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2009 Rule Adoption Notices (RAN)
Bulletin	Date	Subject
Amex-RAN-09-36	Jan 11	Extension of the Pilot Period
Amex-RAN-09-35	Jan 11	Schedule of Fees and Charges for Exchange Services
Amex-RAN-09-34	Jan 11	Commentary to Rule 934.3 NY
Amex-RAN-09-33	Jan 11	Series of Options Trading
Amex-RAN-09-32	Jan 11	Position Limits
Amex-RAN-09-31	Jan 11	Penny Pilot
Amex-RAN-09-30	Jan 11	Schedule of Fees and Charges for Exchange Services
Amex-RAN-09-29	Jan 11	Position Limits
Amex-RAN-09-28	Jan 11	Rule 960NY Trading Differentials
RAN-09-100	Jan 11	Extension of the Pilot Period
RAN-09-99	Jan 11	Rule 7.31 Market to Limit Order
RAN-09-98	Jan 15	Rule 6.1 Applicability, Definitions and References
RAN-09-97	Jan 15	Rule 6.4 Series of Options Open for Trading
RAN-09-96	Jan 15	Equities Rule 8.600
RAN-09-95	Jan 15	Equities Rule 5.2(j)(3)
RAN-09-94	Jan 15	Equities Rule 8.201
RAN-09-93	Jan 15	Equities Rule 8.201
RAN-09-92	Jan 15	Equities Rule 2.100
RAN-09-91	Dec 15	Rule 5.17 and 6.8 Exemptions from Position Limits
RAN-09-90	Dec 15	Schedule of Fees and Charges for Exchange Services
RAN-09-89	Dec 15	Rule 5.19 Terms of Index Option Contracts
RAN-09-88	Dec 15	Schedule of Fees and Charges for Exchange Services
RAN-09-87	Dec 15	Options Rule 6.82 Lead Market Maker
RAN-09-86	Dec 15	Equities Rule 8.600-Managed Fund Shares
RAN-09-85	Nov 24	75 Options Classes Added to the Penny Pilot
RAN-09-84	Nov 24	Rule 6.82(c) Obligations of Lead Market Makers
RAN-09-83	Nov 24	Rule 8.600 Managed Fund Shares
RAN-09-82	Nov 24	Rule 6.72 and Penny Pilot Expansion
RAN-09-81	Nov 24	Rule 7.10 Clearly Erroneous Executions
Amex-RAN-09-27	Nov 16	Rule 476A (Imposition of Fines for Minor Violation(s) of Rules)
Amex-RAN-09-26	Nov 16	Extension of Pilot Program
Amex-RAN-09-25	Nov 16	Commentary .06 to Rule 903 Series of Options for Trading
Amex-RAN-09-24	Nov 16	900.3NY Orders Defined
Amex-RAN-09-23	Nov 16	Schedule of Fees and Charges for Exchange Services
Amex-RAN-09-22	Nov 16	Rule 915 Criteria for Underlying Securities
Amex-RAN-09-21	Nov 16	Revising Rules Governing the Use of Telephones on the Options Trade Floor
RAN-09-80	Oct 23	Penny Pilot Quarterly Expansion
RAN-09-79	Oct 23	Order Exposure Requirements
RAN-09-78	Oct 23	Schedule of Fees and Charges for Exchange Services
RAN-09-77	Oct 23	Extension of Pilot Period
RAN-09-76	Oct 23	Rule 2.17 Activity Assessment Fees
RAN-09-75	Oct 23	Rule 6.4 Series of Options Open for Trading
RAN-09-74	Oct 23	Schedule of Fees and Charges for Exchange Services
RAN-09-73	Oct 23	Risk Management Gateway Service
RAN-09-72	Oct 23	Rule 5.3 Index Linked Securities
RAN-09-71	Oct 23	Equities Rule 8.600 (Managed Fund Shares)
RAN-09-70	Oct 23	Rule 10.12-Minor Rule Plan
RAN-09-69	Oct 23	Schedule of Fees and Charges for Exchange Services
RAN-09-68	Oct 23	9.18 Doing a Public Business in Options
RAN-09-67	Sep 22	Order Exposure Requirements
RAN-09-66	Sep 22	Rule 6.76A Order Execution
RAN-09-65	Sep 22	Rule 6.76A
RAN-09-64	Sep 22	Schedule of Fees and Charges for Exchange Services
RAN-09-63	Sep 22	Order Exposure Requirements
RAN-09-62	Sep 22	Schedule of Fees and Charges for Exchange Services
RAN-09-61	Sep 22	Minor Rule Plan
Amex-RAN-09-20	Sep 18	Schedule of Fees and Charges for Exchange Services
Amex-RAN-09-19	Sep 18	Section 107(H) NYSE Amex Company Guide
Amex-RAN-09-18	Sep 18	Flexible Exchange Options
Amex-RAN-09-17	Sep 18	Rule 903. Series of Options for Trading
