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Compliance Notes Regulatory Disclosures Regulatory Notes Exchange Notes Listed Exch Notes Option Exch Notes Futures Exch Notes Market Conditions and Jurisdiction Specific Disclaimers Market Data Notices Consolidated Statements of Financial Conditions News Archive
		Regulatory Notes June 29, 2007 NYSE Information Memo 07-60: Odd-Lot Order Requirements June 22, 2007 NYSE Russell Rebalancing Education Bulletin Memo Trading Near To or At The Close - - Frequently Asked Questions December, 2006 Global Business Continuity Plan Privacy Policy Margin Disclosure Certain Trading Practices Prohibited by Regulation M September, 2006 GSEC SIGMA ATS Clearly Erroneous Transactions Policy Clearly Erroneous Review Filing Form for Customer Directed Orders to GSEC's SIGMA ATS June, 2006 Foreign Ownership Restrictions on Canadian Securities October, 2005 Reminder of Certain Trading Practices Prohibited by Regulation M Mar 15, 2002 Prohibited Option Practices Dec. 4, 2001 PCX MFI Order Cancellation Fee Nov 7, 2001 Rules for ETF auto-ex on the AMEX Oct. 10, 2001 Effective immediately, the following charges will be passed along to all REDI users for executions in the index options on the CBOE Aug. 15, 2001 ORS Cancellation Fee Replaces PAR Cancellation Fee May 23, 2001 Option Unbundling Update Apr. 12, 2001 NYSE Direct+ Regulations &Procedures. NYSE Memo GSEC Compliance Memo Apr. 1, 2001 Commencing on April 1, 2001, O'Connor Specialists, L.L. C., a joint venture between Rathunas, StoneHedge, Callahan, Prime Markets, Tradenet, and Option Funding Group, will be requiring a payment of $2.00 on all orders cancelled within three (3) minutes of entry. Click here to view all options that are effected. Mar. 29, 2001 SEC CBOE Ruling regarding RAES and the Regulations concerning the entering of multiple option orders within a 15 second period. Mar. 23, 2001 NYSE Odd-Lot Procedure Alert Mar. 9, 2001 Susquehanna Cancellation Charges Jan. 27, 2001 Regulatory Circular RG 00-27 Access to Retail Automatic Execution Systems (“RAES”) (PDF format) Jan. 18, 2001 Regulatory Circular RG 01-06 Orders to Execute Immediate on RAES or Cancel (PDF format) Nov. 7, 2000 Regulatory Circular RG 00-169 RAES Trade Busts/Adjusts  (PDF format) Sept. 15, 2000 AMEX Information Circular: Market Operations and Trading Floor Systems Sept. 15, 2000 Regulatory Circular RG00 -139 SEC Approval of Prohibition Against Electronically Generated Orders  (PDF format) Aug. 1, 2000 Island ECN Clearly Erroneous Policy. All REDI ECN users who file erroneous trades against the Island ECN will be passed any erroneous fees. July 31, 1997 Regulatory Circular RG97-98 Rules Governing Entry of Orders via RAES and Electronic Book (PDF format)
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