March 23, 2010 ] |
| IQ Small Cap Canada Australia Funds CNDA KROO |
|
RIC-2010-46
| [ March 19, 2010 ] |
| Contrary Exercise Advice - extension of cut-off time |
|
RIC-2010-45
| [ March 18, 2010 ] |
| ProShares Short Funds REK SBM YXI |
|
RIC-2010-44
| [ March 17, 2010 ] |
| BofA STARS Linked to SP 500 ADF |
|
RIC-2010-43
| [ March 16, 2010 ] |
| Bid Ask Differentials in Certain Securities |
|
RIC-2010-42
| [ March 12, 2010 ] |
| First Trust ISE Copper Platinum Funds CU PLTM |
|
RIC-2010-41
| [ March 12, 2010 ] |
| Stopped Crossing Orders |
|
RIC-2010-40
| [ March 11, 2010 ] |
| Direxion 2X 3X Bear Bull Funds Multiple |
|
RIC-2010-39
| [ March 11, 2010 ] |
| SPDR SP Russia ETF RBL |
|
RIC-2010-38
| [ March 10, 2010 ] |
| Claymore Wilshire ETFs Multiple |
|
RIC-2010-37
| [ March 4, 2010 ] |
| BofA MITTS Linked to SP 500 SMU |
|
RIC-2010-36
| [ March 4, 2010 ] |
| Accelerated Return Notes SP 500 AMY |
|
RIC-2010-35
| [ March 4, 2010 ] |
| BofA Capped Lev SP 500 LMZ |
|
RIC-2010-34
| [ March 4, 2010 ] |
| BofA Mkt Step Up Notes Linked to SP 500 MQC |
|
RIC-2010-33
| [ February 26, 2010 ] |
| Sprott Gold Trust PHYS |
|
RIC-2010-32
| [ February 25, 2010 ] |
| Emerging Global INDXX Brazil Infra BRXX |
|
RIC-2010-31
| [ February 25, 2010 ] |
| Credit Suisse Long Short ETN CSLS |
|
RIC-2010-30
| [ February 25, 2010 ] |
| Direxion 2-Year Treasury Bear Bull Funds TWOL TWOZ |
|
RIC-2010-29
| [ February 24, 2010 ] |
| Rule Change Notice - Proposed Change to FINRA Arbitration Rules |
|
RIC-2010-28
| [ February 19, 2010 ] |
| PowerShares CEF Income Composite Portfolio |
|
RIC-2010-27
| [ February 18, 2010 ] |
| Market Vectors Egypt Index Exchange-Traded Fund |
|
RIC-2010-26
| [ February 18, 2010 ] |
| Emerging Global Shares INDXX China Infrastructure Index Fund |
|
RIC-2010-25
| [ February 11, 2010 ] |
| GlobalShares FTSE Dev ex-US Fund GSD |
|
RIC-2010-24
| [ February 11, 2010 ] |
| ProShares Ultra Dow Mid Russ Multiple |
|
RIC-2010-23
| [ February 11, 2010 ] |
| ProShares Ultra QQQ SQQQ TQQQ |
|
RIC-2010-22
| [ February 8, 2010 ] |
| BofA STARS Linked to SP 500 SYO |
|
RIC-2010-21
| [ February 5, 2010 ] |
| Accelerated Return Notes Russell 2000 AGR |
|
RIC-2010-20
| [ February 4, 2010 ] |
| BofA MITTS Linked to DJIA SHN |
|
RIC-2010-19
| [ February 4, 2010 ] |
| BofA Mkt Step Up Notes Linked to SP 500 MPD |
|
RIC-2010-18
| [ February 4, 2010 ] |
| BofA Accelerated Ret Notes Linked to SP 500 ALO |
|
RIC-2010-17
| [ February 3, 2010 ] |
| PIMCO Short Term Muni Fund SMMU |
|
RIC-2010-16
| [ January 29, 2010 ] |
| Grail McDonnell Bond Funds GMMB GMTB |
|
RIC-2010-15
| [ January 28, 2010 ] |
| UBS SP Gold Hedged ETN SPGH |
|
RIC-2010-14
| [ January 22, 2010 ] |
| iShares MSCI Narrow Funds Multiple |
|
RIC-2010-13
| [ January 21, 2010 ] |
| ProShares Ultra 7-10 Treasury ETF UST |
|
RIC-2010-12
| [ January 21, 2010 ] |
| ProShares Ultra 20+ Treasury ETF UBT |
|
RIC-2010-11
| [ January 21, 2010 ] |
| Revocation of BRKB spread width exemptions |
|
RIC-2010-10
| [ January 20, 2010 ] |
| Jefferies Wildcatter WCAT |
|
RIC-2010-09
| [ January 20, 2010 ] |
| Options Penny Pilot Expansion update |
|
RIC-2010-08
| [ January 14, 2010 ] |
| Global X China Materials CHIM |
|
RIC-2010-07
| [ January 14, 2010 ] |
| Schwab Emerging Intl Small Cap ETFs SCHC SCHE |
|
RIC-2010-06
| [ January 14, 2010 ] |
| Options Penny Pilot Expansion |
|
RIC-2010-05
| [ January 8, 2010 ] |
| ETFS Platinum Shares (PPLT) |
|
RIC-2010-04
| [ January 8, 2010 ] |
| ETFS Palladium Shares (PALL) |
|
RIC-2010-03
| [ January 8, 2010 ] |
| iShares 20XX SP AMT Free Muni Series (Multiple) |
|
RIC-2010-02
| [ January 5, 2010 ] |
| Required Cutover to the OCC Large Option Positions Report |
|
RIC-2010-01
| [ January 4, 2010 ] |
| Disciplinary Sanctions in 2009 |
|