Amex-RAN-09-16	Sep 18	Electronic Complex Order Trading
Amex-RAN-09-15	Sep 18	Schedule of Fees and Charges for Exchange Services
Amex-RAN-09-14	Sep 18	Rule 968NY Cabinet Trades
Amex-RAN-09-13	Sep 18	Schedule of Fees and Charges for Exchange Services
Amex-RAN-09-12	Sep 18	Order Protection and Locked/Crossed Market Plan
Amex-RAN-09-11	Sep 19	Order Exposure Requirements
RAN-09-60	Aug 21	NYSE Arca Equities Rule 7.31(oo)
RAN-09-59	Aug 21	One Week Option Series Pilot Program
RAN-09-58	Aug 21	Quarterly Option Series Pilot Program
RAN-09-57	Aug 21	NYSE Arca Equities Rule 7.31(mm) governing the PNP Blind Orders
RAN-09-56	Aug 21	NYSE Arca Equities Rule 5.5(b)(2)
RAN-09-55	Aug 21	NYSE Arca Equities Rule 7.31(x) and 7.31 (kk)
RAN-09-54	Aug 21	Schedule of Fees and Charges to Exchange Services
RAN-09-53	Aug 21	Rule 6.72 Trading Differentials
RAN-09-52	Aug 21	Linkage Fee Pilot Extension
RAN-09-51	Aug 21	NYSE Arca Equities Rule 7.31
RAN-09-50	Aug 21	Rule 6.9 Exercise Limits
RAN-09-49	Aug 21	New Order Types Rule 7.31
RAN-09-48	Aug 21	iShares MSCI All Peru Capped Index Fund
RAN-09-47	Aug 21	ProShares UltraShort MSCI Mexico Investable Market Fund
RAN-09-46	Aug 18	Rule 7.36 Governing Order Ranking and Display
RAN-09-45	Aug 18	Schedule of Fees and Charges for Exchange Services. Ratio Threshold Fee
RAN-09-44	Aug 18	Schedule of Fees for Exchange Services, Jelly Roll
RAN-09-43	Aug 18	Schedule of Fees and Charges for Exchange Services
RAN-09-42	Aug 18	Generic Listing Rules for Currency Trust Shares
RAN-09-41	Aug 18	Equities Rule 5.2(j)(7) Trust Certificates
RAN-09-40	Aug 18	Rule 7.34 Trading Sessions
Amex-RAN-09-10	Jul 16	Extension of Penny Pilot
Amex-RAN-09-09	Jun 16	Linkage Fees
Amex-RAN-09-08	Jul 15	Rule 900.3NY WAIT Order Modifier
Amex-RAN-09-07	Jul 16	Ratio Threshold Fee Schedule
Amex-RAN-09-06	Jul 15	Schedule of Fees and Charges for Exchange Services
RAN-09-39	Jun 18	Minimum Creation and Redemption Size Applicable to the MacroShares Major Metro Housing Trusts
RAN-09-38	Jun 18	Listing and Trading of ETFS Gold Trust
RAN-09-37	Jun 18	Schedule of Fees and Charges for Exchange Services NYSE Arca Marketplace: Trade Related Fees and Credits
RAN-09-36	Jun 18	Order Execution-OX
RAN-09-35	Jun 18	NYSE Arca Marketplace: Trade Related Fees and Credits
RAN-09-34	Jun 18	Temporarily suspends NYSE Arca stock price continued listing standard
RAN-09-33	Jun 18	Relating to Listing and Trading of the ETFS Silver Trust
RAN-09-32	Jun 18	Order Exposure Requirements
RAN-09-31	Jun 18	List and Trade Shares of the Grail American Beacon Large Cap Value ETF
RAN-09-30	May 13	NYSE Arca Equities Rule 5.2(j)(7)
RAN-09-29	May 13	Equities Rule 8.3 Listing of Currency and Index Warrants
RAN-09-28	May 13	Annual Listing Fees
RAN-09-27	May 13	Listing Fees
RAN-09-26	Apr 21	Rule 6.62 WAIT Orders
AMEX-RAN-09-05	Apr 16	Rule 975NY Obvious Errors and Catastrophic Errors
RAN-09-25	Apr 17	Extension of the Pilot Program for NYSE Arca Realtime Reference Prices Service
RAN-09-24	Apr 17	Rule 5.2(j)(7)
Amex-RAN-09-04	Apr 14	DEA Fees
RAN-09-23	Apr 14	SPDR Barclays Capital Convertible Bond ETF
RAN-09-22	Apr 14	Reporting Duties
RAN-09-21	Apr 14	Modification of the leverage factor applicable to the MacroShares Major Metro Housing Trusts
Amex-RAN-09-03	Apr 9	Rule 960NY Trading Differentials
Amex-RAN-09-02	Apr 9	NYSE Amex Company Guide
Amex-RAN-09-01	Apr 9	Rule 936C Deletion
