ISE, GEMX & MRX Regulatory Information Circulars

2017

Date	Title
2/24/2017	ISE-RIC-2017-002 Bid-Ask Spread Differentials for LEAPS
2/24/2017	ISE-Mercury-RIC-2017-002 Bid-Ask Spread Differentials for LEAPS
2/24/2017	ISE Gemini-RIC-2017-002 Bid-Ask Spread Differentials for LEAPS
1/5/2017	ISE-RIC-2017-001 Price Improvement Mechanism
1/5/2017	ISE-Gemini-RIC-2017-001 Price Improvement Mechanism
1/5/2017	ISE Mercury-RIC-2017-001 Price Improvement Mechanism

Date	Title
12/15/2016	ISE-RIC-2016-010 Solicited Order Mechanism Notification Reminder
12/15/2016	ISE-RIC-2016-009 Securities Transactions for Tax Purposes
12/15/2016	ISE-Mercury-RIC-2016-017 Securities Transactions for Tax Purposes
12/15/2016	ISE-Mercury-2016-018 Solicited Order Mechanism Notification Reminder
12/15/2016	ISE-Gemini-RIC-2016-010 Solicited Order Mechanism Notification Reminder
12/15/2016	ISE-Gemini-RIC-2016-009 Securities Transactions for Tax Purposes
12/7/2016	ISE-RIC-2016-008 NasdaqISE Announces Regulations SCI BCDR Testing
12/7/2016	ISE-Mercury-RIC-2016-016 NasdaqISE Announces Regulations SCI BCDR Testing
12/7/2016	ISE-Gemini-RIC-2016-008 NasdaqISE Announces Regulations SCI BCDR Testing
9/30/2016	ISE-RIC-2016-007 Professional Customer
9/30/2016	ISE-Mercury-RIC-2016-015 Professional Customer
9/30/2016	ISE-Gemini-RIC- 2016-007 Professional Customer
9/16/2016	ISE-RIC-2016-006 Modification of Certain EBS Data Elements
9/16/2016	ISE-Mercury-RIC-2016-014 Modification of Certain EBS Data Elements
9/16/2016	ISE-Gemini-RIC-2016-006 Modification of Certain EBS Data Elements
4/19/2016	ISE-Mercury-RIC-2016-013 PMM Participation in Functional and Performance Testing
3/21/2016	ISE-RIC-2016-005 PMM Participation in Functional and Performance Testing
3/21/2016	ISE-RIC-2016-004 Early Exercise Decision Notice
3/21/2016	ISE-Mercury-RIC-2016-012 Early Exercise Decision Notice
3/21/2016	ISE-Gemini-RIC-2016-005 PMM Participation in Functional and Performance Testing
3/21/2016	ISE-Gemini-RIC-2016-004 Early Exercise Decision Notice
2/16/2016	ISE-RIC-2016-003 Solicited Order Mechanism Notification
2/16/2016	ISE-RIC-2016-002 Opening Spreads NYSE Rule 48
2/16/2016	ISE-Mercury-RIC-2016-011 Securities Trader Exam (Series 57)
2/16/2016	ISE-Mercury-RIC-2016-010 Bid Ask Spreads After the Opening
2/16/2016	ISE-Mercury-RIC-2016-009 Solicited Order Mechanism Notification
2/16/2016	ISE-Mercury-RIC-2016-008 Opening Spreads NYSE Rule 48
2/16/2016	ISE-Mercury-RIC-2016-007 Attributable Orders
2/16/2016	ISE-Mercury-RIC-2016-006 Bid Ask Spreads Prior to the Opening Rotation
2/16/2016	ISE-Mercury-RIC-2016-005 Crossing Mechanisms
2/16/2016	ISE-Mercury-RIC-2016-004 Quotation Requirements
2/16/2016	ISE-Mercury-RIC-2016-003 Multiple Market Maker Quotes
2/16/2016	ISE-Mercury-RIC-2016-002 Changes in Member Registration Status
2/16/2016	ISE-Mercury-RIC-2016-001 Clearing Member Give Up
2/16/2016	ISE-Gemini-RIC-2016-003 Solicited Order Mechanism Notification
2/16/2016	ISE-Gemini-RIC-2016-002 Opening Spreads NYSE Rule 48
1/13/2016	ISE-RIC-2016-001 Securities Trader Exam (Series 57)
1/13/2016	ISE-Gemini-RIC-2016-001 Securities Trader Exam (Series 57)

Date	Title
12/28/2015	ISE-RIC-2015-016 Expiring Exercise Declaration
12/28/2015	ISE-Gemini-RIC-2015-018 Expiring Exercise Declaration
12/18/2015	ISE-RIC-2015-015 Post Opening Bid Ask Spread
12/18/2015	ISE-RIC-2015-014 Early Expiring Exercise Declaration Cut Off Time
12/18/2015	ISE-RIC-2015-013 Securities Transactions for Tax Purposes
12/18/2015	ISE-RIC-2015-012 Opening Spreads NYSE Rule 48
12/18/2015	ISE-RIC-2015-011 Solicited Order Notification Reminder
12/18/2015	ISE-Gemini-RIC-2015-017 Post Opening Bid Ask Spread
12/18/2015	ISE-Gemini-RIC-2015-016 Early Expiring Exercise Declaration Cut Off Time
12/18/2015	ISE-Gemini-RIC-2015-015 Securities Transactions for Tax Purposes
12/18/2015	ISE-Gemini-RIC-2015-014 Opening Spreads NYSE Rule 48
12/18/2015	ISE-Gemini-RIC-2015-013 Solicited Order Notification Reminder
12/12/2015	ISE-RIC-2015-010 Trading Principal
12/10/2015	ISE-Gemini-RIC-2015-012 Trading Principal
11/23/2015	ISE-RIC-2015-009 Early Expiring Exercise Declaration Cut Off Time
11/23/2015	ISE-Gemini-RIC-2015-011 Early Expiring Exercise Declaration Cut Off Time
11/17/2015	ISE-RIC-2015-008 Enhanced Bluesheets
11/17/2015	ISE-Gemini-RIC-2015-010 Enhanced Bluesheets
9/30/2015	ISE-RIC-2015-007 Changes to Information Barrier Rules
9/30/2015	ISE-Gemini-RIC-2015-009 Changes to Information Barrier Rules
8/27/2015	ISE-RIC-2015-006 Attributable Orders
8/27/2015	ISE-Gemini-RIC-2015-008 Attributable Orders
6/29/2015	ISE-RIC-2015-005 Early Expiring Exercise Declaration Time
6/29/2015	ISE-Gemini-RIC-2015-007 Early Expiring Exercise Declaration Time
5/19/2015	ISE-Gemini-RIC-2015-006 Overlying Exchange Traded Funds
5/13/2015	ISE-Gemini-RIC-2015-005 Information Barriers Rule Changes
4/1/2015	ISE-Gemini-RIC-2015-004 Notice of Proposed ISE Gemini Rule Change
3/30/2015	ISE-RIC-2015-004 Early Expiring Exercise Declaration Time
3/30/2015	ISE-Gemini-RIC-2015-003 Early Expiring Exercise Declaration Time
3/19/2015	ISE-RIC-2015-003 Information Barriers Rule Changes
2/4/2015	ISE-RIC-2015-001 Opening Spreads NYSE Rule 48
2/4/2015	ISE-Gemini-RIC-2015-001 Opening Spreads NYSE Rule 48

