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Regulatory Bulletins are sorted chronologically starting with the most recent bulletin.

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New Rules Due to Demutualization
2010 Regulatory Bulletins

2010 Rule Adoption Notices (RAN)
Bulletin	Date	Subject
Amex-RAN-10-19	Jul 23	Rule 903 Commentary .06
Amex-RAN-10-18	Jul 23	Amending its Fee Schedule
Amex-RAN-10-17	Jul 23	Extend the Pilot Period to Receive Inbound Routes from Archipelago Securities LLC
Amex-RAN-10-16	Jul 23	Amending its Fee Schedule
RAN-10-41	Jul 23	Adding 75 Options Classes to the Penny Pilot Program
RAN-10-40	Jul 23	Establish Strike Price Intervals and Trading Hours for Options on Index Linked Securities
RAN-10-39	Jul 23	Adopt Commentary .02 to Rule 5.32, Terms of FLEX Options
RAN-10-38	Jun 25	Schedule of Fees and Charges for Exchange Services
RAN-10-37	Jun 25	Schedule of Fees and Charges for Exchange Services
RAN-10-36	Jun 25	Mid-Point Passive Liquidity Order
RAN-10-35	Jun 25	Listing and Trading Options on the ETFS Palladium and ETFS Platinum Trust
RAN-10-34	Jun 25	Multiple Services for NYSE Arca Trades
RAN-10-33	Jun 25	Listing of the Teucrium Corn Field
RAN-10-32	Jun 25	Schedule of Fees and Charges for Exchange Services
RAN-10-31	Jun 25	Equities Rule 8.300
RAN-10-30	Jun 25	Deletion of Rules 6.96 and 14.5
RAN-10-29	May 26	Clarify, Eliminate, Revise or Delete Certain Out-Dated or Obsolete Rules
RAN-10-28	May 26	Technical Adjustment to its Rules to Allow Sub-Penny Quoting of Certain Securities
RAN-10-27	May 26	Amending Market Maker Requirements for Certain Covered Products
RAN-10-26	May 26	Amending Rule 4
RAN-10-25	May 26	Rule 6.4 and to Adopt Rule 6.4A
RAN-10-24	May 26	Obligations of Market Makers & Rule 6.64 OX Trading Auctions
RAN-10-23	May 26	Listing of the One Fund under NYSE Arca Equities Rule 8.600
RAN-10-22	May 26	Amending Rule 6.4 and Commentary .04
RAN-10-21	May 26	Schedule of Fees and Charges for Exchange Services
RAN-10-20	May 26	Schedule of Fees and Charges for Exchange Services
RAN-10-19	May 26	Schedule of Fees and Charges for Exchange Services
RAN-10-18	May 26	Listing of Mars Hill Global Relative Value ETF
Amex-RAN-10-15	Apr 21	New Rule 905NY-Liability of Exchange
Amex-RAN-10-14	Apr 21	Amending Rule 390
Amex-RAN-10-13	Apr 21	Amending Commentary .01 to Rule 968NY
Amex-RAN-10-12	Apr 21	Schedule of Fees and Charges for Exchange Services
Amex-RAN-10-11	Apr 21	Professional Customer
Amex-RAN-10-10	Apr 21	Deletion of rules 993NY and 945
Amex-RAN-10-09	Apr 21	Schedule of Fees and Charges for Exchange Services (Market Maker Fee Cap)
Amex-RAN-10-08	Apr 21	Schedule of Fees and Charges for Exchange Services
RAN-10-17	Apr 14	Rule 6.4 Series of Options Trading
RAN-10-16	Apr 14	Extension of Pilot Period
RAN-10-15	Apr 14	ProShares Ultra MSCI Mexico Investable Market Fund
RAN-10-14	Apr 14	Rule 6-Cabinet Trades
RAN-10-13	Apr 14	Rule 9.1(f) Sharing in Accounts; Extent Permissible
RAN-10-12	Apr 14	Wilshire 5000 Total Market ETF and Wilshire 4500 Completion ETF
RAN-10-11	Apr 14	Schedule of Fees and Charges for Exchange Services