RAN-09-20	Apr 9	Rule 6.72 Trading Differentials
RAN-09-19	Apr 9	Rule 6.47 Crossing Orders-OX
RAN-09-18	Apr 2	Rule 6.62 Certain Types of Orders Defined
RAN-09-17	Apr 2	Establish fees for NYSE Arca Trades
RAN-09-16	Apr 2	Obligations of Market Makers
RAN-09-15	Apr 2	Schedule of Fees and Charges for Exchange Services
RAN-09-14	Apr 2	Series of Options Open for Trading
ALTR-RAN-09-07	Apr 2	Schedule of Fees and Charges for Exchange Services
ALTR-RAN-09-06	Apr 2	Deletion of Old Rules
ALTR-RAN-09-05	Mar 27	$1 Strike Program
ALTR-RAN-09-04	Mar 27	Linkage Fees
ALTR-RAN-09-03	Mar 27	Obligations of Market Makers
ALTR-RAN-09-02	Mar 27	Routing Broker
ALTR-RAN-09-01	Mar 27	Underlying Securities
RAN-09-13	Mar 18	iShares® MSCI All Peru Index Fund
RAN-09-12	Mar 18	Sanctioning Guidelines
RAN-09-11	Mar 18	Rule 5.2(j)(6)
RAN-09-10	Mar 18	Limit of Fees on Options Strategy Executions
RAN-09-09	Mar 18	Obvious Errors
RAN-09-08	Mar 18	Trade Reports
RAN-09-07	Mar 18	Minor Rule Plan
RAN-09-06	Feb 10	Eliminating the $3 market price per share requirement
RAN-09-05	Feb 10	Terms of FLEX Options
RAN-09-04	Feb 10	Introduce a Pilot Program for NYSE Arca Trades
RAN-09-03	Jan 27	Eliminating Obsolete and Unnecessary Rule Text
RAN-09-02	Jan 22	Adding Liquidity Only Order
RAN-09-01	Jan 6	Order Exposure Requirements

2009 Regulatory Bulletins (RB)
Bulletin	Date	Subject
RB-09-205	Dec 31	WisdomTree International Hedged Equity Fund ETF
RB-09-204	Dec 30	BAC Market-Linked Step Up Notes Linked to the S&P 500 Index
RB-09-203	Dec 30	Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index
RB-09-202	Dec 17	SPDR Barclays Capital Short Term Corporate Bond ETF
RB-09-201	Dec 16	Global X China Energy ETF
RB-09-200	Dec 15	FaithShares Trust ETFs
RB-09-199	Dec 11	Schwab U.S. Large-Cap Value ETF
RB-09-198	Dec 11	Schwab U.S. Large-Cap Growth ETF
RB-09-197	Dec 11	Global X China Financials ETF
RB-09-196	Dec 9	FaithShares Trust ETFs
RB-09-195	Dec 9	Global X China Technology ETF
RB-09-194	Dec 9	iShares 10+ Year Government/Credit Bond Fund ETF
RB-09-193	Dec 9	iShares 10+ Year Credit Bond Fund ETF
RB-09-192	Dec 8	Claymore China Technology ETF
RB-09-191	Dec 8	GlobalShares FTSE Emerging Markets Fund ETF
RB-09-190	Dec 7	Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index
RB-09-189	Dec 7	BAC Market-Linked Step Up Notes Linked to the S&P 500 Index
RB-09-188	Dec 7	BAC Market-Linked Step Up Notes Linked to the S&P 500 Index
RB-09-187	Dec 3	Direxion Shares ETF Trust-Latin America
RB-09-186	Dec 3	Direxion Shares ETF Trust-China
RB-09-185	Dec 2	SEK Accelerated Return Notes Linked to the Energy Select Sector Index
RB-09-184	Dec 2	Bank of America MITTS Linked to the Dow Jones Industrial Average
RB-09-183	Dec 1	PIMCO Intermediate Municipal Bond Strategy Fund ETF
RB-09-182	Dec 1	Global X China Industrials ETF
RB-09-181	Dec 1	Global X China Consumer ETF
RB-09-180	Nov 25	Market Vectors Poland ETF
RB-09-179	Nov 24	Citigroup Index Leading Stockmarket Return Securities (Index LASERS) S&P 500 Index
RB-09-178	Nov 24	Citigroup 2% Minimum Coupon Principal Protected Notes based upon the price of Gold
RB-09-177	Nov 23	Citigroup Funding Inc. ELKS linked to Bank of America Corporation
RB-09-176	Nov 23	Citigroup Funding Inc. ELKS linked to Dow Chemical Company
RB-09-175	Nov 23	Vanguard Bond ETFs
RB-09-174	Nov 20	iShares S&P India Nifty 50 Index Fund ETF
RB-09-173	Nov 18	United States 12 Month Natural Gas Fund, L.P.
