Regulatory Information Circulars
Select Year:

2008
RIC-2008-16
    [ April 15, 2008 ]
street Tracks Gold Shares

RIC-2008-15
    [ April 10, 2008 ]
PowerShares DB G10 Currency Harvest Fund

RIC-2008-14
    [ April 10, 2008 ]
PowerShares DB Multi Sector Commodity Funds

RIC-2008-13
    [ April 4, 2008 ]
Rule Change Notice - Proprosed Change to FINRA Arbitration Rules

RIC-2008-12
    [ April 1, 2008 ]
Currency Shares

RIC-2008-11
    [ March 27, 2008 ]
Rule Change Notice - Proposed Change to FINRA Arbitration Rules

RIC-2008-10
    [ March 27, 2008 ]
Rule Change Notice - Proposed Change to FINRA Arbitration Rules

RIC-2008-09
    [ March 27, 2008 ]
Rule Change Notice - Proposed Change to FINRA Arbitration Rules

RIC-2008-08
    [ March 18, 2008 ]
Bid Ask Differentials in Certain Securities

RIC-2008-07
    [ March 18, 2008 ]
Opening Spreads in NYSE Listed Names

RIC-2008-06
    [ March 18, 2008 ]
Bid Ask Differentials for NDX and RUT Options

RIC-2008-05
    [ March 5, 2008 ]
March 2008 Expiration and settlement values

RIC-2008-04
    [ March 5, 2008 ]
Delta Position Limit Exemption

RIC-2008-03
    [ February 19, 2008 ]
Rule Change Notice - Proposed Change to NASD Arbitration Rules

RIC-2008-02
    [ January 17, 2008 ]
Proshares

RIC-2008-01
    [ January 2, 2008 ]
Disciplinary Sanctions in 2007