Notices - Trader Notices

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October 2008
Date Title Type
10/13/08Amex Friday Night Options Expiration October 17, 2008IDC
10/09/08REG 2008-51: 2008 Mandatory Annual Regulatory TrainingRulings and Regulations, Systems Information
10/09/08NYSE Amex Options Waives Trading Fees until 1st Quarter 2009 Platform LaunchANTE, Member Services
10/08/08REG 2008-50: Reminder: Annual Filing of Audited Financial Statements Pursuant to Securities Exchange Act Rule 17a-5Rulings and Regulations, Systems Information
10/08/08ETF 08-042: ETFs Traded Pursuant to UTP to be suspended from TradingETFs
10/06/08REG 2008-49: Update on SEC Emergency Orders - SEC's Emergency Order on Short Sales in securities of certain financial firms expires at 11:59 pm ET on Wednesday October 8, 2008 Rulings and Regulations, Short Sales
10/06/08ETF 08-041: Change in Market Closing Time for Selected FundsETFs
10/03/08Settlement Date for Transactions Completed on Monday, October 13, 2008
10/01/08REG 2008-47: "Circuit Breaker" Trading Halt Parameters for the Fourth Quarter of 2008Rulings and Regulations, Systems Information
10/01/08REG 2008-48: SEC Extends Emergency Orders on Short SellingRulings and Regulations, Short Sales
10/01/08REG 2008-46: Reminder - Upcoming October 15th Deadline for Submission of Written Supervisory Procedures for Floor Members Relocating to the NYSE Alternext US ("NYSE Alternext") by the Equities Implementation Date Member Services, Rulings and Regulations
10/01/08NYSE Euronext Completes Acquisition of Amex

September 2008
Date Title Type
09/30/08ETF 08-040: Bear Stearns Current Yield Fund (Ticker: YYY) to be liquidatedETFs
09/25/08REG 2008-45: Further guidance on SEC Emergency Order amending Short Sale RulesMember Services, Rulings and Regulations, Short Sales
09/24/08REG 2008-44: SEC Emergency Order prohibiting short sales in financial firms covered securities for September 25, 2008 – attachments show updates from prior day Member Services, Rulings and Regulations, Short Sales
09/23/08EMC-ANTE-10-08 ANTE - ANTE Tax Server Arbitration Method Mandatory Testing – October 4th 2008 (Saturday)ANTE, Systems Information
09/23/08REG 2008-43: 86 Trinity Permits (Final Notice) Member Services, Rulings and Regulations, Short Sales
09/22/08REG 2008-42: SEC Emergency Order Prohibiting Short Sales in Financial Firms Covered Securities for September 23, 2008 - REVISED - attachments show updates from prior day Member Services, Rulings and Regulations, Short Sales
09/22/08REG 2008-41: Amendments to SEC Emergency Order Prohibiting Short Sales in Financial Firms Member Services, Rulings and Regulations, Short Sales
09/22/08REG 2008-40: SEC Emergency Order prohibiting short sales in financial firms amended to include additional securities - READ CAREFULLY AS CHANGES ARE IMMEDIATELY EFFECTIVE Member Services, Rulings and Regulations, Short Sales
09/19/08REG 2008-37: SEC Emergency Order prohibiting short sales in 799 financial companies - READ CAREFULLY AS RULES ARE IMMEDIATELY EFFECTIVE Member Services, Rulings and Regulations, Short Sales
09/19/08REG 2008-39: Extension of Deadline for Submitting Contrary Exercise Advice Member Services, Rulings and Regulations
09/19/08REG 2008-38: Reporting Requirements Related to Planned Transfer of Equities Operations to NYSE Alternext US LLC Member Services, Rulings and Regulations
09/18/08ETF 08-039: Transfer of the iShares Nasdaq Biotechnology Index Fund (Ticker: IBB)ETFs
09/18/08REG 2008-36: SEC Emergency Order Amending Short Sale Rules - READ CAREFULLY AS RULES ARE IMMEDIATELY EFFECTIVE Member Services, Rulings and Regulations, Short Sales
09/17/08ETF 08-038: Transfer of 34 Vanguard ETFs to NYSE ArcaETFs
09/17/08REG 2008-35: New Rules Issued by SEC on Naked Short Selling - CORRECTED Member Services, Rulings and Regulations
09/12/08Amex Friday Night Options Expiration September 19, 2008IDC
09/12/08Letter of Transmittal Information Session and Appointments for Individual Consultations Member Services
09/09/08NYSE/Amex Integration (NYSE Alternext U.S.): Revised Notice - NYSE system changes Member Services, Systems Information
09/02/08ETF 08-037: Market Vectors ETF TrustETFs