RB-09-172	Nov 18	Barclays ETN+ Long C Leveraged ETN
RB-09-171	Nov 18	Barclays ETN+ Long B Leveraged ETN
RB-09-170	Nov 18	Barclays ETN+ Short D Leveraged ETN
RB-09-169	Nov 18	Barclays ETN+ Short C Leveraged ETN
RB-09-168	Nov 18	Barclays ETN+ Short B Leveraged ETN
RB-09-167	Nov 17	First Trust Exchange-Traded Fund ETF
RB-09-166	Nov 17	PowerShares Build America Bond Portfolio ETF
RB-09-165	Nov 17	IQ ARB Merger Arbitrage ETF
RB-09-164	Nov 17	PIMCO Enhanced Short Maturity Strategy Fund ETF
RB-09-163	Nov 16	iShares Diversified Alternatives Trust
RB-09-162	Nov 11	Market Vectors Junior Gold Miners ETF
RB-09-161	Nov 4	BAC Market-Linked Step Up Notes Linked to the Russell 2000 Index
RB-09-160	Nov 4	BAC Market-Linked Step Up Notes Linked to the S&P 500 Index
RB-09-159	Nov 4	TXF Large Companies Fund ETF
RB-09-158	Nov 3	Schwab International Equity ETF
RB-09-157	Nov 3	Schwab US Small-Cap ETF
RB-09-156	Nov 3	Schwab US Large-Cap ETF
RB-09-155	Nov 3	Schwab US Broad Market ETF
RB-09-154	Nov 2	PIMCO 25+ Year Zero Coupon U.S. Treasury Index Fund ETF
RB-09-153	Nov 2	PIMCO 3-7 Year U.S. Treasury Index Fund ETF
RB-09-152	Oct 29	E-TRACS UBS AG Exchange Traded Access Exchange-Traded Notes
RB-09-151	Oct 29	OOK, Inc. Index Fund ETF
RB-09-150	Oct 27	IQ CPI Inflation Hedged ETF
RB-09-149	Oct 27	IQ CPI Inflation Hedged ETF
RB-09-148	Oct 27	ALPS Thomson Reuters/Jefferies CRB Global Industrial Metals Equity Index Fund
RB-09-147	Oct 27	ALPS Thomson Reuters/Jefferies CRB Global Agriculture Equity Index Fund
RB-09-146	Sep 26	Citigroup Funding Inc. ELKS linked to Schlumberger Limited
RB-09-145	Oct 26	Citigroup Funding Inc. ELKS linked to Wells Fargo & Company
RB-09-144	Oct 16	Replacement of Underlying Indexes for PowerShares DB Commodity Index Tracking Fund (DBC) and PowerShares DB Agriculture Fund (DBA)
RB-09-143	Oct 6	Bank of America MITTS Linked to the S&P 500 Index
RB-09-142	Oct 2	BAC Step Up Notes Linked to the S&P 500 Index
RB-09-141	Oct 2	iShares MSCI Emerging Markets Eastern Europe Index Fund ETF
RB-09-140	Oct 2	Grail RP Growth ETF Grail RP Focused Large Cap Growth ETF Grail RP Technology ETF Grail Financials ETF
RB-09-139	Sep 25	Citigroup 2% Minimum Coupon Principal Protected Notes S&P 500 Index
RB-09-138	Sep 25	iShares Russell Top 200 Index Fund ETF
RB-09-137	Sep 25	iShares Russell Top 200 Growth Index Fund ETF
RB-09-136	Sep 25	iShares Russell Top 200 Value Index Fund ETF
RB-09-135	Sep 24	SPDR S&P VRDO Municipal Bond ETF
RB-09-134	Sep 24	Citigroup Buffer Notes Based Upon the S&P 500 Index
RB-09-133	Sep 24	Citigroup Funding ELKS linked to Yahoo! Inc
RB-09-132	Sep 24	Citigroup Funding ELKS linked to The American Express Company
RB-09-131	Sep 24	United States Short Oil Fund, L.P.
