ArcaEx
Rules
Pending Rule Filings
Regulatory Bulletins
New Rules
2005 Reg. Bulletins
2004 Reg. Bulletins
2003 Reg. Bulletins
2002 Reg. Bulletins
2001 Reg. Bulletins
2000 Reg. Bulletins
Weekly Bulletins
Financial/Operational Compliance
Arbitration Department
Disciplinary Sanctions


Home

Investor Relations

Regulation

Site Map

Site Requirements

Contact Us

Regulatory Bulletins
Regulatory Bulletins are sorted chronologically starting with the most recent bulletin.

You must have Adobe® Acrobat® Reader installed on your computer to view the Regulatory Bulletins.   Download Adobe® Acrobat® Reader here.

2010 Rule Adoption Notices (RAN)

Bulletin

Date

Subject

Amex-RAN-10-07

Feb 22

Amending Rule 960NY Trading Differentials

Amex-RAN-10-06

Feb 22

Adding 75 Options Classes to the Penny Pilot Program

Amex-RAN-10-05

Feb 22

Amending Rule 991 Options Communications

Amex-RAN-10-04

Feb 22

Rule 975NY

Amex-RAN-10-03

Feb 22

Fee Schedule

Amex-RAN-10-02

Feb 22

Amending Commentary .01 to Rule 903G

Amex-RAN-10-01

Feb 22

Amending Commentary .10 to Rule 915 and Commentary .11 to Rule 916

RAN-10-09

Feb 22

Adding 75 Options Classes to the Penny Pilot Program

RAN-10-08

Feb 22

Rule 6.87 Obvious Errors and Catastrophic Errors

RAN-10-07

Feb 22

Rule 9.1

RAN-10-06

Feb 22

Fee Schedule

RAN-10-05

Feb 22

Rule 2.3 Application Procedures

RAN-10-04

Feb 22

Equities Rule 8.600

RAN-10-03

Feb 22

Rule 8.201

RAN-10-02

Feb 22

Rule 5.3 Criteria for Underlying Securities

RAN-10-01

Feb 22

Realtime Reference Prices



2010 Regulatory Bulletins (RB)

Bulletin

Date

Subject

RB-10-41

Mar 12

First Trust Exchange-Traded Fund ETF-Platinum

RB-10-40

Mar 12

First Trust Exchange-Traded Fund ETF

RB-10-39

Mar 11

SPDR S&P Russia ETF

RB-10-38

Mar 11

Direxion Shares ETF Trust

RB-10-37

Mar 9

Claymore Wilshire 5000 Total Market ETF, Claymore Wilshire 4500 Completion ETF, Claymore Wilshire US REIT ETF

RB-10-36

Mar 4

SEK Accelerated Return Notes Linked to the S&P 500 Index

RB-10-35

Mar 4

BAC Capped Leveraged Index Return Notes based on the S&P 500 Index

RB-10-34

Mar 4

Bank of America MITTS Linked to the S&P 500 Index

RB-10-33

Mar 4

BAC Market-Linked Step Up Notes Linked to the S&P 500 Index

RB-10-32

Feb 26

Sprott Physical Gold Trust

RB-10-31

Feb 25

Direxion Shares ETF Trust

RB-10-30

Feb 24

Emerging Global Shares INDXX Brazil Infrastructure Index Fund ETF

RB-10-29

Feb 22

Credit Suisee Long/Short Liquid Index ETN

RB-10-28

Feb 19

PowerShares CEF Income Composite Portfolio ETF

RB-10-27

Feb 17

Market Vectors Egypt Index ETF

RB-10-26

Feb 17

Emerging Global Shares INDXX China Infrastructure Index Fund ETF

RB-10-25

Feb 11

ProShares UltraPro Short QQQ ProShares UltraPro QQQ

RB-10-24

Feb 11

GlobalShares FTSE Developed Countries ex US Fund ETF

RB-10-23

Feb 11

ProShares UltraPro Dow30 ETFProShares UltraPro Short Dow30 ETF ProShares UltraProMidCap400 ETF ProShares UltraPro Short MidCap400 ETF ProShares UltraPro Russell2000 ETF ProShares UltraPro Short Russell2000 ETF

