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2006
2005
2004
2003
2002
2001
2000
RIC-2004-14 [ December 22, 2004 ]
Securities Transactions For Tax Purposes
RIC-2004-13 [ November 08, 2004 ]
Solicitation Mechanism
RIC-2004-12 [ November 08, 2004 ]
Information Barriers
RIC-2004-11 [ September 09, 2004 ]
Automatic Exercise Threshold Change
RIC-2004-10 [ August 27, 2004 ]
Electronic Orders
RIC-2004-09 [ August 18, 2004 ]
Liberalization of Multi Legged Orders 3 to 1
RIC-2004-08 [ August 03, 2004 ]
Linkage Satisfaction Order Change
RIC-2004-07 [ July 28, 2004 ]
Bid Ask Spread Program Made Permanent
RIC-2004-06 [ June 23, 2004 ]
EOD Linkage Satisfaction Order Size Change
RIC-2004-05 [ July 28, 2004 ]
Rule Change Notice - Changes to NASD Arbitration Rules
RIC-2004-04 [ May 24, 2004 ]
Rule Change Notice - Changes to NASD Arbitration Rules
RIC-2004-03 [ March 30, 2004 ]
Bid-Ask Spreads - Expansion of Spread Pilot Program
RIC-2004-01 [ January 14, 2004 ]
Disciplinary Sanctions in 2003
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