RAN-10-10	Apr 14	WisdomTree Real Return Fund under Equities Rule 8.600
Amex-RAN-10-07	Feb 22	Amending Rule 960NY Trading Differentials
Amex-RAN-10-06	Feb 22	Adding 75 Options Classes to the Penny Pilot Program
Amex-RAN-10-05	Feb 22	Amending Rule 991 Options Communications
Amex-RAN-10-04	Feb 22	Rule 975NY
Amex-RAN-10-03	Feb 22	Fee Schedule
Amex-RAN-10-02	Feb 22	Amending Commentary .01 to Rule 903G
Amex-RAN-10-01	Feb 22	Amending Commentary .10 to Rule 915 and Commentary .11 to Rule 916
RAN-10-09	Feb 22	Adding 75 Options Classes to the Penny Pilot Program
RAN-10-08	Feb 22	Rule 6.87 Obvious Errors and Catastrophic Errors
RAN-10-07	Feb 22	Rule 9.1
RAN-10-06	Feb 22	Fee Schedule
RAN-10-05	Feb 22	Rule 2.3 Application Procedures
RAN-10-04	Feb 22	Equities Rule 8.600
RAN-10-03	Feb 22	Rule 8.201
RAN-10-02	Feb 22	Rule 5.3 Criteria for Underlying Securities
RAN-10-01	Feb 22	Realtime Reference Prices

2010 Regulatory Bulletins (RB)
Bulletin	Date	Subject
RB-10-108	Sep 9	Vanguard S&P ETFs
RB-10-107	Sep 2	SPX Capped Leveraged Index Return Note
RB-10-106	Sep 2	iShares MSCI New Zealand Investable Market Index Fund
RB-10-105	Sep 1	Barclays ETN+ S&P VEQTOR™ ETN
RB-10-104	Aug 27	NYSE RULE FILING RELATING TO DODD-FRANK IMPACT TO PROXY VOTING REQUIREMENTS
RB-10-103	Aug 25	Alerian MLP ETF
RB-10-102	Aug 25	Market Vectors India Small-Cap Index ETF
RB-10-101	Aug 20	Claymore Wilshire Micro-Cap ETF (WMCR)
RB-10-100	Aug 11	Emerging Global Shares INDXX India Infrastructure Index Fund
RB-10-99	Aug 10	iPath® US Treasury (Eight ETNs)
RB-10-98	Aug 10	United States Commodity Index Fund
RB-10-97	Aug 9	WisdomTree Emerging Markets Local Debt Fund
RB-10-96	Aug 9	Bank of America SPX Capped LIRN, SPX ARN and SPX MITTS
RB-10-95	Aug 4	DODD-FRANK IMPACT TO PROXY VOTING REQUIREMENTS
RB-10-94	Aug 5	Schwab U.S. Tips, Short-Term U.S. Treasury and Intermediate-Term U.S. Treasury ETFs
RB-10-93	Jul 29	Global X Brazil Financials ETF
RB-10-92	Jul 23	Market Vectors Emerging Markets Local Currency Bond ETF
RB-10-91	Jul 23	Global X Lithium ETF
RB-10-90	Jul 21	WCM/BNY Mellon Focused Growth ADR ETF
RB-10-89	Jul 19	Barclays ETN+ Inverse S&P 500® VIX Short-Term FuturesTM ETN
RB-10-88	Jul 16	iShares MSCI ACWI ex US Sector Index Funds ETFs (Nine Funds)
RB-10-87	Jul 14	Direxion Shares ETF Trust
RB-10-86	Jul 14	UBS AG Exchange Traded Access Securities (E-TRACS) Linked to the Alerian Natural Gas MLP Index due July 9, 2040
RB-10-85	Jul 9	Mars Hill Global Relative Value ETF
RB-10-84	Jul 8	Global X Brazil Consumer ETF
RB-10-83	Jul 7	Emerging Global Shares INDXX India Small Cap Fund
RB-10-82	Jul 7	UBS AG 2xLeveraged Long Exchange Traded Access Securities (E-TRACS) Linked to the Alerian MLP Infrastructure Index due July 9, 2040
RB-10-81	Jul 2	SPX Capped Leveraged Index Return Notes based on the S&P 500 Index, due June 29, 2012
RB-10-80	Jul 2	Market Index Target Term Securities Linked to the Dow Jones Industrial Average due June 26, 2015
RB-10-79	Jun 29	PowerShares DB 3x Short 25+ Year Treasury Bond Exchange Traded Notes PowerShares DB 3x Long 25+ Year Treasury Bond Exchange Traded Notes
