RIC-2009-143
| [ April 6, 2009 ] |
| Bid Ask Differentials in Certain Securities mid 2Q 2009 update |
|
RIC-2009-142
| [ May 6, 2009 ] |
| Rule Change Notice - Proposed Change to FINRA Arbitration Rules |
|
RIC-2009-141
| [ April 22, 2009 ] |
| OSI Compliant Large Options Position Report LOPR |
|
RIC-2009-140
| [ April 22, 2009 ] |
| Amendment to ISE Rule 720 Obvious and Catastophic Errors |
|
RIC-2009-139
| [ April 22, 2009 ] |
| BAC STARS |
|
RIC-2009-138
| [ April 22, 2009 ] |
| Direxion Shares ETF Trust |
|
RIC-2009-137
| [ April 22, 2009 ] |
| Direxion Shares |
|
RIC-2009-136
| [ April 22, 2009 ] |
| Safety First Trust |
|
RIC-2009-135
| [ April 22, 2009 ] |
| SPDR Barclays Capital Convertible Bond ETF |
|
RIC-2009-134
| [ April 9, 2009 ] |
| Vanguard FTSE |
|
RIC-2009-133
| [ April 9, 2009 ] |
| Morgan Stanley Protected Absolute Return |
|
RIC-2009-132
| [ April 9, 2009 ] |
| Morgan Stanley Buffered PLUS |
|
RIC-2009-131
| [ April 9, 2009 ] |
| JP Morgan Alerian MLP Exchange Traded Notes |
|
RIC-2009-130
| [ April 9, 2009 ] |
| IQ Hedge Multi-Strategy Tracker ETF |
|
RIC-2009-129
| [ April 9, 2009 ] |
| Citigroup Minimum Coupon Principal Protected Notes |
|
RIC-2009-128
| [ April 9, 2009 ] |
| Citigroup Funding ELKS |
|
RIC-2009-127
| [ April 9, 2009 ] |
| Bear Market STARS |
|
RIC-2009-126
| [ April 9, 2009 ] |
| Bank of America MITTS |
|
RIC-2009-125
| [ April 8, 2009 ] |
| Position Exercise Limit Index Semi Annual Review |
|
RIC-2009-124
| [ April 8, 2009 ] |
| Rule Change Notice - Proposed Change to FINRA Arbitration Rules |
|
RIC-2009-123
| [ March 27, 2009 ] |
| Swedish Export Credit Corporation ELEMENTS |
|
RIC-2009-122
| [ March 27, 2009 ] |
| SPDR Barclays |
|
RIC-2009-121
| [ March 27, 2009 ] |
| SEK Accelerated Return Notes |
|
RIC-2009-120
| [ March 27, 2009 ] |
| SEK Accelerated Return Bear Notes |
|
RIC-2009-119
| [ March 27, 2009 ] |
| Morgan Stanley Absolute Return Barrier |
|
RIC-2009-118
| [ March 27, 2009 ] |
| Citigroup Minimum Coupon Principal Protected Notes |
|
RIC-2009-117
| [ March 27, 2009 ] |
| BAC STARS Linked to the S&P; 500 Index |
|
RIC-2009-116
| [ March 27, 2009 ] |
| BAC Capped Leveraged Index Return Notes |
|
RIC-2009-115
| [ March 27, 2009 ] |
| BAC Bear Market STARS |
|
RIC-2009-114
| [ March 27, 2009 ] |
| BAC Bank of America MITTS |
|
RIC-2009-112
| [ March 24, 2009 ] |
| Penny Pilot |
|
RIC-2009-111
| [ March 20, 2009 ] |
| Bid Ask Differentials in Certain Securities |
|
RIC-2009-110
| [ March 13, 2009 ] |
| Swedish Export Credit Corporation |
|
RIC-2009-109
| [ March 13, 2009 ] |
| Swedish Export Credit Corporation ELEMENTS |
|
RIC-2009-108
| [ March 13, 2009 ] |
| Swedish Export Credit Accelerated Return Notes |
|
RIC-2009-107
| [ March 13, 2009 ] |
| SPDR Barclays Capital |
|
RIC-2009-106
| [ March 13, 2009 ] |
| E TRACS |
|
RIC-2009-105
| [ March 13, 2009 ] |
| Citigroup Buffer Notes |
|
RIC-2009-104
| [ March 5, 2009 ] |
| Order Delivery |
|
RIC-2009-103
| [ February 24, 2009 ] |