Date	Title
12/19/2014	ISE-RIC-2014-022 Securities Transactions for Tax Purposes
12/19/2014	ISE-RIC-2014-021 Post - Opening Bid - Ask Spread
12/19/2014	ISE-Gemini-RIC-2014-028 Securities Transactions for Tax Purposes
12/19/2014	ISE-GEMINI-RIC-2014-027 Post - Opening Bid - Ask Spread
11/24/2014	ISE-RIC-2014-020 Early Expiring Exercise Declaration Cut Off Time
11/24/2014	ISE-Gemini-RIC-2014-026 Early Expiring Exercise Declaration Cut Off Time
11/4/2014	ISE-RIC-2014-019 Price Improvement Mechanism ISO
11/4/2014	ISE-Gemini-RIC-2014-025 Price Improvement Mechanism ISO
9/12/2014	ISE-RIC-2014-018 Pre Opening Bid Ask Spread
9/12/2014	ISE-Gemini-RIC-2014-024 Pre Opening Bid Ask Spread
8/20/2014	ISE-RIC-2014-017 Bid Ask Differentials Prior to the Opening Rotation
8/20/2014	ISE-GEMINI-RIC-2014-023 Bid Ask Differentials Prior to the Opening Rotation
8/5/2014	ISE-RIC-2014-016 Amendment to ISE and ISE Gemini Rule 803(b)(4)(i)
8/5/2014	ISE-Gemini-RIC-2014-022 Amendment to ISE and ISE Gemini Rule 803(b)(4)(i)
8/1/2014	ISE-RIC-2014-015 Recent US and EU sanctions
8/1/2014	ISE-Gemini-RIC-2014-021 Recent US and EU sanctions
7/8/2014	ISE-RIC-2014-14_ISE-Gemini-RIC-2014-20 Proposed Rule Change Notice - Changes to FINRA Arbitration Rules
7/7/2014	ISE-RIC-2014-013 Crossing Mechanisms
7/7/2014	ISE-Gemini-RIC-2014-019 Crossing Mechanisms
7/3/2014	ISE-RIC-2014-12_ISE-Gemini-RIC-2014-18 Proposed Rule Change Notice - Changes to FINRA Arbitration Rules
6/27/2014	ISE-RIC-2014-11_ISE-Gemini-RIC-2014-17 Early Expiring Exercise Declaration Decision Cut-Off Time on Thursday, July 3, 2014
6/20/2014	ISE-RIC-2014-010 Bid Ask Differentials for 3rd quarter 2014
6/20/2014	ISE-Gemini-RIC-2014-016 Bid Ask Differentials for 3rd quarter 2014
5/29/2014	ISE-RIC-2014-009 Minor Rule Violation Plan
5/29/2014	ISE-Gemini-RIC-2014-015 Minor Rule Violation Plan
5/29/2014	ISE-Gemini-RIC-2014-014 Notice of Proposed ISE Rule Change
5/21/2014	ISE-Gemini-RIC-2014-013 Notice of Proposed ISE Rule Change
5/15/2014	ISE-RIC-2014-008 Proposed Rule Change Notice - CBOE Margin Rules
5/15/2014	ISE-Gemini-RIC-2014-012 Proposed Rule Change Notice - CBOE Margin Rules
4/16/2014	ISE-RIC-2014-007 Priority and Professional Customer Orders
4/16/2014	ISE-Gemini-RIC-2014-011 Priority and Professional Customer Orders
4/14/2014	ISE-RIC-2014-006 EED Procedures
4/14/2014	ISE-Gemini-RIC-2014-010 EED Procedures
4/11/2014	ISE-Gemini-RIC-2014-009 Notice of Proposed ISE Gemini Rule Change
4/7/2014	ISE-RIC-2014-005 Qualified Contingent Cross (QCC) Order Rule Change
4/7/2014	ISE-Gemini-RIC-2014-008 Opening Only Orders
4/7/2014	ISE-Gemini-RIC-2014-007 Qualified Contingent Cross (QCC) Order Rule Change
3/20/2014	ISE-RIC-2014-004 Bid Ask Differentials for 2nd Quarter 2014
3/20/2014	ISE-Gemini-RIC-2014-006 Bid Ask Differentials for 2nd Quarter 2014
3/13/2014	ISE-RIC-2014-003 Opening Only Orders
3/7/2014	ISE-RIC-2014-002 Changes to FINRA Arbitration Rules
3/7/2014	ISE-Gemini-RIC-2014-005 Changes to FINRA Arbitration Rules
2/3/2014	ISE-Gemini-RIC-2014-004 Notice of Proposed ISE Rule Change
2/3/2014	ISE-Gemini-RIC-2014-003 Notice of Proposed ISE Rule Change
2/3/2014	ISE-Gemini-RIC-2014-002 Notice of Proposed ISE Rule Change
1/13/2014	ISE-RIC-2014-001 SPY and EEM Position Limits
1/13/2014	ISE-Gemini-RIC-2014-001 SPY and EEM Position Limits

Date	Title
12/17/2013	ISE-RIC-2013-28_ISE-Gemini-RIC-2013-27 Notice of Proposed ISE Rule Change
12/16/2013	ISE-RIC-2013-27_ISE-Gemini-RIC-2013-26 Bid Ask Differential for 1st quarter 2014
12/16/2013	ISE-RIC-2013-26_ISE-Gemini-RIC-2013-25 Bid Ask Differentials for NDX and PCLN Options
12/16/2013	ISE-RIC-2013-25_ISE-Gemini-RIC-2013-24 Opening Spreads in NYSE Listed Names
12/16/2013	ISE-RIC-2013-24_ISE-Gemini-RIC-2013-23 Security Transactions for Tax Purposes
11/26/2013	ISE-RIC-2013-23_ISE-Gemini-RIC-2013-22 Early EED Cut Off Time
11/25/2013	ISE-RIC-2013-22_ISE-Gemini-RIC-2013-21 Qualified Contingent Cross
11/15/2013	RIC-2013-21 Notice of Filing to List Options on the Nations VolDex Index
11/15/2013	RIC-2013-19 Strike Price Intervals for Short Term Options
11/15/2013	ISE-RIC-2013-20_ISE-Gemini-RIC-2013-19 Enhanced Bluesheets
11/14/2013	RIC-2013-18 Continuing Education for Registered Persons
10/1/2013	RIC-2013-17 Change in FINRA Arbitration Rules
10/1/2013	ISE-RIC-2013-13_ISE-Gemini-RIC-2013-16 Bid Ask Differential Following the Opening in PCLN for 4th Quarter 2013
9/23/2013	RIC-2013-16 Rule Change Notice Changes to FINRA Arbitration Rules
9/18/2013	RIC-2013-12 Bid Ask Differential for 4th Quarter 2013
9/18/2013	ISE-Gemini-RIC-2013-15 Bid Ask Differentials in Certain Securities 4th quarter 2013
8/7/2013	ISE-Gemini-RIC-2013-14 Bid Ask Differentials for NDX and RUT Options
8/7/2013	ISE-Gemini-RIC-2013-13 Bid Ask Differentials in Certain Securities
8/7/2013	ISE-Gemini-RIC-2013-12 Limit Up Limit Down
8/7/2013	ISE-Gemini-RIC-2013-11 Quotation Requirements
8/7/2013	ISE-Gemini-RIC-2013-10 Solicited Notification Reminder
8/7/2013	ISE-Gemini-RIC-2013-09 Mini Options
8/7/2013	ISE-Gemini-RIC-2013-08 Multiple Market Maker Quotes
8/7/2013	ISE-Gemini-RIC-2013-07 Proprietary Trader Exam (Series 56)
8/7/2013	ISE-Gemini-RIC-2013-06 Priority Customer Orders and Professional Orders (FAQ)
8/7/2013	ISE-Gemini-RIC-2013-05 Attributable Orders
8/7/2013	ISE-Gemini-RIC-2013-04 Delta Position Limit Exemption
8/6/2013	ISE-Gemini-RIC-2013-03 Changes in Member Registration Status
8/6/2013	ISE-Gemini-RIC-2013-02 Give-Up Capability
8/6/2013	ISE-Gemini-RIC-2013-01 Penny Pilot
6/21/2013	RIC-2013-011 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
6/17/2013	RIC-2013-10 Bid Ask Differentials in Certain Securities (June 2013)
5/6/2013	RIC-2013-09 Enhanced Electronic Blue Sheet Submissions Update
4/8/2013	RIC-2013-08 Limit Up Limit Down
3/27/2013	RIC-2013-07 Quotation Requirements
3/15/2013	RIC-2013-06 Mini Option Complex Order Ratios
3/13/2013	RIC-2013-05 Bid Ask Differentials in Certain Securities
3/7/2013	RIC-2013-04 Mini Options Minimum Order Quantity
3/7/2013	RIC-2013-03 Response Time Reduction
1/22/2013	RIC-2013-02 Rule change notice - Changes to FINRA Arbitration Rules
1/14/2013	RIC-2013-01 Rule change notice - Proposed Change to CBOE Margin Rules

Date	Title
12/31/2012	RIC-2012-24 Bid Ask Differentials in Certain Securities (Updated)
12/20/2012	RIC-2012-23 Bid Ask Differentials in Certain Securities (December 2012)
12/20/2012	RIC-2012-22 Solicited Notification Reminder
12/20/2012	RIC-2012-21 Bid Ask Differentials for NDX RUT (All 2013)
12/20/2012	RIC-2012-20 Opening Spreads in NYSE Listed Names (All 2013)
12/20/2012	RIC-2012-19 Securities Transactions for Tax Purposes
12/3/2012	RIC-2012-18 Mini Options
11/20/2012	RIC-2012-17 Expiring Exercise Declaration Decision Cut-Off Time on November 23 2012
11/9/2012	RIC-2012-16 Bluesheet Updated Record Layouts
10/15/2012	RIC-2012-15 Elimination of S&P Depository Receipts (SPY) Position and Exercise Limits
9/26/2012	RIC-2012-14 Expose Non Customer Orders
9/20/2012	RIC 2012-13 Bid Ask Differentials in Certain Securities
9/14/2012	RIC-2012-12 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
8/15/2012	RIC-2012-11 Multiple Market Maker Quotes
7/5/2012	RIC-2012-10 Elimination of Second Market
6/15/2012	RIC-2012-09 Bid Ask Differentials in Certain Securities
6/13/2012	RIC-2012-08 Rule Change Notice - Proposed Rule Change Notice to CBOE Margin Rules
4/23/2012	RIC-2012-07 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
4/20/2012	RIC-2012-06 Qualified Contingent Cross - Member Reports
3/16/2012	RIC-2012-05 Bid Ask Differentials in Certain Securities
3/7/2012	RIC-2012-04 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
1/30/2012	RIC-2012-03 Bluesheet Updated Record Layouts
1/25/2012	RIC-2012-02 Rule Change Notice - Proposed Rule Change Notice to CBOE Margin Rules
1/18/2012	RIC-2012-01 Rule Change Notice - Proposed Change to FINRA Arbitration Rules