RB-09-130	Sep 21	ALPS Thomson Reuters/Jefferies CRB Global Commodity Equity Index Fund
RB-09-129	Sep 16	SPDR Wells Fargo Preferred Stock ETF
RB-09-128	Sep 16	Emerging Global Shares Dow Jones Emerging Markets Financials Titans Index Fund ETF
RB-09-127	Sep 16	Dent Tactical ETF
RB-09-126	Sep 11	PIMCO 7-15 Year U.S. Treasury Index Fund ETF
RB-09-125	Sep 9	ETFS Gold Trust
RB-09-124	Sep 4	PIMCO Broad U.S. TIPS Index Fund ETF
RB-09-123	Sep 4	PIMCO 15+ Year U.S. TIPS Index Fund ETF
RB-09-122	Sep 4	SEK Capped Leveraged Index Return Notes based on S&P 500® Index
RB-09-121	Sep 3	Bank of America Accelerated Return Notes Linked to the S&P 500 Index
RB-09-120	Aug 26	Citigroup 3% Minimum Coupon Principal Protected Notes Russell 2000 Index
RB-09-119	Aug 25	Citigroup Funding ELKS linked to The General Electric Company
RB-09-118	Aug 21	PIMCO 1-5 Year U.S. TIPS Index Fund ETF
RB-09-117	Aug 20	ProShares Short 20+ Year Treasury ETF
RB-09-116	Aug 18	Global X FTSE Nordic 30 ETF
RB-09-115	Aug 14	Market Vectors Vietnam ETF
RB-09-114	Aug 6	Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index
RB-09-113	Aug 6	SEK Accelerated Return Notes Linked to the S&P 500 Index
RB-09-112	Aug 6	BAC Leveraged Index Return Notes Linked to the S&P 500 Index
RB-09-111	Aug 3	Bank of America MITTS Linked to the S&P 500 Index
RB-09-110	Jul 28	Citigroup Funding Inc. 3% Minimum Coupon Principal Protected Notes Based Upon the S&P 500 Index
RB-09-109	Jul 28	Citigroup Funding Inc. 3% Minimum Coupon Principal Protected Notes Based Upon the Price of Gold
RB-09-107	Jul 24	ETFS Silver Trust
RB-09-108	Jul 24	Citigroup Funding Inc. ELKS linked to JP Morgan Chase & Co.
RB-09-106	Jul 22	Emerging Global Shares Dow Jones Emerging Markets Titans Composite Index Fund ETF
RB-09-105	Jul 16	Direxion Shares ETF Trust
RB-09-104	Jul 14	ProShares Credit Suisse 130/30 ETF
RB-09-103	Jul 7	ALPS Equal Sector Weight ETF
RB-09-102	Jul 2	First Trust Exchange-Traded Fund ETF
RB-09-101	Jul 2	Eksportfinans Accelerated Return Notes Linked to the Russell 2000 Index
RB-09-100	Jul 2	BAC Leveraged Index Return Notes Linked to the S&P 500 Index
RB-09-99	Jul 2	SEK Accelerated Return Notes Linked to the S&P 500 Index
RB-09-98	Jul 2	ProShares UltraShort Russell 3000 ETF
RB-09-97	Jul 2	ProShares Ultra Russell 3000 ETF
RB-09-96	Jul 1	JETS Dow Jones Islamic Market International Index FundETF
RB-09-95	Jun 30	MacroShares Major Metro Housing Up Trust and MacroShares Major Metro Housing Down Trust
RB-09-94	Jun 25	Citigroup 3% Minimum Coupon Principal Protected Notes Dow Jones-UBS Commodity Index
RB-09-93	Jun 25	ProShares UltraPro Short S&P 500 ETF
RB-09-92	Jun 25	ProShares UltraPro S&P 500 ETF
RB-09-91	Jun 24	Citigroup 3% Minimum Coupon Principal Protected Notes S&P MidCap 400 Index
RB-09-90	Jun 23	Citigroup Funding ELKS linked to The Home Depot Inc.