| WisdomTree Trust |
|
RIC-2009-102
| [ February 24, 2009 ] |
| SPDR DB International Government Inflation Protected Bond ETF |
|
RIC-2009-101
| [ February 24, 2009 ] |
| PowerShares Exchange Traded Trust II |
|
RIC-2009-100
| [ February 24, 2009 ] |
| Morgan Stanley PLUS S&P; 500 Index |
|
RIC-2009-99
| [ February 24, 2009 ] |
| iPath Optimized Currency Carry ETN |
|
RIC-2009-98
| [ February 24, 2009 ] |
| iPath Exchange Rate Exchange Traded Notes |
|
RIC-2009-97
| [ February 24, 2009 ] |
| Goldman Sachs Claymore CEF Index Linked GS Connect ETN |
|
RIC-2009-96
| [ February 24, 2009 ] |
| Global X InterBolsa FTSE Colombia 20 ETF |
|
RIC-2009-95
| [ February 24, 2009 ] |
| Barclays GEMS Index Exchange Traded Notes |
|
RIC-2009-94
| [ February 24, 2009 ] |
| Barclays GEMS Asia 8 ETN |
|
RIC-2009-93
| [ February 24, 2009 ] |
| Barclays Asian and Gulf Currency Revaluation Exchange Traded Notes |
|
RIC-2009-92
| [ February 20, 2009 ] |
| Swedish Export Credit Accelerated Return Notes |
|
RIC-2009-91
| [ February 20, 2009 ] |
| SEK Capped Leverage Index Return Notes |
|
RIC-2009-90
| [ February 20, 2009 ] |
| SEK Capped Leverage Index Return Notes |
|
RIC-2009-89
| [ February 20, 2009 ] |
| PowerShares Emerging Markets Infrastructure Portfolio |
|
RIC-2009-88
| [ February 20, 2009 ] |
| Morgan Stanley Protected Absolute Return Barrier Notes |
|
RIC-2009-87
| [ February 20, 2009 ] |
| Morgan Stanley Index Linked Notes |
|
RIC-2009-86
| [ February 20, 2009 ] |
| Merrill Lynch Strategic Accelerated Redemption Securities |
|
RIC-2009-85
| [ February 20, 2009 ] |
| Merrill Lynch |
|
RIC-2009-84
| [ February 20, 2009 ] |
| Merrill Lynch |
|
RIC-2009-83
| [ February 20, 2009 ] |
| Merrill Lynch Principal Protected Range Notes |
|
RIC-2009-82
| [ February 20, 2009 ] |
| Merrill Lynch Capped Leveraged Index Return Notes |
|
RIC-2009-81
| [ February 20, 2009 ] |
| Merrill Lynch Capped Leveraged Index Return Notes |
|
RIC-2009-80
| [ February 20, 2009 ] |
| Merrill Lynch Accelerated Return Notes |
|
RIC-2009-79
| [ February 20, 2009 ] |
| Merrill Lynch Accelerated Return Bear Market Notes |
|
RIC-2009-78
| [ February 20, 2009 ] |
| Merrill Lynch Accelerated Return Bear Market Notes SBL |
|
RIC-2009-77
| [ February 20, 2009 ] |
| Direxion Shares ETF Trust |
|
RIC-2009-76
| [ February 20, 2009 ] |
| iShares Trust |
|
RIC-2009-75
| [ February 20, 2009 ] |
| Bank of America Corporation STARS |
|
RIC-2009-74
| [ February 20, 2009 ] |
| Barclays iPath VIX Futures ETNs |
|
RIC-2009-73
| [ February 20, 2009 ] |
| AB Svensk Exportkredit Capped Leveraged Index Return Notes |
|
RIC-2009-72
| [ February 20, 2009 ] |
| Bank of America Corporation Accelerated Return Notes |
|
RIC-2009-71
| [ February 20, 2009 ] |
| AB Svensk Exportkredit Accelerated Return Bear Market Notes |
|
RIC-2009-70
| [ February 13, 2009 ] |
| Targeted Income Strategic Total Return Securities |
|
RIC-2009-69
| [ February 13, 2009 ] |
| Swedish Export Credit Accelerated Return Notes Linked to the S&P; BRIC 400 Index |