Date	Title
12/22/2011	RIC-2011-26 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
12/19/2011	RIC-2011-25 Bid Ask Differentials in Certain Securities (Updated)
12/13/2011	RIC-2011-24 Securities Transactions for Tax Purposes
12/13/2011	RIC-2011-23 Bid Ask Differentials in Certain Securities (Updated)
12/13/2011	RIC-2011-22 Bid Ask Differentials for NDX and RUT Options
12/13/2011	RIC-2011-21 Opening Spreads in NYSE Listed Names During Periods of Extremely High Market Volatility
10/24/2011	RIC-2011-20 CMM Appointment Obligations
10/3/2011	RIC-2011-19 Update to RIC 2011-15 New Web CRD Registration Categories and Qualification Exams
9/23/2011	RIC-2011-18 Bid Ask Differentials in Certain Securities Updated (December 2011)
9/16/2011	RIC-2011-17 Bid Ask Differentials in Certain Securities Updated (December 2011)
9/14/2011	RIC-2011-16 Market Maker Quoting Report Availability
8/15/2011	RIC-2011-15 Proprietary Trader Exam (Series 56)
8/11/2011	RIC-2011-14 SP Depository Receipt SPY Position Limit Increase
8/4/2011	RIC-2011-13 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
6/30/2011	RIC-2011-12 SP Depository Receipt Trust SPY Position Limit
6/27/2011	RIC-2011-11 Priority Customer Orders and Professional Orders FAQ
6/17/2011	RIC-2011-10 Bid Ask Differentials in Certain Securities Updated September 2011
6/3/2011	RIC-2011-09 Bid Ask Differentials in Certain Securities (Updated) June 2011
5/19/2011	RIC-2011-08 Bid Ask Differentials in Certain Securities (Updated) June 2011
3/16/2011	RIC-2011-07 Bid Ask Differentials in Certain Securities (Updated)
3/15/2011	RIC-2011-06 Bid Ask Differentials in Certain Securities June 2011
2/25/2011	RIC-2011-05 Qualified Contingent Cross
2/23/2011	RIC-2011-04 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
2/23/2011	RIC-2011-03 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
1/7/2011	RIC-2011-01 Disciplinary Sanctions in 2010

Date	Title
12/14/2010	RIC-2010-107 Securities Transactions for Tax Purposes
12/14/2010	RIC-2010-106 Opening Spreads in NYSE Listed Names All 2011
12/14/2010	RIC-2010-105 Bid-Ask Differentials for NDX RUT (All 2011)
12/14/2010	RIC-2010-104 Bid - Ask Differentials in Certain Securities March 2011
12/1/2010	RIC-2010-103 Professional Customers - Aggregation of Accounts
11/12/2010	RIC-2010-102 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
10/13/2010	RIC-2010-101 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
9/23/2010	RIC-2010-100 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
9/16/2010	RIC-2010-99 Bid Ask Differentials in Certain Securities
9/8/2010	RIC-2010-98 Contrary Exercise Advice - Extension of Submission Cut-Off time
8/17/2010	RIC-2010-97 Change to Price Improvement Mechanism (PIM)
8/10/2010	RIC-2010-96 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
7/28/2010	RIC-2010-95 Bluesheet Specifications New Exchange Codes
7/21/2010	RIC-2010-94 Position Exercise Limit Decrease for the ISE Bio Pharmaceuticals Index
7/20/2010	RIC-2010-93 Options Penny Pilot Expansion
7/8/2010	RIC-2010-92 Global X Brazil Consumer BRAQ
7/7/2010	RIC-2010-91 UBS E - Tracs Leveraged Alerian MLP MLPL
7/7/2010	RIC-2010-90 Emerging Global INDXX India Small Cap SCIN
7/6/2010	RIC-2010-89 Options Penny Pilot Replacements
7/2/2010	RIC-2010-88 MITTS Linked to DJIA DFF
7/2/2010	RIC-2010-87 SPX Accelerated Notes SNK 2
6/29/2010	RIC-2010-86 PowerShares 3x 25+ Year Treasury ETNs
6/22/2010	RIC-2010-85 Global X Brazil Mid Cap BRAZ
6/21/2010	RIC-2010-84 Bid Ask Differentials for NDX and RUT Options
6/18/2010	RIC-2010-83 Bid Ask Differentials in Certain Securities
6/14/2010	RIC-2010-82 Claymore Shipping ETF SEA
6/10/2010	RIC-2010-81 Teucrium Corn Fund CORN
6/8/2010	RIC-2010-80 SPX Accelerated Notes ADJ
6/7/2010	RIC-2010-79 Claymore BulletShares Funds Multi
6/4/2010	RIC-2010-78 BofA MITTS Linked to DJIA MSC
6/4/2010	RIC-2010-77 BofA Capped Linked to SP500 CGQ
6/4/2010	RIC-2010-76 United States Brent Oil Fund BNO
6/4/2010	RIC-2010-75 PowerShares Intl Corp Bond Portfolio PICB
6/4/2010	RIC-2010-75 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
5/28/2010	RIC-2010-74 iShares MSCI Poland Fund EPOL
5/20/2010	RIC-2010-73 SPDR Capital Intl Corp Bond ETF IBND
5/19/2010	RIC-2010-72 IQ Taiwan Small Cap TWON
5/19/2010	RIC-2010-71 ESG North America Sustainability ETF NASI
5/14/2010	RIC-2010-70 SPDR Build America Bond ETF BABS
5/11/2010	RIC-2010-69 One Fund ETF ONEF
5/7/2010	RIC-2010-68 iShares MSCI Country Funds EIDO EIRL EUSA
5/6/2010	RIC-2010-67 BofA SPX Leveraged Notes CVF
5/6/2010	RIC-2010-66 BofA MITTS Linked to DJIA MHW
5/6/2010	RIC-2010-65 BofA STARS Linked to SP500 SMY
4/29/2010	RIC-2010-64 ProShares Ultra Shorts Multi
4/26/2010	RIC-2010-63 Modification to Options Regulatory Fee
4/26/2010	RIC-2010-62 ProShares Ultra Short KBW Banking ETFs KRS KRU
4/21/2010	RIC-2010-61 Options - Penny Pilot Expansion
4/20/2010	RIC-2010-60 Global X Copper Silver Miners ETFs COPX SIL
4/14/2010	RIC-2010-59 Credit Suisse Cushing MLP ETN MLPN
4/14/2010	RIC-2010-58 First Trust ISE Bick Fund BICK
4/14/2010	RIC-2010-57 IQ South Korea Small Cap SKOR
4/9/2010	RIC-2010-56 JETS Contrarian Opp Fund JCO
4/8/2010	RIC-2010-55 ProShares Ultra NDQ Biotech Funds BIB BIS
4/7/2010	RIC-2010-54 PowerShares SP SmallCap Funds Multi
4/7/2010	RIC-2010-53 Market Vectors Latin America Small Cap ETF LATM
4/6/2010	RIC-2010-52 BofA MITTS linked to DJIA SDA
4/6/2010	RIC-2010-51 BofA Leveraged Return Notes SP 500 LDX
4/6/2010	RIC-2010-50 GlobalShares FTSE Funds GSO GSW GSZ
4/1/2010	RIC-2010-49 UBS E-Tracs Alerian MLP Infra MLPI
4/1/2010	RIC-2010-48 Revised RIC on Stopped Orders
3/23/2010	RIC-2010-47 IQ Small Cap Canada Australia Funds CNDA KROO
3/19/2010	RIC-2010-46 Contrary Exercise Advice - extension of cut-off time
3/18/2010	RIC-2010-45 ProShares Short Funds REK SBM YXI
3/17/2010	RIC-2010-44 BofA STARS Linked to SP 500 ADF
3/16/2010	RIC-2010-43 Bid Ask Differentials in Certain Securities
3/12/2010	RIC-2010-42 First Trust ISE Copper Platinum Funds CU PLTM
3/12/2010	RIC-2010-41 Stopped Crossing Orders
3/11/2010	RIC-2010-40 Direxion 2X 3X Bear Bull Funds Multiple
3/11/2010	RIC-2010-39 SPDR SP Russia ETF RBL
3/10/2010	RIC-2010-38 Claymore Wilshire ETFs Multiple
3/4/2010	RIC-2010-37 BofA MITTS Linked to SP 500 SMU
3/4/2010	RIC-2010-36 Accelerated Return Notes SP 500 AMY
3/4/2010	RIC-2010-35 BofA Capped Lev SP 500 LMZ
3/4/2010	RIC-2010-34 BofA Mkt Step Up Notes Linked to SP 500 MQC
2/26/2010	RIC-2010-33 Sprott Gold Trust PHYS
2/25/2010	RIC-2010-32 Emerging Global INDXX Brazil Infra BRXX
2/25/2010	RIC-2010-31 Credit Suisse Long Short ETN CSLS
2/25/2010	RIC-2010-30 Direxion 2-Year Treasury Bear Bull Funds TWOL TWOZ
2/24/2010	RIC-2010-29 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
2/19/2010	RIC-2010-28 PowerShares CEF Income Composite Portfolio
2/18/2010	RIC-2010-27 Market Vectors Egypt Index Exchange-Traded Fund
2/18/2010	RIC-2010-26 Emerging Global Shares INDXX China Infrastructure Index Fund
2/11/2010	RIC-2010-25 GlobalShares FTSE Dev ex-US Fund GSD
2/11/2010	RIC-2010-24 ProShares Ultra Dow Mid Russ Multiple
2/11/2010	RIC-2010-23 ProShares Ultra QQQ SQQQ TQQQ
2/8/2010	RIC-2010-22 BofA STARS Linked to SP 500 SYO
2/5/2010	RIC-2010-21 Accelerated Return Notes Russell 2000 AGR
2/4/2010	RIC-2010-20 BofA MITTS Linked to DJIA SHN
2/4/2010	RIC-2010-19 BofA Mkt Step Up Notes Linked to SP 500 MPD
2/4/2010	RIC-2010-18 BofA Accelerated Ret Notes Linked to SP 500 ALO
2/3/2010	RIC-2010-17 PIMCO Short Term Muni Fund SMMU
1/29/2010	RIC-2010-16 Grail McDonnell Bond Funds GMMB GMTB
1/28/2010	RIC-2010-15 UBS SP Gold Hedged ETN SPGH
1/22/2010	RIC-2010-14 iShares MSCI Narrow Funds Multiple
1/21/2010	RIC-2010-13 ProShares Ultra 7-10 Treasury ETF UST
1/21/2010	RIC-2010-12 ProShares Ultra 20+ Treasury ETF UBT
1/21/2010	RIC-2010-11 Revocation of BRKB spread width exemptions
1/20/2010	RIC-2010-10 Jefferies Wildcatter WCAT
1/20/2010	RIC-2010-09 Options Penny Pilot Expansion update
1/14/2010	RIC-2010-08 Global X China Materials CHIM
1/14/2010	RIC-2010-07 Schwab Emerging Intl Small Cap ETFs SCHC SCHE
1/14/2010	RIC-2010-06 Options Penny Pilot Expansion
1/5/2010	RIC-2010-02 Required Cutover to the OCC Large Option Positions Report
1/4/2010	RIC-2010-01 Disciplinary Sanctions in 2009