RB-09-89	Jun 19	iShares MSCI All Peru Capped Index Fund ETF
RB-09-88	Jun 18	iShares S&P Emerging Markets Infrastructure Index Fund ETF
RB-09-87	Jun 18	ProShares UltraShort MSCI Mexico Investable Market ETF
RB-09-86	Jun 18	ProShares UltraShort MSCI Brazil ETF
RB-09-85	Jun 18	ProShares UltraShort MSCI Pacific ex-Japan ETF
RB-09-84	Jun 18	ProShares UltraShort MSCI Europe ETF
RB-09-83	Jun 9	IQ Hedge Macro Tracker ETF
RB-09-82	Jun 4	Eksportfinans Strategic Accelerated Redemption Securities Linked to the MSCI Brazil Index
RB-09-81	Jun 4	Eksportfinans Accelerated Return Notes Linked to the S&P MidCap 400 Index
RB-09-80	Jun 4	Bank of America Strategic Accelerated Redemption Securities Linked to the iShares FTSE/Xinhua 25 Index Fund
RB-09-79	Jun 4	Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index
RB-09-78	Jun 4	Bank of America Accelerated Return Notes Linked to the S&P 500 Index
RB-09-77	Jun 4	Bank of America Leveraged Index Return Notes based on the S&P 500 Index
RB-09-76	Jun 3	ProShares Ultra MSCI Japan ETF
RB-09-75	Jun 3	ProShares Ultra FTSE/Xinhua China 25 ETF
RB-09-74	Jun 3	ProShares Ultra MSCI Emerging Markets ETF
RB-09-73	Jun 3	ProShares Ultra MSCI EAFE ETF
RB-09-72	Jun 1	PIMCO 1-3 Year U.S. Treasury Index Fund ETF
RB-09-71	May 28	Bank of America MITTS Linked to the Dow Jones Industrial Average
RB-09-70	May 22	Citigroup 3% Minimum Coupon Principal Protected Notes based upon the Russell 2000 Index
RB-09-69	May 21	JP Morgan BUFFER Notes linked to the S&P 500 Index
RB-09-68	May 21	Citigroup Funding ELKS linked to McDonald's Corporation
RB-09-67	May 21	Citigroup Funding ELKS linked to Intel Corporation
RB-09-66	May 21	Emerging Global Shares Dow Jones Emerging Markets Energy Titans Index Fund ETF
RB-09-65	May 21	Emerging Global Shares Dow Jones Emerging Markets Metals and Mining Titans Index Fund ETF
RB-09-64	May 14	Eksportfinans Accelerated Return Notes Linked to the MSCI EAFE Index
RB-09-63	May 14	Eksportfinans Strategic Accelerated Redemption Securities STARS Linked to the S&P 500 Index
RB-09-62	May 14	Eksportfinans Accelerated Return Notes Linked to the S&P 500 Index
RB-09-61	May 14	BAC Capped Leveraged Index Return Notes based on the S&P 500 Index
RB-09-60	May 13	Market Vectors Brazil Small-Cap ETF
RB-09-59	May 6	Safety First Trust Series Principal-Protected Trust Certificates Linked to the Dow Jones Industrial Average
RB-09-58	May 5	WisdomTree Dreyfus Emerging Currency Fund ETF
RB-09-57	May 1	Grail American Beacon Large Cap Value ETF
RB-09-56	Apr 30	Bank of America STARS linked to the SPDR Gold Trust
RB-09-55	Apr 29	SPDR KBW Mortgage Finance ETF
RB-09-54	Apr 27	Citigroup 3% Minimum Coupon Principal Protected Notes based upon the S&P 500 Index
RB-09-53	Apr 24	Citigroup Funding 12% ELKS Linked to Celgene Corporation
RB-09-52	Apr 24	Bank of America MITTS Linked to the S&P 500 Index
RB-09-51	Apr 16	SPDR Barclays Capital Convertible Bond ETF
RB-09-50	Apr 16	Direxion Shares ETF Trust-30 Year Treasury
RB-09-49	Apr 16	Direxion Shares ETF Trust
RB-09-48	Apr 13	Safety First Trust Principal-Protected Certificates Linked to the S&P 500 Index
RB-09-47	Apr 6	Bank of America STARS Linked to the S&P 500 Index
RB-09-46	Apr 6	Claymore Capital Markets Bond ETF
RB-09-45	Apr 6	Claymore-U.S.-1 The Capital Markets Index ETF
RB-09-44	Apr 3	Vanguard FTSE All-World ex US Small Cap Index Fund ETF
RB-09-43	Apr 2	JP Morgan Alerian MLP Exchange Traded Notes
RB-09-42	Mar 30	Bank of America Bear Market STARS Linked to the iShares Dow Jones U.S. Real Estate Index Fund
RB-09-41	Mar 27	Bank of America MITTS Linked to the S&P 500 Index
RB-09-40	Mar 26	Morgan Stanley Protected Absolute Return Barrier based upon the S&P 500 Index
RB-09-39	Mar 26	Morgan Stanley Buffered PLUS based upon the S&P 500 Index
RB-09-38	Mar 26	Citigroup 3% Minimum Coupon Principle Protected Notes based upon the Dow-Jones-AIG Commodity Index Excess Return
RB-09-37	Mar 24	Citigroup Funding 11% ELKS linked to Apple Inc.