RB-10-78	Jun 22	Global X Brazil Mid Cap ETF
RB-10-77	Jun 11	Claymore Shipping ETF
RB-10-76	Jun 9	Teucrium Corn Fund
RB-10-75	Jun 8	SPX Accelerated Return Note, due July 29, 2011
RB-10-74	Jun 7	Claymore BulletShares 2011 Corporate Bond ETF Claymore BulletShares 2012 Corporate Bond ETF Claymore BulletShares 2013 Corporate Bond ETF Claymore BulletShares 2014 Corporate Bond ETF Claymore BulletShares 2015 Corporate Bond ETF Claymore BulletShares 2016 Corporate Bond ETF Claymore BulletSha
RB-10-73	Jun 4	Market Index Target Term Securities Linked to the Dow Jones Industrial Average due May 29, 2015
RB-10-72	Jun 4	SPX Capped Leveraged Index Return Notes based on the S&P 500 Index, due May 25, 2012
RB-10-71	Jun 3	PowerShares International Corporate Bond Portfolio
RB-10-70	Jun 2	United States Brent Oil Fund, L.P.
RB-10-69	May 25	iShares MSCI Poland Investable Market Index Fund
RB-10-68	May 20	SPDR Barclays Capital International Corporate Bond ETF
RB-10-67	May 19	ESG Shares KLD North America Sustainability Index ETF
RB-10-66	May 19	IQ Taiwan Small Cap ETF
RB-10-65	May 13	SPDR Nuveen Barclays Capital Build America Bond ETF
RB-10-64	May 11	One Fund ETF
RB-10-63	May 7	iShares MSCI Indonesia Investable Market Index Fund iShares MSCI Ireland Capped Investable Market Index Fund iShares MSCI USA Index Fund
RB-10-62	May 6	Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index
RB-10-61	May 6	Bank of America MITTS Linked to the Dow Jones Industrial Average
RB-10-60	May 6	BAC Capped Leveraged Index Return Notes based on the S&P 500 Index
RB-10-59	Apr 29	ProShares Ultra MSCI Brazil ETF ProShares Ultra MSCI Pacific ex-Japan ETF ProShares Ultra MSCI Europe ETF ProShares Ultra MSCI Mexico Investable Market ETF
RB-10-58	Apr 22	ProShares Short KBW Regional Banking ETF
RB-10-57	Apr 22	ProShares Ultra KBW Regional Banking ETF
RB-10-56	Apr 20	Global X Silver Miners ETF Global X Copper Miners ETF
RB-10-55	Apr 14	Credit Suisse Cushing 30 MLP Index ETN
RB-10-54	Apr 14	IQ South Korea Small Cap ETF
RB-10-53	Apr 13	First Trust Exchange-Traded Fund II ETF
RB-10-52	Apr 9	JETS Contrarian Opportunities Index Fund ETF
RB-10-51	Apr 9	ProShares Ultra Nasdaq Biotechnology ETF ProShares UltraShort Nasdaq Biotechnology ETF
RB-10-50	Apr 7	PowerShares S&P SmallCap Materials Portfolio ETF PowerShares S&P SmallCap Energy Portfolio ETF PowerShares S&P SmallCap Financials Portfolio ETF PowerShares S&P SmallCap Industrials Portfolio ETF PowerShares S&P SmallCap Information Technology Portfolio ETF PowerShares S&P SmallCap Consumer Staples
RB-10-49	Apr 7	Market Vectors Latin America Small-Cap ETF
RB-10-48	Apr 5	GlobalShares FTSE All-World Fund ETF GlobalShares FTSE All-World ex US Fund ETF GlobalShares FTSE All-Cap Asia Pacific ex Japan Fund ETF
RB-10-47	Apr 6	Bank of America MITTS Linked to the Dow Jones Industrial Average
RB-10-46	Apr 5	BAC Capped Leveraged Index Return Notes based on the S&P 500 Index
RB-10-45	Apr 1	UBS E-TRACS Alerian MLP Infrastructure Exchange-Traded Notes
RB-10-44	Mar 23	IQ Australia Small Cap ETF IQ Canada Small Cap ETF