Date	Title
12/31/2009	RIC-2009-320 WisdomTree Intl Hedged Equity Fund HEDJ
12/31/2009	RIC-2009-319 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
12/30/2009	RIC-2009-318 STARS linked to SP 500 SJV
12/30/2009	RIC-2009-317 Mkt Linked Step Up Notes linked to SP 500 MMY
12/17/2009	RIC-2009-316 SPDR Barclays Capital Short Term Corporate Bond ETF
12/16/2009	RIC-2009-315 Global X China Energy CHIE
12/16/2009	RIC-2009-314 Options Regulatory Fee
12/15/2009	RIC-2009-313 FaithShares Religion Funds FKL FZB
12/14/2009	RIC-2009-312 Securities Transactions for Tax Purposes
12/14/2009	RIC-2009-311 Opening Spreads in NYSE Listed Names 2010
12/14/2009	RIC-2009-310 Bid Ask Differentials in Certain Securities 1Q 2010
12/14/2009	RIC-2009-309 Bid-Ask Differentials for NDX RUT
12/11/2009	RIC-2009-308 Global X China Financials CHIX
12/11/2009	RIC-2009-307 Schwab US Large Cap Growth SCHG
12/11/2009	RIC-2009-306 Schwab US Large Cap Value SCHV
12/9/2009	RIC-2009-305 GlobalShares FTSE Emerg Mkts GSR
12/9/2009	RIC-2009-304 iShares 10+ Year Govt Credit Bond GLJ
12/9/2009	RIC-2009-303 Global X China Technology CHIB
12/9/2009	RIC-2009-302 Claymore China Technology ETF CQQQ
12/9/2009	RIC-2009-301 iShares 10+ Year Credit Bond CLY
12/9/2009	RIC-2009-300 FaithShares Religion Funds FCV FOC FMV
12/7/2009	RIC-2009-299 STARS linked to SP 500 SFH
12/7/2009	RIC-2009-298 Step Up Notes linked to SP 500 MZW
12/7/2009	RIC-2009-297 Step Up Notes linked to SP 500 BSQ
12/3/2009	RIC-2009-296 Direxion China Bull Bear ETFs CZI CZM
12/3/2009	RIC-2009-295 Direxion Latin America Bull Bear ETFs LBJ LHB
12/3/2009	RIC-2009-294 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
12/2/2009	RIC-2009-293 Accelerated Return Notes Energy Select Index ANI
12/2/2009	RIC-2009-292 MITTS Linked to DJIA MMF
12/1/2009	RIC-2009-291 Global X China Consumer CHIQ
12/1/2009	RIC-2009-290 Global X China Industrials CHII
12/1/2009	RIC-2009-289 PIMCO Interm Muni Bond Fund MUNI
12/1/2009	RIC-2009-289 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
11/25/2009	RIC-2009-288 Market Vectors Poland ETF PLND
11/24/2009	RIC-2009-287 Principal Prot Notes on Gold MOL
11/24/2009	RIC-2009-286 Citi LASERS based on SP 500 IFO
11/23/2009	RIC-2009-285 Citigroup ELKS on BofA EJW
11/23/2009	RIC-2009-284 Citigroup ELKS on Dow Chemical EKB
11/23/2009	RIC-2009-283 Vanguard Corp Govt Bond ETFs Multiple
11/20/2009	RIC-2009-282 iShares SP India Nifty 50 Fund INDY
11/18/2009	RIC-2009-281 US Short Oil Fund UNL
11/18/2009	RIC-2009-280 Barclays Leveraged SP 500 ETNs Multiple
11/17/2009	RIC-2009-279 First Trust Smart Grid Infra ETF GRID
11/17/2009	RIC-2009-278 PIMCO Enhanced Short Mat Fund MINT
11/17/2009	RIC-2009-277 iShares Diversified Alt Trust ALT
11/17/2009	RIC-2009-276 PowerShares Build America ETF BAB
11/17/2009	RIC-2009-275 IQ ARB Merger Arbitrage ETF MNA
11/11/2009	RIC-2009-274 Market Vectors Junior Gold Miners ETF GDXJ
11/4/2009	RIC-2009-273 TXF Large Companies ETF TXF
11/4/2009	RIC-2009-272 Step Up Return Notes SP Link SKN
11/4/2009	RIC-2009-271 Step Up Return Notes Russell Link RIH
11/3/2009	RIC-2009-270 PIMCO 3-7 Year US Treas Fund FIVZ
11/3/2009	RIC-2009-269 Schwab US Broad Market SCHB
11/3/2009	RIC-2009-268 Schwab US Small Cap SCHA
11/3/2009	RIC-2009-267 PIMCO 25+ Year Zero US Treasury Fund ZROZ
11/3/2009	RIC-2009-266 Schwab US Large Cap SCHX
11/3/2009	RIC-2009-265 Schwab International Equity SCHF
11/2/2009	RIC-2009-264 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
10/29/2009	RIC-2009-263 OOK Inc ETF
10/29/2009	RIC-2009-262 UBS E TRACS linked to DJ Comm Index ETN DJCI
10/27/2009	RIC-2009-261 Thom Reut Jefferies CRB Global Ind Metals Fund CRBI
10/27/2009	RIC-2009-260 IQ ARB Global Resources ETF GRES
10/27/2009	RIC-2009-259 IQ CPI Inflation Hedged ETF CPI
10/27/2009	RIC-2009-258 Thom Reut Jefferies CRB Global Agriculture Fund CRBA
10/26/2009	RIC-2009-257 Citigroup ELKS on Wells Farge ESK
10/26/2009	RIC-2009-256 Citigroup ELKS on Schlumberger EVD
10/23/2009	RIC-2009-255 Penny Pilot Expansion
10/19/2009	RIC-2009-254 Claymore AlphaShares China All-Cap YAO
10/6/2009	RIC-2009-253 BofA MITTS Linked to SP 500 MLA
10/5/2009	RIC-2009-252 Equity Clearly Erroneous Trade Review
10/2/2009	RIC-2009-251 Grail Advisors RP Funds RFF RPQ RPX RWG
10/2/2009	RIC-2009-250 iShares MSCI Eastern Europe ESR
10/2/2009	RIC-2009-249 Step Up Return Notes SP Link SKL
10/2/2009	RIC-2009-248 Exclusion of LEAPs from CMM Quoting Requirements
9/25/2009	RIC-2009-247 iShares Russell 200 Growth Ind Fund IWY
9/25/2009	RIC-2009-246 Two Percent Min Coup Notes Based on SP 500 MHC
9/25/2009	RIC-2009-245 iShares Russell 200 Ind Fund IWL
9/25/2009	RIC-2009-244 iShares Russell 200 Value Ind Fund IWX
9/24/2009	RIC-2009-243 Buffer Notes on SP 500 BLN
9/24/2009	RIC-2009-242 Citigroup ELKS on Yahoo! ETD
9/24/2009	RIC-2009-241 Citigroup ELKS on American Express ESB
9/24/2009	RIC-2009-240 SPDR SP VRDO Muni Bond ETF VRD
9/24/2009	RIC-2009-239 US Short Oil Fund DNO
9/21/2009	RIC-2009-238 Reuters Jefferies CRB Global Comm Fund CRBQ
9/18/2009	RIC-2009-237 Bid Ask Differentials in Certain Securities 4Q 2009
9/17/2009	RIC-2009-236 SPDR Wells Fargo Preferred Stock ETF PSK
9/16/2009	RIC-2009-235 Emerging Markets Global DJ Financial Titans EFN
9/16/2009	RIC-2009-234 Dent Tactical ETF DENT
9/11/2009	RIC-2009-233 PIMCO 7-15 Year US Treasury Fund TENZ
9/9/2009	RIC-2009-232 ETFS Gold Trust SGOL
9/8/2009	RIC-2009-231 Qualified Contingent Cross
9/4/2009	RIC-2009-230 PIMCO Broad US TIPS Index Fund
9/4/2009	RIC-2009-229 Bank of America Corp Acclerated Notes Linked to S&P 500
9/4/2009	RIC-2009-228 SEK Capped Leveraged Index Return Notes
9/4/2009	RIC-2009-227 PIMCO 15 Year TIPS Index Fund
9/3/2009	RIC-2009-226 Qualified Contingent Cross
9/2/2009	RIC-2009-225 Professional Customer
9/1/2009	RIC-2009-224 Reduction in JLO Position Limits
8/26/2009	RIC-2009-223 Notes Based on Russell 2000 MJC
8/25/2009	RIC-2009-222 PIMCO 1-5 Year US Tips Fund STPZ
8/25/2009	RIC-2009-221 Citigroup ELKS on General Electric ESM
8/20/2009	RIC-2009-220 ProShares Short 20 Year Treasury ETF TBF
8/20/2009	RIC-2009-219 Distributive Linkage
8/19/2009	RIC-2009-218 Global X FTSE Nordic 30 ETF GEX
INVALID DATE	RIC-2009-217 Market Vectors Vietnam ETF VNM
8/7/2009	RIC-2009-216 Solicited Order Mechanism Notification Reminder
8/6/2009	RIC-2009-215 Leveraged Index Return Notes SP 500 SBA
8/6/2009	RIC-2009-214 Accelerated Return Notes SP 500 SGN
8/6/2009	RIC-2009-213 Strategic Accelerated Redemption Sec SP 500 SPO
8/4/2009	RIC-2009-212 MITTS Linked to the SP 500 Index MKF
7/28/2009	RIC-2009-211 Citigroup Notes Based on Gold MTY
7/28/2009	RIC-2009-210 Citigroup Notes Based on SP 500 MUK
7/24/2009	RIC-2009-209 ETFS Silver Trust SIVR
7/24/2009	RIC-2009-208 Citigroup ELKS on JP Morgan EIF
7/22/2009	RIC-2009-207 Emerg Glob Shs DJ Emerg Markets Titans Comp Ind Fund ETF
7/20/2009	RIC-2009-206 Bid-Ask Differentials for BRK'B
7/17/2009	RIC-2009-205 Quarterly Option Series
7/17/2009	RIC-2009-204 Direxion Real Estate Bull Bear ETFs
7/15/2009	RIC-2009-203 ProShares Credit Suisse 130 30 ETF
7/7/2009	RIC-2009-202 Notes Based on SP MidCap 400 MBF
7/7/2009	RIC-2009-201 Notes Based on Dow-UBS Comm MKZ 2
7/7/2009	RIC-2009-200 Leveraged Index Return Notes SP 500 SVW
7/7/2009	RIC-2009-199 Accelerated Return Notes Russell 2000 RHA
7/7/2009	RIC-2009-198 Accelerated Return Notes SP 500 SAJ
7/7/2009	RIC-2009-197 ProShares UltraShort Russell 3000 ETF TWQ
7/7/2009	RIC-2009-196 ProShares Ultra Russell 3000 ETF UWC
7/7/2009	RIC-2009-195 MacroShares Major Metro Housing Up Down Trusts DMM UMM 2
7/7/2009	RIC-2009-194 JETS Dow Jones Islamic Market International ETF JVS
7/7/2009	RIC-2009-193 First Trust NASDAQ ABA Comm Bank ETF QABA 3
7/7/2009	RIC-2009-192 ALPS Equal Sector Weight ETF EQL
7/1/2009	RIC-2009-191 ProShares UltraPro Short SP 500 ETF
7/1/2009	RIC-2009-190 ProShares UltraPro SP 500 ETF
6/30/2009	RIC-2009-189 Penny Pilot
6/26/2009	RIC-2009-188 ProShares UltraShort MSCI Pacific ex-Japan ETF
6/26/2009	RIC-2009-187 ProShares UltraShort MSCI Europe ETF
6/26/2009	RIC-2009-186 ProShares UltraShort MSCI Brazil ETF
6/26/2009	RIC-2009-185 ProShares UltraShort MSCI Mexico Investable Market ETF
6/26/2009	RIC-2009-184 iShares S&P Emerging Markets Infrastructure Index Fund ETF
6/26/2009	RIC-2009-183 iShares MSCI All Peru Capped Index Fund ETF
6/26/2009	RIC-2009-182 iPath Exchange Traded Notes Linked to the GSCI Total Return Index
6/26/2009	RIC-2009-181 Goldman Sachs Group Inc GS Connect
6/26/2009	RIC-2009-180 Citigroup Funding ELKS linked to The Home Depot Inc
6/23/2009	RIC-2009-179 Professional Customer Orders - FAQ
6/19/2009	RIC-2009-178 Bid Ask Differentials in Certain Securities 3Q
6/12/2009	RIC-2009-177 ProShares
6/12/2009	RIC-2009-176 ProShares Ultra
6/12/2009	RIC-2009-175 ProShares Ultra MSCI
6/12/2009	RIC-2009-174 ProShares Ultra FTSE Xinhua China 25 ETF
6/12/2009	RIC-2009-173 PIMCO
6/12/2009	RIC-2009-172 IQ Hedge
6/12/2009	RIC-2009-171 Eksportfinans
6/12/2009	RIC-2009-170 Eksportfinans Accelerated Return Notes
6/12/2009	RIC-2009-169 Bank of America
6/12/2009	RIC-2009-168 Bank of America Strategic Accelerated Redemption Securities
6/12/2009	RIC-2009-167 Bank of America Leveraged Index Return Notes
6/12/2009	RIC-2009-166 Bank of America Accelerated Return Notes
6/10/2009	RIC-2009-165 Professional Customer Implementation Schedule
6/8/2009	RIC-2009-164 Attributable Orders
6/5/2009	RIC-2009-163 JP Morgan BUFFER Notes
6/5/2009	RIC-2009-162 JP Morgan BUFFER Notes S&P 500 Index
6/5/2009	RIC-2009-160 Emerging Global Shares ETF
6/5/2009	RIC-2009-159 Citigroup Principal Protected Notes
6/5/2009	RIC-2009-158 Citigroup Funding ELKS
6/5/2009	RIC-2009-157 Bank of America MITTS