|
RIC-2009-68
| [ February 13, 2009 ] |
| Swedish Export Credit Accelerated Return Notes Linked to the MSCI EAFE Index |
|
RIC-2009-67
| [ February 13, 2009 ] |
| SPDR Series Trust |
|
RIC-2009-66
| [ February 13, 2009 ] |
| SEK Capped Leverage Index Return Notes |
|
RIC-2009-65
| [ February 13, 2009 ] |
| SEK Capped Leverage Index Return Notes based on the MSCI EAFE Index |
|
RIC-2009-64
| [ February 13, 2009 ] |
| Safety First Trust Principal Protected Certificates Dow Jones Industrial |
|
RIC-2009-63
| [ February 13, 2009 ] |
| S&P; 500 Market Index Target Term Securities |
|
RIC-2009-62
| [ February 13, 2009 ] |
| S&P; 500 Market Index Target Term Securities |
|
RIC-2009-61
| [ February 13, 2009 ] |
| RevenueShares ETF Trust |
|
RIC-2009-60
| [ February 13, 2009 ] |
| Protected Notes Linked to the Performance of the Global Equity Basket |
|
RIC-2009-59
| [ February 13, 2009 ] |
| Protected Notes Linked to the Performance of the Dow Jones Industrial Average |
|
RIC-2009-58
| [ February 13, 2009 ] |
| PowerShares Active U.S. Real Estate Fund |
|
RIC-2009-57
| [ February 13, 2009 ] |
| PLUS Dow Jones EURO STOXX 50 |
|
RIC-2009-56
| [ February 13, 2009 ] |
| Notes based upon the value of the Nasdaq 100 Index |
|
RIC-2009-55
| [ February 13, 2009 ] |
| NIKKEI 225 Market Index Target Term Securities |
|
RIC-2009-54
| [ February 13, 2009 ] |
| NIKKEI 225 Market Index Target Term Securities |
|
RIC-2009-53
| [ February 13, 2009 ] |
| Morgan Stanley Market Participation Securities with Minimum Return Protection |
|
RIC-2009-52
| [ February 13, 2009 ] |
| MITTS |
|
RIC-2009-51
| [ February 13, 2009 ] |
| MITTS Securities |
|
RIC-2009-50
| [ February 13, 2009 ] |
| Merrill Lynch Strategic Accelerated Redemption Securities Linked to the Dow Jones Industrial Average |
|
RIC-2009-49
| [ February 13, 2009 ] |
| Merrill Lynch Leveraged Index Return Notes Linked to the NIKKEI 225 Index |
|
RIC-2009-48
| [ February 13, 2009 ] |
| Merrill Lynch Leveraged Index Return Notes Linked to the Dow Jones Industrial Average |
|
RIC-2009-47
| [ February 13, 2009 ] |
| Merrill Lynch Certificates |
|
RIC-2009-46
| [ February 13, 2009 ] |
| Merrill Lynch Callable STRIDES Oracle Corporation common stock |
|
RIC-2009-45
| [ February 13, 2009 ] |
| Merrill Lynch Bear Market Strategic Accelerated Redemption Securities |
|
RIC-2009-44
| [ February 13, 2009 ] |
| Merrill Lynch Accelerated Return Notes Linked to the S&P; 500 Index |
|
RIC-2009-43
| [ February 13, 2009 ] |
| Market Vectors Pre Refunded Municipal Index ETF |
|
RIC-2009-42
| [ February 13, 2009 ] |
| Market Vectors Indonesia Index ETF |
|
RIC-2009-41
| [ February 13, 2009 ] |
| Market Vectors High Yield Municipal Index ETF |
|
RIC-2009-40
| [ February 13, 2009 ] |
| HOLDRS TRUSTS |
|
RIC-2009-39
| [ February 13, 2009 ] |
| Claymore NYSE Arca Airline ETF |
|
RIC-2009-38
| [ February 13, 2009 ] |
| Citigroup Funding ELKS Johnson & Johnson |
|
RIC-2009-37