RB-10-43	Mar 18	ProShares Short Real Estate ETF ProShares Short Basic Materials ETF ProShares Short FTSE/Xinhua China 25 ETF
RB-10-42	Mar 17	Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index
RB-10-41	Mar 12	First Trust Exchange-Traded Fund ETF-Platinum
RB-10-40	Mar 12	First Trust Exchange-Traded Fund ETF
RB-10-39	Mar 11	SPDR S&P Russia ETF
RB-10-38	Mar 11	Direxion Shares ETF Trust
RB-10-37	Mar 9	Claymore Wilshire 5000 Total Market ETF, Claymore Wilshire 4500 Completion ETF, Claymore Wilshire US REIT ETF
RB-10-36	Mar 4	SEK Accelerated Return Notes Linked to the S&P 500 Index
RB-10-35	Mar 4	BAC Capped Leveraged Index Return Notes based on the S&P 500 Index
RB-10-34	Mar 4	Bank of America MITTS Linked to the S&P 500 Index
RB-10-33	Mar 4	BAC Market-Linked Step Up Notes Linked to the S&P 500 Index
RB-10-32	Feb 26	Sprott Physical Gold Trust
RB-10-31	Feb 25	Direxion Shares ETF Trust
RB-10-30	Feb 24	Emerging Global Shares INDXX Brazil Infrastructure Index Fund ETF
RB-10-29	Feb 22	Credit Suisee Long/Short Liquid Index ETN
RB-10-28	Feb 19	PowerShares CEF Income Composite Portfolio ETF
RB-10-27	Feb 17	Market Vectors Egypt Index ETF
RB-10-26	Feb 17	Emerging Global Shares INDXX China Infrastructure Index Fund ETF
RB-10-25	Feb 11	ProShares UltraPro Short QQQ ProShares UltraPro QQQ
RB-10-24	Feb 11	GlobalShares FTSE Developed Countries ex US Fund ETF
RB-10-23	Feb 11	ProShares UltraPro Dow30 ETFProShares UltraPro Short Dow30 ETF ProShares UltraProMidCap400 ETF ProShares UltraPro Short MidCap400 ETF ProShares UltraPro Russell2000 ETF ProShares UltraPro Short Russell2000 ETF
RB-10-22	Feb 8	Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index
RB-10-21	Feb 5	SEK Accelerated Return Notes Linked to the Russell 2000 Index
RB-10-20	Feb 4	Bank of America MITTS Linked to the Dow Jones Industrial Average
RB-10-19	Feb 4	BAC Market-Linked Step Up Notes Linked to the S&P 500 Index
RB-10-18	Feb 4	Bank of America Accelerated Return Notes Linked to the S&P 500 Index
RB-10-17	Feb 2	PIMCO Short-Term Municipal Bond Strategy Fund ETF
RB-10-16	Jan 29	Grail McDonnell Intermediate Municipal Bond ETF Grail McDonnell Core Taxable Bond ETF
RB-10-15	Jan 28	E-TRACS UBS AG Exchange Traded Access Exchange-Traded Notes
RB-10-14	Jan 22	iShares MSCI Far East Financials Sector Index Fund ETF
RB-10-13	Jan 22	iShares MSCI Europe Financials Sector Index Fund ETF
RB-10-12	Jan 22	iShares MSCI Emerging Markets Materials Index Fund ETF
RB-10-11	Jan 22	iShares MSCI Emerging Markets Financials Sector Index Fund ETF
RB-10-10	Jan 22	iShares MSCI ACWI ex US Financials Sector Index Fund ETF
RB-10-09	Jan 21	ProShares Ultra 20+ Year Treasury ETF
RB-10-08	Jan 21	ProShares Ultra 7-10 Year Treasury ETF
RB-10-07	Jan 20	ALPS Thomson Reuters/Jefferies CRB Wildcatters Exploration & Production Equity ETF
RB-10-06	Jan 14	Global X China Materials ETF
RB-10-05	Jan 14	Schwab International Small-Cap Equity ETF Schwab Emerging Markets Equity ETF
RB-10-04	Jan 12	Submission of FOCUS Reports and Annual Compliance Forms
RB-10-03	Jan 8	iShares S&P AMT-Free Municipal Series ETFs
RB-10-02	Jan 8	ETFS Palladium Trust