August 2008
Date Title Type
08/29/08Market Data Fact Sheet - New Market Vectors ETF Anticipated to Begin Trading on Wednesday, September 3, 2008ETFs, Vendor Alerts
08/25/08RT-015: AEMI FIX and AEMI Merged Order Logs Data and Format UpdatesAEMI, Member Services, Systems Information
08/22/08REG 2008-34: Training, Education and Certain Other Requirements Impacted by the Date Change for Transfer of Equities Trading to NYSE Alternext US ("NYSE Alternext") Member Services, Rulings and Regulations
08/22/08Elimination of Self-Reporting for Crossing Session II Member Services, Rulings and Regulations
08/21/08Closing of the Seat Market and Lease Transfer Processing Member Services, Rulings and Regulations
08/19/08REG 2008-33: 86 Trinity Permits - Information Sessions Member Services, Rulings and Regulations
08/19/08REG 2008-32: 86 Trinity Permits Member Services, Rulings and Regulations
08/11/08REG 2008-31: Changes to Disciplinary Proceedings as a Result of the Acquisition of the American Stock Exchange by NYSE EuronextRulings and Regulations, Member Services
08/07/08Amex Friday Night Options Expiration August 15, 2008IDC
08/04/08REG 2008-30: Additional Mandatory Regulatory Education via Learning Management System Related to Planned Transfer to NYSE Alternext US ("NYSE Alternext")Rulings and Regulations, Member Services
08/01/08REG 2008-29: Reminder - Mandatory regulatory education and operations training related to planned transfer to NYSE Alternext US ("NYSE Alternext")Rulings and Regulations

July 2008
Date Title Type
07/31/08REG 2008-28: Written Supervisory Procedures Related to Planned Transfer to NYSE Alternext US LLC ("NYSE Alternext")Rulings and Regulations
07/30/08REG 2008-27: SEC Extends Emergency Order Imposing Restrictions on Uncovered Short Sales in Certain Securities through August 12, 2008Rulings and Regulations, Short Sales, Systems Information
07/25/08REG 2008-26: Reminder - Mandatory regulatory education and operations training related to planned transfer to NYSE Alternext US ("NYSE Alternext")Rulings and Regulations, Systems Information
07/22/08ETF 08-036: SPDR Index Shares FundsETFs
07/18/08REG 2008-25: SEC Emergency Order Imposing Restrictions on Uncovered Short Sales in Certain SecuritiesRulings and Regulations, Short Sales, Systems Information
07/15/08Amex Friday Night Options Expiration July 18, 2008IDC
07/11/08FINRA Code of Arbitration Procedures Member Services, Rulings and Regulations
07/09/08RT-014: AEMI Merged Order Logs Data UpdatesAEMI, Member Services, Systems Information
07/07/08REG 2008-24: Mandatory regulatory education and operations training related to planned transfer to NYSE Alternext US ("NYSE Alternext")Rulings and Regulations, Systems Information
07/01/08REG 2008-23: "Circuit Breaker" Trading Halt Parameters for the Third Quarter of 2008Rulings and Regulations, Systems Information