5/22/2009	RIC-2009-156 Safety First Trust Series
5/22/2009	RIC-2009-155 Market Vectors Brazil Small Cap ETF
5/22/2009	RIC-2009-154 Eksportfinans
5/22/2009	RIC-2009-153 Eksportfinans STARS
5/22/2009	RIC-2009-152 Eksportfinans Linked to MSCI EAFE Index
5/22/2009	RIC-2009-151 BAC Capped Leveraged Index Return Notes
5/8/2009	RIC-2009-150 WisdomTree Dreyfus Emerging Currency Fund
5/8/2009	RIC-2009-149 SPDR KBW Mortgage Finance ETF
5/8/2009	RIC-2009-148 Grail American Beacon Large Cap Value ETF
5/8/2009	RIC-2009-147 Citigroup Principal Protected Notes
5/8/2009	RIC-2009-146 Citigroup Funding ELKS
5/8/2009	RIC-2009-145 Bank of America MITTS
5/8/2009	RIC-2009-144 BAC STARS SPDR Gold Trust
5/6/2009	RIC-2009-161 Emerging Global Shares Metals and Mining
5/6/2009	RIC-2009-142 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
4/22/2009	RIC-2009-141 OSI Compliant Large Options Position Report LOPR
4/22/2009	RIC-2009-140 Amendment to ISE Rule 720 Obvious and Catastophic Errors
4/22/2009	RIC-2009-139 BAC STARS
4/22/2009	RIC-2009-138 Direxion Shares ETF Trust
4/22/2009	RIC-2009-137 Direxion Shares
4/22/2009	RIC-2009-136 Safety First Trust
4/22/2009	RIC-2009-135 SPDR Barclays Capital Convertible Bond ETF
4/9/2009	RIC-2009-134 Vanguard FTSE
4/9/2009	RIC-2009-133 Morgan Stanley Protected Absolute Return
4/9/2009	RIC-2009-132 Morgan Stanley Buffered PLUS
4/9/2009	RIC-2009-131 JP Morgan Alerian MLP Exchange Traded Notes
4/9/2009	RIC-2009-130 IQ Hedge Multi-Strategy Tracker ETF
4/9/2009	RIC-2009-129 Citigroup Minimum Coupon Principal Protected Notes
4/9/2009	RIC-2009-128 Citigroup Funding ELKS
4/9/2009	RIC-2009-127 Bear Market STARS
4/9/2009	RIC-2009-126 Bank of America MITTS
4/8/2009	RIC-2009-125 Position Exercise Limit Index Semi Annual Review
4/8/2009	RIC-2009-124 Rule Change Notice - Proposed Change to FINRA Arbitration Rules
4/6/2009	RIC-2009-143 Bid Ask Differentials in Certain Securities mid 2Q 2009 update
3/27/2009	RIC-2009-123 Swedish Export Credit Corporation ELEMENTS
3/27/2009	RIC-2009-122 SPDR Barclays
3/27/2009	RIC-2009-121 SEK Accelerated Return Notes
3/27/2009	RIC-2009-120 SEK Accelerated Return Bear Notes
3/27/2009	RIC-2009-119 Morgan Stanley Absolute Return Barrier
3/27/2009	RIC-2009-118 Citigroup Minimum Coupon Principal Protected Notes
3/27/2009	RIC-2009-117 BAC STARS Linked to the S&P 500 Index
3/27/2009	RIC-2009-116 BAC Capped Leveraged Index Return Notes
3/27/2009	RIC-2009-115 BAC Bear Market STARS
3/27/2009	RIC-2009-114 BAC Bank of America MITTS
3/24/2009	RIC-2009-112 Penny Pilot
3/20/2009	RIC-2009-111 Bid Ask Differentials in Certain Securities
3/13/2009	RIC-2009-110 Swedish Export Credit Corporation
3/13/2009	RIC-2009-109 Swedish Export Credit Corporation ELEMENTS
3/13/2009	RIC-2009-108 Swedish Export Credit Accelerated Return Notes
3/13/2009	RIC-2009-107 SPDR Barclays Capital
3/13/2009	RIC-2009-106 E TRACS
3/13/2009	RIC-2009-105 Citigroup Buffer Notes
3/5/2009	RIC-2009-104 Order Delivery
2/24/2009	RIC-2009-99 iPath Optimized Currency Carry ETN
2/24/2009	RIC-2009-98 iPath Exchange Rate Exchange Traded Notes
2/24/2009	RIC-2009-97 Goldman Sachs Claymore CEF Index Linked GS Connect ETN
2/24/2009	RIC-2009-96 Global X InterBolsa FTSE Colombia 20 ETF
2/24/2009	RIC-2009-95 Barclays GEMS Index Exchange Traded Notes
2/24/2009	RIC-2009-94 Barclays GEMS Asia 8 ETN
2/24/2009	RIC-2009-93 Barclays Asian and Gulf Currency Revaluation Exchange Traded Notes
2/24/2009	RIC-2009-103 WisdomTree Trust
2/24/2009	RIC-2009-102 SPDR DB International Government Inflation Protected Bond ETF
2/24/2009	RIC-2009-101 PowerShares Exchange Traded Trust II
2/24/2009	RIC-2009-100 Morgan Stanley PLUS S&P 500 Index
2/20/2009	RIC-2009-92 Swedish Export Credit Accelerated Return Notes
2/20/2009	RIC-2009-91 SEK Capped Leverage Index Return Notes
2/20/2009	RIC-2009-90 SEK Capped Leverage Index Return Notes
2/20/2009	RIC-2009-89 PowerShares Emerging Markets Infrastructure Portfolio
2/20/2009	RIC-2009-88 Morgan Stanley Protected Absolute Return Barrier Notes
2/20/2009	RIC-2009-87 Morgan Stanley Index Linked Notes
2/20/2009	RIC-2009-86 Merrill Lynch Strategic Accelerated Redemption Securities
2/20/2009	RIC-2009-85 Merrill Lynch
2/20/2009	RIC-2009-84 Merrill Lynch
2/20/2009	RIC-2009-83 Merrill Lynch Principal Protected Range Notes
2/20/2009	RIC-2009-82 Merrill Lynch Capped Leveraged Index Return Notes
2/20/2009	RIC-2009-81 Merrill Lynch Capped Leveraged Index Return Notes
2/20/2009	RIC-2009-80 Merrill Lynch Accelerated Return Notes
2/20/2009	RIC-2009-79 Merrill Lynch Accelerated Return Bear Market Notes
2/20/2009	RIC-2009-78 Merrill Lynch Accelerated Return Bear Market Notes SBL
2/20/2009	RIC-2009-77 Direxion Shares ETF Trust
2/20/2009	RIC-2009-76 iShares Trust
2/20/2009	RIC-2009-75 Bank of America Corporation STARS
2/20/2009	RIC-2009-74 Barclays iPath VIX Futures ETNs
2/20/2009	RIC-2009-73 AB Svensk Exportkredit Capped Leveraged Index Return Notes
2/20/2009	RIC-2009-72 Bank of America Corporation Accelerated Return Notes
2/20/2009	RIC-2009-71 AB Svensk Exportkredit Accelerated Return Bear Market Notes
2/13/2009	RIC-2009-70 Targeted Income Strategic Total Return Securities
2/13/2009	RIC-2009-69 Swedish Export Credit Accelerated Return Notes Linked to the S&P BRIC 400 Index
2/13/2009	RIC-2009-68 Swedish Export Credit Accelerated Return Notes Linked to the MSCI EAFE Index
2/13/2009	RIC-2009-67 SPDR Series Trust
2/13/2009	RIC-2009-66 SEK Capped Leverage Index Return Notes
2/13/2009	RIC-2009-65 SEK Capped Leverage Index Return Notes based on the MSCI EAFE Index
2/13/2009	RIC-2009-64 Safety First Trust Principal Protected Certificates Dow Jones Industrial
2/13/2009	RIC-2009-63 S&P 500 Market Index Target Term Securities
2/13/2009	RIC-2009-62 S&P 500 Market Index Target Term Securities
2/13/2009	RIC-2009-61 RevenueShares ETF Trust
2/13/2009	RIC-2009-60 Protected Notes Linked to the Performance of the Global Equity Basket
2/13/2009	RIC-2009-59 Protected Notes Linked to the Performance of the Dow Jones Industrial Average
2/13/2009	RIC-2009-58 PowerShares Active U.S. Real Estate Fund
2/13/2009	RIC-2009-57 PLUS Dow Jones EURO STOXX 50
2/13/2009	RIC-2009-56 Notes based upon the value of the Nasdaq 100 Index
2/13/2009	RIC-2009-55 NIKKEI 225 Market Index Target Term Securities
2/13/2009	RIC-2009-54 NIKKEI 225 Market Index Target Term Securities
2/13/2009	RIC-2009-53 Morgan Stanley Market Participation Securities with Minimum Return Protection
2/13/2009	RIC-2009-52 MITTS
2/13/2009	RIC-2009-51 MITTS Securities
2/13/2009	RIC-2009-50 Merrill Lynch Strategic Accelerated Redemption Securities Linked to the Dow Jones Industrial Average
2/13/2009	RIC-2009-49 Merrill Lynch Leveraged Index Return Notes Linked to the NIKKEI 225 Index
2/13/2009	RIC-2009-48 Merrill Lynch Leveraged Index Return Notes Linked to the Dow Jones Industrial Average
2/13/2009	RIC-2009-47 Merrill Lynch Certificates
2/13/2009	RIC-2009-46 Merrill Lynch Callable STRIDES Oracle Corporation common stock
2/13/2009	RIC-2009-45 Merrill Lynch Bear Market Strategic Accelerated Redemption Securities
2/13/2009	RIC-2009-44 Merrill Lynch Accelerated Return Notes Linked to the S&P 500 Index
2/13/2009	RIC-2009-43 Market Vectors Pre Refunded Municipal Index ETF
2/13/2009	RIC-2009-42 Market Vectors Indonesia Index ETF
2/13/2009	RIC-2009-41 Market Vectors High Yield Municipal Index ETF
2/13/2009	RIC-2009-40 HOLDRS TRUSTS
2/13/2009	RIC-2009-39 Claymore NYSE Arca Airline ETF
2/13/2009	RIC-2009-38 Citigroup Funding ELKS Johnson & Johnson
2/13/2009	RIC-2009-37 Citigroup Funding ELKS Halliburton Company
2/13/2009	RIC-2009-36 Citigroup Funding ELKS Barrick Gold Corporation
2/13/2009	RIC-2009-35 Citigroup Buffer Notes Based Upon the S&P 500 Index
2/13/2009	RIC-2009-34 Citigroup Buffer Notes Based Upon the S&P 500 Index BUW
2/13/2009	RIC-2009-33 Citigroup Buffer Notes Based Upon the S&P 500 Index BGI
2/13/2009	RIC-2009-32 Capital Protected Notes
2/13/2009	RIC-2009-31 Bank of America Corporation Bear Market STARS
2/13/2009	RIC-2009-30 Vanguard Total World Stock ETF
2/4/2009	RIC-2009-29 Post-Option Symbology Initiative Bluesheet Submissions
2/2/2009	RIC-2009-28 WisdomTree U.S. Current Income Fund
2/2/2009	RIC-2009-27 WisdomTree LargeCap Growth Fund
2/2/2009	RIC-2009-26 RevenueShares ETF Trust
2/2/2009	RIC-2009-25 ProShares Trust II
2/2/2009	RIC-2009-24 ProShares Trust II Silver & Gold
2/2/2009	RIC-2009-23 PowerShare Exchange Traded Funds
2/2/2009	RIC-2009-22 NETS Tokyo Stock Exchange REIT Index Fund
2/2/2009	RIC-2009-21 Morgan Stanley Market Vectors Euro ETNs
2/2/2009	RIC-2009-20 Morgan Stanley Market Vectors Currency ETNs
2/2/2009	RIC-2009-19 Market Vectors RVE Hard Assets Producers ETF
2/2/2009	RIC-2009-18 iShares GSCI Commodity-Indexed Trust
2/2/2009	RIC-2009-17 iPath Exchange-Traded Notes Linked to Dow Jones-AIG Commodity Indexes
2/2/2009	RIC-2009-16 iPath Exchange Rate Exchange-Traded Notes
2/2/2009	RIC-2009-15 iPath Dow Jones-AIG ETNs
2/2/2009	RIC-2009-14 HSBC USA Inc. ELEMENTS
2/2/2009	RIC-2009-13 GreenHaven Continuous Commodity Index Fund
2/2/2009	RIC-2009-12 E TRACS UBS Bloomberg CMCI Platinum Exchange Traded Notes
2/2/2009	RIC-2009-11 E TRACS UBS Bloomberg CMCI Exchange Traded Notes
2/2/2009	RIC-2009-10 CurrencyShares Russian Ruble Trust
2/2/2009	RIC-2009-09 Claymore Raymond James SB 1 Equity ETF
2/2/2009	RIC-2009-08 BearLinx Alerian MLP Select Index ETN
2/2/2009	RIC-2009-07 ALPS ETF Trust
1/30/2009	RIC-2009-06 Professional Customer Orders
1/16/2009	RIC-2009-05 Complex Orders
1/9/2009	RIC-2009-04 Quoting Obligations Updated
1/7/2009	RIC-2009-03 Direxion Shares ETF Trust
1/7/2009	RIC-2009-02 AirShares EU Carbon Allowances Fund
1/2/2009	RIC-2009-01 Disciplinary Sanctions in 2008