| [ February 13, 2009 ] |
| Citigroup Funding ELKS Halliburton Company |
|
RIC-2009-36
| [ February 13, 2009 ] |
| Citigroup Funding ELKS Barrick Gold Corporation |
|
RIC-2009-35
| [ February 13, 2009 ] |
| Citigroup Buffer Notes Based Upon the S&P; 500 Index |
|
RIC-2009-34
| [ February 13, 2009 ] |
| Citigroup Buffer Notes Based Upon the S&P; 500 Index BUW |
|
RIC-2009-33
| [ February 13, 2009 ] |
| Citigroup Buffer Notes Based Upon the S&P; 500 Index BGI |
|
RIC-2009-32
| [ February 13, 2009 ] |
| Capital Protected Notes |
|
RIC-2009-31
| [ February 13, 2009 ] |
| Bank of America Corporation Bear Market STARS |
|
RIC-2009-30
| [ February 13, 2009 ] |
| Vanguard Total World Stock ETF |
|
RIC-2009-29
| [ February 4, 2009 ] |
| Post-Option Symbology Initiative Bluesheet Submissions |
|
RIC-2009-28
| [ February 2, 2009 ] |
| WisdomTree U.S. Current Income Fund |
|
RIC-2009-27
| [ February 2, 2009 ] |
| WisdomTree LargeCap Growth Fund |
|
RIC-2009-26
| [ February 2, 2009 ] |
| RevenueShares ETF Trust |
|
RIC-2009-25
| [ February 2, 2009 ] |
| ProShares Trust II |
|
RIC-2009-24
| [ February 2, 2009 ] |
| ProShares Trust II Silver & Gold |
|
RIC-2009-23
| [ February 2, 2009 ] |
| PowerShare Exchange Traded Funds |
|
RIC-2009-22
| [ February 2, 2009 ] |
| NETS Tokyo Stock Exchange REIT Index Fund |
|
RIC-2009-21
| [ February 2, 2009 ] |
| Morgan Stanley Market Vectors Euro ETNs |
|
RIC-2009-20
| [ February 2, 2009 ] |
| Morgan Stanley Market Vectors Currency ETNs |
|
RIC-2009-19
| [ February 2, 2009 ] |
| Market Vectors RVE Hard Assets Producers ETF |
|
RIC-2009-18
| [ February 2, 2009 ] |
| iShares GSCI Commodity-Indexed Trust |
|
RIC-2009-17
| [ February 2, 2009 ] |
| iPath Exchange-Traded Notes Linked to Dow Jones-AIG Commodity Indexes |
|
RIC-2009-16
| [ February 2, 2009 ] |
| iPath Exchange Rate Exchange-Traded Notes |
|
RIC-2009-15
| [ February 2, 2009 ] |
| iPath Dow Jones-AIG ETNs |
|
RIC-2009-14
| [ February 2, 2009 ] |
| HSBC USA Inc. ELEMENTS |
|
RIC-2009-13
| [ February 2, 2009 ] |
| GreenHaven Continuous Commodity Index Fund |
|
RIC-2009-12
| [ February 2, 2009 ] |
| E TRACS UBS Bloomberg CMCI Platinum Exchange Traded Notes |
|
RIC-2009-11
| [ February 2, 2009 ] |
| E TRACS UBS Bloomberg CMCI Exchange Traded Notes |
|
RIC-2009-10
| [ February 2, 2009 ] |
| CurrencyShares Russian Ruble Trust |
|
RIC-2009-09
| [ February 2, 2009 ] |
| Claymore Raymond James SB 1 Equity ETF |
|
RIC-2009-08
| [ February 2, 2009 ] |
| BearLinx Alerian MLP Select Index ETN |
|
RIC-2009-07
| [ February 2, 2009 ] |
| ALPS ETF Trust |
|
RIC-2009-06
| [ January 30, 2009 ] |
| Professional Customer Orders |
|
RIC-2009-05
| [ January 16, 2009 ] |
| Complex Orders |
|
RIC-2009-04
| [ January 9, 2009 ] |
| Quoting Obligations Updated |
|
RIC-2009-03
| [ January 7, 2009 ] |
| Direxion Shares ETF Trust |
|
RIC-2009-02
| [ January 7, 2009 ] |
| AirShares EU Carbon Allowances Fund |
|
RIC-2009-01
| [ January 2, 2009 ] |
| Disciplinary Sanctions in 2008 |
|