RB-10-01	Jan 8	ETFS Platinum Trust

2010 Regulatory Bulletins - Equities (RBE)
Bulletin	Date	Subject
RBE-10-04	May 12	Domain Deletion and Validation
RBE-10-03	Apr 12	General Securities Principal(s) Registration
RBE-10-02	Mar 12	FEE RATE ADVISORY
RBE-10-01	Jan 12	FEE RATE ADVISORY

2010 Regulatory Bulletins - Options (RBO)
Bulletin	Date	Subject
RBO-AMEX-10-22	Sep 1	Contrary Exercise Advise Cut-off Time
RBO-10-16	Sep 1	Contrary Exercise Advise Cut-off Time
RBO-10-15	Jun 10	Financial Requirements of Lead Market Makers
RBO-AMEX-10-21	Jun 7	Floor Broker Responsibilities - Open Outcry Executions
RBO-AMEX-10-20	Jun 1	Electronic Order Entry
RBO-10-14	Jun 1	Electronic Order Entry
RBO-AMEX-10-19	May 28	Opening Quote Width Requirements
RBO-AMEX-10-18	May 26	Options Dixclosure Document - Supplement on Index Linked Securities
RBO-10-13	May 26	Options Disclosure Document - Supplement on Index Linked Securities
RBO-AMEX-10-17	May 25	Systemization Requirements for Tied to Stock and Tied Hedge Orders
RBO-10-12	May 25	Systemization Requirements for Tied to Stock and Tied Hedge Orders
RBO-AMEX-10-16	May 21	Changes to Registration Categories on WebCRD® Termination of TR and TS Registration Categories
RBO-Amex-10-15	May 7	NYSE, NYSE AMEX EQUITIES, AND NYSE AMEX OPTIONS TRADING FLOOR REQUIREMENTS
RBO-10-11	May 5	Opening Quote Width Requirements
RBO-10-10	Apr 23	Qualified Contingent Trades (“QCT”) – Rule 611(d) of REG NMS Exemptions
RBO-AMEX-10-14	Apr 23	Qualified Contingent Trades (“QCT”) – Rule 611(d) of REG NMS Exemptions
RBO-AMEX-10-13	Apr 5	Professional Customer Designation Revised Date for Compliance with Rule Change
RBO-10-09	Apr 5	Joint Account Trading
RBO-AMEX-10-12	Apr 5	Joint Account Trading
RBO-AMEX-10-11	Mar 31	Professional Customer Rule Change
RBO-10-08	Mar 15	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-10-10	Mar 15	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-10-09	Mar 12	FEE RATE ADVISORY
RBO-10-07	Mar 12	FEE RATE ADVISORY
RBO-AMEX-10-08	Feb 25	Cancellations and Adjustments of Trades
RBO-10-06	Feb 8	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-10-07	Jan 25	Revocation of BRK.B Quote Relief
RBO-10-05	Jan 25	Revocation of BRK.B Quote Relief
RBO-AMEX-10-06	Jan 19	Change to Rule 975NY – Obvious and Catastrophic Errors (File No. SR-NYSEAmex-2010-02)
RBO-10-04	Jan 19	Change to Rule 6.87 – Obvious and Catastrophic Errors (File No. SR-NYSEArca-2010-03)
RBO-AMEX-10-05	Jan 15	Financial Regulation Reports - Due Dates and Instructions for the Timely Filing of FOCUS, Net Capital and Equity Computations, ITSFEA and Other Reports
RBO-Amex-10-04	Jan 15	Reminder: Annual Filing of Audited Financial Statements Pursuant to Securities Exchange Act Rule 17a-5
RBO-AMEX-10-03	Jan 12	FEE RATE ADVISORY
RBO-10-03	Jan 12	FEE RATE ADVISORY
RBO-AMEX-10-02	Jan 6	Penny Pilot Program Update
RBO-10-02	Jan 6	Penny Pilot Program Update
RBO-10-01	Jan 5	Required Cutover to the OCC Large Options Positions Report (“LOPR”)
RBO-AMEX-10-01	Jan 5	Required Cutover to the OCC Large Options Positions Report (“LOPR”)

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