Date	Title
12/28/2007	RIC-2007-30 Bid Ask Differentials in Certain High Priced Securities
12/20/2007	RIC-2007-29 Bid Ask Differentials in Certain High Priced Securities
12/20/2007	RIC-2007-28 Opening Spreads in NYSE Listed Names During Periods of Extremely High Market Volatility
12/20/2007	RIC-2007-27 Securities Transactions for Tax Purposes
12/20/2007	RIC-2007-26 Bid Ask Differentials for NDX and RUT Options
12/11/2007	RIC-2007-25 ProShares
12/7/2007	RIC-2007-24 Linkage Time Reductions
12/7/2007	RIC-2007-23 Elimination of the Linkage Class Gate Restriction
10/3/2007	RIC-2007-22 Rejection of Orders Marked Short Sale Exempt as of the Start of Business on October 5 2007
9/26/2007	RIC-2007-21 Rule Change Notice Elimination of the Russell 2000 Index (RUT) Mini Russell 2000 (RMN) and Mini Nasdaq 100 (MNX) Position and Exercise Limits
9/21/2007	RIC-2007-20 Registered Representatives Reminder
9/18/2007	RIC-2007-19 Bid Ask Differentials for RUT Options
9/18/2007	RIC-2007-18 Bid Ask Differentials for NDX Options
7/19/2007	RIC-2007-17 Rule Change Notice - Proposed Change to NASD Arbitration Rules
7/19/2007	RIC-2007-16 Rule Change Notice - Proposed Change to NASD Arbitration Rules
7/5/2007	RIC-2007-15 Order Delivery
6/26/2007	RIC-2007-14 Registered Representative Fees
6/13/2007	RIC-2007-13 Bid Ask Differentials for RUT Options
6/13/2007	RIC-2007-12 Bid Ask Differentials for NDX Options
5/17/2007	RIC-2007-11 Short Interest Reporting
4/16/2007	RIC-2007-10 Rule Change Notice - Proposed Change to NASD Arbitration Rules
4/12/2007	RIC-2007-09 Supplement to the Options Disclosure Document
4/8/2007	RIC-2007-08 Day ISOs
4/5/2007	RIC-2007-07 Facilitation Mechanism
3/21/2007	RIC-2007-06 Linkage Time Reduction
3/9/2007	RIC-2007-05 Bid-Ask Differential for RUT
3/9/2007	RIC-2007-04 Bid-Ask Differential for NDX
2/9/2007	RIC-2007-03 Accessing Equity Compliance Reports
1/8/2007	RIC-2007-02 Change In BKX Position Limits
1/3/2007	RIC-2007-01 Disciplinary Sanctions in 2006