RB-09-36	Mar 24	IQ Hedge Multi-Strategy Tracker ETF
RB-09-35	Mar 11	SPDR Barclays Capital Long Term Credit Bond ETF
RB-09-34	Mar 5	SEK Accelerated Return Notes Linked to the S&P 500 Index
RB-09-33	Mar 5	BAC STARS Linked to the S&P 500 Index
RB-09-32	Mar 5	BAC Capped Leveraged Index Return Notes based on the S&P 500 Index
RB-09-31	Mar 5	BAC Bear Market STARS Linked to the S&P Small Cap Regional Banks Index
RB-09-30	Mar 5	SEK Accelerated Return Bear Notes Linked to the S&P 500 Index
RB-09-29	Feb 26	Bank of America MITTS Linked to the S&P 500 Index
RB-09-28	Feb 24	Citigroup 3% Minimum Coupon Principal Protected Notes
RB-09-27	Feb 23	Morgan Stanley Absolute Return Barrier S&P 500 Index
RB-09-26	Feb 20	MidCap SPDR Trust
RB-09-25	Feb 20	SPDR Trust
RB-09-24	Feb 10	SPDR Barclays Capital Intermediate Term Credit Bond ETF
RB-09-23	Feb 5	Global X/InterBolsa FTSE Colombia 20 ETF
RB-09-22	Feb 5	Market Vectors-High Yield Municipal Index ETF
RB-09-21	Feb 4	BAC Strategic Accelerated Redemption Securities Linked to the S&P 500 Index
RB-09-20	Feb 4	BAC Bear Market STARS Linked to the iShares® Dow Jones U.S. Real Estate Index Fund
RB-09-19	Feb 4	BAC Accelerated Return Notes Linked to the S&P 500 Index
RB-09-18	Feb 4	SEK Accelerated Return Bear Market Notes Linked to the S&P Retail Select Industry Index
RB-09-17	Feb 4	SEK Capped Leveraged Index Return Notes based on S&P 500 Index
RB-09-16	Feb 3	Market Vectors—Pre-Refunded Municipal Index ETF
RB-09-15	Jan 30	Barclays iPath VIX Futures ETN's
RB-09-14	Jan 27	SPDR Series Trust
RB-09-13	Jan 26	Morgan Stanley: Protected Absolute Return Barrier Notes
RB-09-12	Jan 23	Citigroup Funding ELKS® Johnson & Johnson
RB-09-11	Jan 23	Claymore/NYSE Arca Airline ETF
RB-09-10	Jan 22	RevenueShares ETF Trust
RB-09-09	Jan 22	iShares Trust
RB-09-08	Jan 20	Market Vectors-Indonesia Index ETF
RB-09-07	Jan 15	Submission of FOCUS Reports and Annual Compliance Forms
RB-09-06	Jan 14	SEK Capped Leverage Index Return Notes based on the MSCI EAFE Index
RB-09-05	Jan 14	SEK Capped Leverage Index Return Notes based on S&P 500 Index
RB-09-04	Jan 14	SEK Capped Leverage Index Return Notes, based on the S&P 500 Index
RB-09-03	Jan 14	SEK Capped Leverage Index Return Notes based on the Russell 2000 Index
RB-09-02	Jan 8	RB-09-02 has been rescinded and replaced with RB-09-07
RB-09-01	Jan 7	Direxion Shares ETF Trust

2009 Regulatory Bulletins - Equities (RBE)
Bulletin	Date	Subject
RBE-09-06	Nov 18	Changes to Arbitration Rules
RBE-09-05	Oct 23	Regulatory Guidance on the Handling of Large Orders
RBE-09-04	Oct 19	Section 31-Related Accumulated Funds-Temporary Voluntary Program
RBE 09-03	Sep 29	2010 NYSE Arca Equities Board Representative and ETP Nominating Committee
RBE-09-02	Mar 26	Domain Deletion and Validation
RBE-09-01	Jan 5	Electronic Communications - Record Retention Requirements

2009 Regulatory Bulletins - Options (RBO)
Bulletin	Date	Subject
RBO-AMEX-09-35	Dec 24	Systemization of Orders – Open Out Cry Trading
RBO-09-17	Dec 8	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-09-34	Dec 8	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-09-33	Dec 4	Changes to Registration Categories on WebCRD
RBO-09-16	Nov 17	Changes to Arbitration Rules
RBO-AMEX-09-32	Nov 18	Changes to Arbitration Rules
