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The Regulatory Information Bulletin, among other things, advises OTP Holders, OTP Firms and Allied Persons, ETP Holders and ETP Sponsored Participants of certain final Disciplinary Actions and Arbitration Awards that resulted in the imposition of sanctions or awards for violations of the federal securities laws and Bylaws and Rules of NYSE Arca^sm.

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2010 Disciplinary Sanctions
2009 Disciplinary Sanctions
2008 Disciplinary Sanctions
2007 Disciplinary Sanctions
2006 Disciplinary Sanctions
2005 Disciplinary Sanctions
2004 Disciplinary Sanctions
2003 Disciplinary Sanctions
2002 Disciplinary Sanctions
2001 Disciplinary Sanctions
2000 Disciplinary Sanctions

2010 Disciplinary Sanctions
Bulletin	Date	Subject
No disciplinary sanctions posted for 2010.

2009 Disciplinary Sanctions
Bulletin	Date	Subject
No disciplinary sanctions posted for 2009.

2008 Disciplinary Sanctions
Bulletin	Date	Subject
No disciplinary sanctions posted for 2008.

2007 Disciplinary Sanctions
Bulletin	Date	Subject
07-AE-03	Oct 26	Ronin Capital
06-AE-26	Oct 26	Pearson Capital
05-AE-58	Oct 26	Penn Mont Securities
06-AE-16	Oct 13	Goldman Sachs Execution & Clearing
RB-07-81	Oct 11	Disciplinary Sanctions Imposed
RB-07-66	Aug 20	Disciplinary Sanctions Imposed
RB-07-17	Apr 2	Disciplinary Sanctions Imposed

2006 Disciplinary Sanctions
Bulletin	Date	Subject
RB-07-05	Jan 16	Disciplinary Sanctions Imposed
RB-06-43	Nov 6	Disciplinary Sanctions Imposed
RB-06-30	Aug 4	Disciplinary Sanctions Imposed
RB-06-16	May 10	Disciplinary Sanctions Imposed and Arbitration Awards Rendered

2005 Disciplinary Sanctions
Bulletin	Date	Subject
RB-06-03	Feb 3	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-05-21	Nov 21	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-05-12	Aug 9	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-05-10	May 18	Disciplinary Sanctions Imposed and Arbitration Awards Rendered

2004 Disciplinary Sanctions
Bulletin	Date	Subject
RB-05-07	Mar 2	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-04-08	Oct 15	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-04-05	Aug 9	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-04-04	May 5	Disciplinary Sanctions Imposed

2003 Disciplinary Sanctions
Bulletin	Date	Subject
RB-04-02	Jan 12	Disciplinary Sanctions Imposed
RB-03-05	Oct 27	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-03-04	Sep 4	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-03-03	Apr 8	Disciplinary Sanctions Imposed and Arbitration Awards Rendered

2002 Disciplinary Sanctions
Bulletin	Date	Subject
RB-03-02	Feb 25	Disciplinary Sanctions Imposed
RB-02-08	Dec 11	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-02-06	May 31	Disciplinary Sanctions Imposed And Arbitration Awards Rendered January 1, 2002 Through March 31, 2002

2001 Disciplinary Sanctions
Bulletin	Date	Subject
RB-02-05	May 31	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-01-05	Aug 27	Disciplinary Sanctions Imposed and Arbitration Awards Rendered
RB-01-04	May 22	Disciplinary Sanctions Imposed and Arbitration Awards Rendered

2000 Disciplinary Sanctions
Bulletin	Date	Subject
RB-00-04	May 12	Disciplinary Sanctions Imposed and Arbitration Awards Rendered

Questions regarding disciplinary sanctions for options may be directed to Larry Hing, Director of Options Enforcement, at (415) 393-4151.

Questions regarding disciplinary sanctions for equities may be directed to Chris Hill, Director of Equities Enforcement, at (312) 442-7944.

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