Date	Title
12/27/2006	RIC-2006-15 Securities Transactions For Tax Purposes
12/15/2006	RIC-2006-14 Rule Change Notice - Proposed Change to NASD Arbitration Rules
12/11/2006	RIC-2006-13 Bid-Ask Differential for NDX
10/9/2006	RIC-2006-12 Second Market
10/9/2006	RIC-2006-11 Automatic Exercise Threshold Change
9/18/2006	RIC-2006-10 Bid-Ask Differential for NDX
9/12/2006	RIC-2006-09 BD Trade Throughs
8/14/2006	RIC-2006-08 Proposed Rule Change Notice - NYSE Margin Rules
7/7/2006	RIC-2006-07 Quarterly Option Series
6/14/2006	RIC-2006-06 Bid-Ask Differential for NDX
5/19/2006	RIC-2006-05 Reduction In Exposure Period
4/10/2006	RIC-2006-04 Proposed Rule Change Notice - CBOE & NYSE Margin Rules
3/14/2006	RIC-2006-03 Bid-Ask Differential for NDX
1/25/2006	RIC-2006-02 Proposed Rule Change Notice - NYSE Margin Rules
1/12/2006	RIC-2006-01 Disciplinary Sanctions in 2005

Date	Title
12/21/2005	RIC-2005-29 Securities Transactions For Tax Purposes
12/14/2005	RIC-2005-28 Bid-Ask Differential for NDX
12/8/2005	RIC-2005-27 Rule Change Notice - Elimination of NDX Position Limits
11/21/2005	RIC-2005-26 Rule Change Notice - CBOE Margin Rules
9/13/2005	RIC-2005-25 Bid-Ask Differential for NDX
9/7/2005	RIC-2005-24 (ISG 2005-01) Blue Sheet Circular
8/31/2005	RIC-2005-23 Rule Change Notice - Proposed Change to NASD Arbitration Rules
8/19/2005	RIC-2005-22 Elimination of LEAPS 1 Dollar Spread Cap
7/18/2005	RIC-2005-21 Position Exercise Limit Index Semi Annual Review
7/15/2005	RIC-2005-20 Rule Change Notice - Proposed Change to NASD Arbitration Rules
7/14/2005	RIC-2005-19 Rule Change Notice - Proposed Change to NASD Arbitration Rules
7/8/2005	RIC-2005-18 Rule Change Notice - Proposed Change to NASD Arbitration Rules
6/30/2005	RIC-2005-17 Rule Change Notice - Proposed Change to NASD Arbitration Rules
6/28/2005	RIC-2005-16 Rule Change Notice - Proposed Change to NASD Arbitration Rules
6/16/2005	RIC-2005-15 Bid-Ask Differentials for NDX Options
6/7/2005	RIC-2005-14 Preferencing
5/18/2005	RIC-2005-13 Rule Change Notice - Proposed Change to NASD Arbitration Rules
5/13/2005	RIC-2005-12 Split Prices
5/5/2005	RIC-2005-11 Rule Change Notice - CBOE & NYSE Margin Rules
5/4/2005	RIC-2005-11 Rule Change Notice - CBOE & NYSE Margin Rules
4/20/2005	RIC-2005-10 Rule Change Notice - CBOE Margin Rules
4/8/2005	RIC-2005-09 Rule Change Notice - CBOE Margin Rules
4/1/2005	RIC-2005-08 Elimination of Electronic Orders Rule
3/30/2005	RIC-2005-07 Bid-Ask Differential for NDX
3/11/2005	RIC-2005-07 Increased Position Limits
2/24/2005	RIC-2005-06 Rule Change Notice - Proposed Change to NASD Arbitration Rules
2/18/2005	RIC-2005-05 Bid-Ask Differential for NDX
2/16/2005	RIC-2005-04 Linkage End-Of-Day Trade Throughs
2/14/2005	RIC-2005-03 Rule Change Notice - Proposed Change to NASD Arbitration Rules
1/10/2005	RIC-2005-02 Rule Change Notice - Proposed Change to NASD Arbitration Rules
1/7/2005	RIC-2005-01 Disciplinary Sanctions in 2004