RBO-AMEX-09-31	Oct 30	Expansion of the Penny Pilot Program
RBO-09-15	Oct 21	Registration Requirements for Market Makers and Market Maker Authorized Traders
RBO-AMEX-09-30	Oct 20	Position and Exercise Limits in new NYSE Arca Mini-Securities Broker/Dealer Index options (JBV) and NYSE Arca Mini-Biotech Index options (BJE)
RBO-AMEX-09-29	Oct 7	Providing Amex with Exercise Advices for Index Options
RBO 09-14	Sep 29	2010 NYSE Arca Board Representative and OTP Nominating Committee
RBO-09-13	Sep 17	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-09-28	Sep 17	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-09-27	Sep 10	Execution of Non-Displayed Orders Types
RBO-09-12	Sep 10	Execution of Non-Displayed Orders Types
RBO-09-11	Aug 13	Elimination of FLEX Options Expiration Date Restriction
RBO-AMEX-09-26	Jul 24	2009 Mandatory Regulatory Training for Options Floor Personnel
RBO-AMEX-09-25	Jul 17	Elimination of FLEX Options Expiration Date Restriction
RBO-AMEX-09-24	Jul 16	Frequently Asked Questions (“FAQs”) Regarding NYSE Amex Options Floor Trading Rules
RBO-09-10	Jul 16	Foreign Currency Options (“FX”) Margin Levels – 3rd Quarter 2009
RBO-09-09	Jul 14	Cancellations and Adjustments of Trades
RBO-AMEX-09-23	Jun 26	New Large Option Positions Report (LOPR) System
RBO-09-08	Jun 26	New Large Option Positions Report (LOPR) System
RBO-AMEX-09-22	Jun 23	Bid/Ask Differentials in Berkshire Hathaway, Inc. (Class B)
RBO-09-07	Jun 23	Bid/Ask Differentials in Berkshire Hathaway, Inc. (Class B)
RBO-AMEX-09-21	Jun 12	Bid/Ask Differentials in Certain High Priced Stocks
RBO-09-06	Jun 12	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-09-20	Jun 6	Position Limits for FLEX Index Options on Stock Industry Index Groups
RBO-AMEX-09-19	Jun 4	Trade Reporting
RBO-AMEX-09-18	May 26	Order Exposure Requirements
RBO-AMEX-09-17	May 21	Bid/Ask Differentials in Certain Issues
RBO-AMEX-09-16	May 20	E-mail Delivery of Contrary Exercise Advices (CEA)
RBO-AMEX-09-15	Apr 29	Open Outcry Trading of Contingency Orders
RBO-09-05	Apr 14	Open Outcry Trading of Contingency Orders
RBO-09-04	Apr 13	LEAPS Quote Width
RBO-09-03	Mar 20	Obvious Error Rule Change
RBO-09-02	Mar 20	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-09-14	Mar 18	Use of Trading Acronyms & Access to NYSE Amex Systems
RBO-AMEX-09-13	Mar 18	Electronic Quoting Reports
RBO-AMEX-09-12	Mar 13	Recording OCC and CMTA Values in Order Records
RBO-AMEX-09-11	Mar 2	Phone Rule FAQs
RBO-AMEX-09-10	Feb 27	Standards of Dress and Conduct on the NYSE Amex Options Floor
RBO-AMEX-09-09	Feb 27	Floor Broker Error Accounts
RBO-AMEX-09-08	Feb 27	Floor Broker Obligations to Comply with Priority Principles
RBO-AMEX-09-07	Feb 27	Bid/Ask Differentials in Certain High Priced Stocks
RBO-AMEX-09-06	Feb 26	Duty to Report Fraudulent or Manipulative Conduct
RBO-AMEX-09-05	Feb 26	Timely reporting of trades at the close of business
RBO-AMEX-09-04	Feb 24	EXPIRATION OF 86 TRINITY PERMITS and FAQ
RBO-AMEX-09-03	Feb 24	NYSE Amex Options Hand Held Prohibitions
RBO-AMEX-09-02	Feb 23	Electronic Quoting Obligations
RBO-AMEX-09-01	Feb 23	Delivery of Contrary Exercise Advice (CEA) Advices
RBO-09-01	Jan 5	Electronic Communications - Record Retention Requirements

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