June 2008
Date Title Type
06/30/08ETF 08-035: MacroShares $100 Oil Up Trust, MacroShares $100 Oil Down TrustETFs
06/25/08Market Data Fact Sheet - 2 New MacroShares ETFs Anticipated to Begin Trading on Tuesday, July 1, 2008ETFs, Vendor Alerts
06/24/08Amex to Publish the SPADE Oklahoma Index -- OKLAHVendor Alerts
06/23/08Amex to Publish the MacroShares Applicable Reference Price of Crude Oil Index - RPCRXVendor Alerts
06/20/08REG 2008-22: Exercise-by-Exception Threshold Change in Equity OptionsRulings and Regulations
06/19/08Amex Early Close July 3, 2008IDC
06/18/08REG 2008-21: Annual reconstitution of Russell Indexes on June 27, 2008Rulings and Regulations
06/18/08Amex Friday Night Options Expiration June 20, 2008IDC
06/16/08ETF 08-034: Early Termination of the MACROshares Oil Up Tradeable Shares and the MACROshares Oil Down Tradeable SharesETFs
06/13/08REG 2008-20: Rule Change Amending the Definition of a "Complex Trade"Rulings and Regulations
06/12/08American Stock Exchange Index Discontinuations NoticeVendor Alerts
06/11/08ETF 08-033: ProShares TrustETFs
06/11/08ETF 08-032: Rydex ETF TrustETFs
06/10/08Market Data Fact Sheet - New ProShares ETFs Anticipated to Begin Trading on Thursday, June 12, 2008ETFs, Vendor Alerts
06/10/08Market Data Fact Sheet - (8) New Rydex ETFs Anticipated to Begin Trading on Thursday, June 12, 2008ETFs, Vendor Alerts
06/09/08REG 2008-19: The Specialist's Role and Exchange Rules Affecting the Relationship Between Issuers and SpecialistsRulings and Regulations

May 2008
Date Title Type
05/30/08Transaction Fees for ETNs
05/29/08ETF 08-031: Upcoming Closure and Liquidation of Ameristock/Ryan ETFs ETFs
05/19/08ETF 08-030: PowerShares™ Exchange-Traded Fund Trust IIETFs
05/16/08Market Data Fact Sheet - New PowerShares ETFs Anticipated to Begin Trading on Tuesday, May 20, 2008ETFs, Vendor Alerts
05/15/08ETF 08-029: SPDR Index Shares FundsETFs
05/14/08Market Data Fact Sheet - SPDR S&P Emerging Markets Small Cap ETF (EWX) Anticipated to Begin Trading on Friday, May 16, 2008ETFs, Vendor Alerts
05/12/08Amex Friday Night Options Expiration May 16, 2008 IDC
05/12/08ETF 08-028: SPDR Index Shares FundsETFs
05/09/08ETF 08-027: NETS TrustETFs
05/08/08Market Data Fact Sheet - New NETS ETFs Anticipated to Begin Trading on Monday, May 12, 2008ETFs, Vendor Alerts
05/08/08Market Data Fact Sheet - (2) New State Street ETFs Anticipated to Begin Trading on Tuesday, May 13, 2008ETFs, Vendor Alerts
05/07/08REG 2008-18: Fixed Return OptionsRulings and Regulations

April 2008
Date Title Type
04/29/08Market Data Fact Sheet - (2) New ProShares ETFs Anticipated to Begin Trading on Thursday, May 1, 2008ETFs, Vendor Alerts
04/29/08Morgan Stanley 10% SPARQS Linked to Apple Inc., due July 20, 2008 (AHY) called for redemption May 9, 2008
04/24/08REG 2008-17: Members' continuing obligation to orders pending leaving the trading floorRulings and Regulations
04/22/08ETF 08-026: ALPS ETF TrustETFs
04/22/08ETF 08-025: ProShares TrustETFs
04/22/08ETF 08-024: Market Vectors ETF Trust ****REVISED****ETFs
04/21/08Market Data Fact Sheet - Market Vectors-Solar Energy ETF (KWT) Anticipated to Begin Trading on Tuesday, April 22, 2008ETFs, Vendor Alerts
04/18/08Amex to begin publishing 20 new index values on Friday, April 18, 2008Vendor Alerts
04/18/08REG 2008-16: Aggregation of accounts required in options on XNG and MNG for position and exercise limit purposes Rulings and Regulations
04/14/08Amex Friday Night Options Expiration April 18, 2008 IDC
04/10/08ETF 08-023: NETS TrustETFs
04/09/08REG 2008-15: April 14th application deadline for Members seeking Exchange approval of existing electronic communications or proprietary trading systems on the trading floor Rulings and Regulations
04/08/08Morgan Stanley 8% SPARQS Linked to Archer- Daniels- Midland Company, due April 20, 2008 (AMA) called for redemption April 18, 2008
04/08/08Morgan Stanley 12% SPARQS Linked to Arch Coal, Inc., due September 20 20, 2008 (AHB) called for redemption April 18, 2008
04/07/08Market Data Fact Sheet -United States Heating Oil Fund, LP Anticipated to Begin Trading on Wednesday, April 9, 2008ETFs, Vendor Alerts
04/07/08Market Data Fact Sheet - New NETS ETFs Anticipated to Begin Trading on Wednesday,April 9, 2008ETFs, Vendor Alerts
04/07/08ETF 08-022: NETS TrustETFs
04/07/08ETF 08-021: United States Heating Oil Fund, L.P.ETFs
04/07/08ETF 08-020: ETF Traded Pursuant to UTP to be suspended from TradingETFs
04/07/08ETF 08-019: Selected Funds to Trade Pursuant to UTPETFs
04/03/08REG 2008-14: Aggregation of accounts for position and exercise limit purposesRulings and Regulations
04/03/08Paramount Gold and Silver Corp. Trading Update
04/01/08REG 2008-13: "Circuit Breaker" Trading Halt Parameters for the Second Quarter of 2008Rulings and Regulations, Systems Information