Date	Title
12/22/2004	RIC-2004-14 Securities Transactions For Tax Purposes
11/8/2004	RIC-2004-13 Solicitation Mechanism
11/8/2004	RIC-2004-12 Information Barriers
9/9/2004	RIC-2004-11 Automatic Exercise Threshold Change
8/27/2004	RIC-2004-10 Electronic Orders
8/18/2004	RIC-2004-09 Liberalization of Multi Legged Orders 3 to 1
8/3/2004	RIC-2004-08 Linkage Satisfaction Order Change
7/28/2004	RIC-2004-07 Bid Ask Spread Program Made Permanent
7/28/2004	RIC-2004-05 Rule Change Notice - Changes to NASD Arbitration Rules
6/23/2004	RIC-2004-06 EOD Linkage Satisfaction Order Size Change
5/24/2004	RIC-2004-04 Rule Change Notice - Changes to NASD Arbitration Rules
3/30/2004	RIC-2004-03 Bid-Ask Spreads - Expansion of Spread Pilot Program
1/14/2004	RIC-2004-01 Disciplinary Sanctions in 2003

Date	Title
12/22/2003	RIC-2003-18 Securities Transaction for Tax Purposes
12/4/2003	RIC-2003-17 Rule Change Regarding Primary Market Maker Obligations
10/20/2003	RIC-2003-16 Primary Market Maker Obligtations
10/13/2003	RIC-2003-15 Contrary Exercise Advice (CEA) - Extension of Cut-Off Time for Customers
8/27/2003	RIC-2003-14 ISE Market Maker Continuous Quotation Obligations
7/14/2003	RIC-2003-13 Exercise by Exception Procedures for Securities Halted Prior to Expiration
7/8/2003	RIC-2003-12 Disciplinary Ramifications of Trading Through the NBBO
6/30/2003	RIC-2003-11 Amendment to Obvious Error Rule
6/10/2003	RIC-2003-10 CEA Cut-off Time Change
5/23/2003	RIC-2003-09 Market Maker Obligations on the Opening
5/15/2003	RIC-2003-08 Bid-Ask Spread Pilot Interpretation
4/30/2003	RIC-2003-07 SSF-Options Combination Orders
4/21/2003	RIC-2003-06 Linkage Obligations
3/31/2003	RIC-2003-05 Bid-Ask Spreads - 5 Dollar Maximum Pilot Program
2/3/2003	RIC-2003-04 Obvious Errors Involving the Combination Order Book
1/27/2003	RIC-2003-03 Termination of Speed Bump-15 second rule
1/22/2003	RIC-2003-02 Termination of Interim Linkage
1/17/2003	RIC-2003-01 One Size

Date	Title
12/27/2002	RIC-2002-22 Market Maker Quoting Obligations
12/13/2002	RIC-2002-21 Securities Transaction for Tax Purposes
11/11/2002	RIC-2002-20 Complex Order Pricing Increments
11/1/2002	RIC-2002-19 Notice of One Size Filing
10/31/2002	RIC-2002-18 Termination of Enhanced Size Pilot
10/17/2002	RIC-2002-17 Complex Order Rule Change
10/4/2002	RIC-2002-15 Rule Change Notice - Changes to NASD Arbitration Rules
9/24/2002	RIC-2002-14 Approval of Change to Facilitation Response Time
7/18/2002	RIC-2002-13 Extension of the Enhanced Size Pilot
7/8/2002	RIC-2002-12 Changes in Member Registration Status
7/8/2002	RIC-2002-10 Handling of Large Market Orders
6/28/2002	RIC-2002-11 Proposed Change to NASD Arbitration Rules
6/18/2002	RIC-2002-09 Proposed Rule Change Notice - CMM Inactivity Fee
6/14/2002	RIC-2002-08 Stock - Option Combination Orders
5/13/2002	RIC-2002-06 PMM Trading Ahead of FARMM Orders
5/2/2002	RIC-2002-07 Proposed Changes to NASD Arbitration Rules
4/25/2002	RIC-2002-05 Increased Quote Size Pilot
4/18/2002	RIC-2002-04 Proposed Rule Change Notice - CMM Inactivity Fee
3/11/2002	RIC-2002-03 Rule Change Notice - Liberalization of Spread Order Rules
1/18/2002	RIC-2002-02 Rule Change Notice - QQQ Position and Exercise Limits
1/17/2002	RIC-2002-01 Rule Change Notice - Changes to NASD Arbitration Rules

Date	Title
12/17/2001	RIC-2001-16 Securities Transactions Effected for Tax Purposes
10/24/2001	RIC-2001-15 Complex Orders
9/20/2001	RIC-2001-14 Locked Markets and Firm Quote Rule Liability
9/10/2001	RIC-2001-13 New Give-Up Capability
8/29/2001	RIC-2001-12 Guidelines for Market Makers Financial Requirements
6/6/2001	RIC-2001-11 Approval of Obvious Error Rule
6/2/2001	RIC-2001-10 Handling of FARMM Orders in the Context of Firm Quote Rule
5/1/2001	RIC-2001-09 Trading Ahead of Block Order Intentions
4/2/2001	RIC-2001-06 Firm Quotes
3/15/2001	RIC-2001-05 Order Frequency Restriction
3/2/2001	RIC-2001-04 Pre-Arranged Trading
3/1/2001	RIC-2001-03 Trade or Fade Policy
1/9/2001	RIC-2001-01 Change to Rule 717

Date	Title
12/26/2000	RIC-2000-14 Change to Rule 810 'Chinese Walls'
12/26/2000	RIC-2000-13 Regulatory Responsibilities & Payment For Order Flow
12/21/2000	RIC-2000-12 Securities Transactions Effected For Tax Purposes
12/14/2000	RIC-2000-11 Crossed or Inverted Markets - Bid - Ask Spread Relief
9/29/2000	RIC-2000-10 Market Maker Quotations Requirements
9/29/2000	RIC-2000-09 Information Letters of Caution
8/28/2000	RIC-2000-08 Spread Requirements for GTW
8/16/2000	RIC-2000-07 Trade or Fade Policy
7/27/2000	RIC-2000-06 Electronic Generation of Orders
7/24/2000	RIC-2000-04 Block Response Interpretation
7/24/2000	RIC-2000-03 Trade Report Procedures FARMM Orders
7/24/2000	RIC-2000-02 Handling of FARMM Orders
7/24/2000	RIC-2000-01 Bid - Ask Spread Differentials
6/13/2000	RIC-2000-13 Contrary Exercise Advice Submission Procedures
6/13/2000	RIC-2000-05 Contrary Exercise Advice Submission Procedures
3/10/2000	PEN-2000-03 Initial Membership Meeting and Board Election
2/29/2000	PEN-2000-02 Amendment to ISE Rules
2/29/2000	PEN-2000-01 Amendments to ISE Rules

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