RB-10-22

Feb 8

Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index

RB-10-21

Feb 5

SEK Accelerated Return Notes Linked to the Russell 2000 Index

RB-10-20

Feb 4

Bank of America MITTS Linked to the Dow Jones Industrial Average

RB-10-19

Feb 4

BAC Market-Linked Step Up Notes Linked to the S&P 500 Index

RB-10-18

Feb 4

Bank of America Accelerated Return Notes Linked to the S&P 500 Index

RB-10-17

Feb 2

PIMCO Short-Term Municipal Bond Strategy Fund ETF

RB-10-16

Jan 29

Grail McDonnell Intermediate Municipal Bond ETF Grail McDonnell Core Taxable Bond ETF

RB-10-15

Jan 28

E-TRACS UBS AG Exchange Traded Access Exchange-Traded Notes

RB-10-14

Jan 22

iShares MSCI Far East Financials Sector Index Fund ETF

RB-10-13

Jan 22

iShares MSCI Europe Financials Sector Index Fund ETF

RB-10-12

Jan 22

iShares MSCI Emerging Markets Materials Index Fund ETF

RB-10-11

Jan 22

iShares MSCI Emerging Markets Financials Sector Index Fund ETF

RB-10-10

Jan 22

iShares MSCI ACWI ex US Financials Sector Index Fund ETF

RB-10-09

Jan 21

ProShares Ultra 20+ Year Treasury ETF

RB-10-08

Jan 21

ProShares Ultra 7-10 Year Treasury ETF

RB-10-07

Jan 20

ALPS Thomson Reuters/Jefferies CRB Wildcatters Exploration & Production Equity ETF

RB-10-06

Jan 14

Global X China Materials ETF

RB-10-05

Jan 14

Schwab International Small-Cap Equity ETF Schwab Emerging Markets Equity ETF

RB-10-04

Jan 12

Submission of FOCUS Reports and Annual Compliance Forms

RB-10-03

Jan 8

iShares S&P AMT-Free Municipal Series ETFs

RB-10-02

Jan 8

ETFS Palladium Trust

RB-10-01

Jan 8

ETFS Platinum Trust



2010 Regulatory Bulletins - Equities (RBE)

Bulletin

Date

Subject

RBE-10-02

Mar 12

FEE RATE ADVISORY

RBE-10-01

Jan 12

FEE RATE ADVISORY



2010 Regulatory Bulletins - Options (RBO)

Bulletin

Date

Subject

RBO-AMEX-10-09

Mar 12

FEE RATE ADVISORY

RBO-10-07

Mar 12

FEE RATE ADVISORY

RBO-AMEX-10-08

Feb 25

Cancellations and Adjustments of Trades

RBO-10-06

Feb 8

Bid/Ask Differentials in Certain High Priced Stocks

RBO-AMEX-10-07

Jan 25

Revocation of BRK.B Quote Relief

RBO-10-05

Jan 25

Revocation of BRK.B Quote Relief

RBO-AMEX-10-06

Jan 19

Change to Rule 975NY – Obvious and Catastrophic Errors (File No. SR-NYSEAmex-2010-02)

RBO-10-04

Jan 19

Change to Rule 6.87 – Obvious and Catastrophic Errors (File No. SR-NYSEArca-2010-03)

RBO-AMEX-10-05

Jan 15

Financial Regulation Reports - Due Dates and Instructions for the Timely Filing of FOCUS, Net Capital and Equity Computations, ITSFEA and Other Reports

RBO-Amex-10-04

Jan 15

Reminder: Annual Filing of Audited Financial Statements Pursuant to Securities Exchange Act Rule 17a-5

RBO-AMEX-10-03

Jan 12

FEE RATE ADVISORY

RBO-10-03

Jan 12

FEE RATE ADVISORY

RBO-AMEX-10-02

Jan 6

Penny Pilot Program Update

RBO-10-02

Jan 6

Penny Pilot Program Update

RBO-10-01

Jan 5

Required Cutover to the OCC Large Options Positions Report (“LOPR”)

RBO-AMEX-10-01

Jan 5

Required Cutover to the OCC Large Options Positions Report (“LOPR”)



The Book ArcaVision
Auction / Halted Arca Most Active
Subscribe to ArcaVision