March 2008
Date Title Type
03/31/08REG 2008-12: Change in allocation of electronically delivered and executed option orders for five contracts or lessAEMI, BARS, Rulings and Regulations, Systems Information
03/27/08REG 2008-11: Options Penny Quoting Pilot Program - additional options classesRulings and Regulations
03/27/08ETF 08-018: ProShares TrustETFs
03/26/08RT-013: AEMI Post Trade Report - AMOL Data Type Length Change for Firm Used Sorting FieldsAEMI
03/25/08Market Data Fact Sheet - (2) New ProShares ETFs Anticipated to Begin Trading on Thursday, March 27, 2008ETFs, Vendor Alerts
03/25/08ETF 08-016: Bear Stearns Active ETF TrustETFs
03/24/08REG 2008-10: Trading rules applicable to certain Exchange Traded NotesRulings and Regulations
03/18/08ETF 08-017: SPDR Series TrustETFs
03/14/08REG 2008-08: Members' use of electronic communications and proprietary trading systems - Exchange approval requiredRulings and Regulations
03/14/08REG 2008-09: BARS order entry when brokers handle market maker orders in AEMIAEMI, BARS, Rulings and Regulations, Systems Information
03/13/08Market Data Fact Sheet - SPDR DB International Government Inflation-Protected Bond ETF (WIP) Anticipated to Begin Trading on Wednesday, March 19, 2008ETFs, Vendor Alerts
03/13/08Market Data Fact Sheet - Bear Stearns Current Yield Fund (YYY) Anticipated to Begin Trading on Tuesday, March 18, 2008ETFs, Vendor Alerts
03/12/08REG 2008-07: Modifications to Auto-Ex tolerances in AEMIRulings and Regulations, Systems Information
03/12/08REG 2008-06: Late Publishing of Regulation SHO "Threshold Securities" List Effective as of Wednesday, March 12, 2008Rulings and Regulations, Systems Information
03/10/08Amex Only OrdersAEMI, Systems Information
03/04/08REG 2008-05: NDX and RUT combination ordersANTE, Rulings and Regulations, Systems Information
03/03/08Amex Thursday Night Options Expiration March 20, 2008IDC

February 2008
Date Title Type
02/29/08Amex to Cease Dissemination of 44 Index ValuesVendor Alerts
02/27/08Amex to Cease Publication of the BIRLCC, BIRMCV, BIRSCC, & CLRMCG Indexes After the Close of February 29, 2008Vendor Alerts
02/25/08ETF 08-015: Market Vectors ETF TrustETFs
02/25/08ETF 08-014: United States Gasoline Fund, L.P.ETFs
02/22/08Amex to cease as calculation agent for the Morningstar Dividend Leaders Index (MDL) and the Morningstar Dividend Leaders Total Return Index (MDLTR)Vendor Alerts
02/21/08 Market Data Fact Sheet - United States Gasoline Fund, LP ETF (UGA) Anticipated to Begin Trading on Tuesday, February 26, 2008ETFs, Vendor Alerts
02/21/08 Market Data Fact Sheet - Market Vectors- Lehman Brothers AMT Free Short Municipal ETF (SMB) Anticipated to Begin Trading on Tuesday, February 26, 2008ETFs, Vendor Alerts
02/15/08ETF 08-013: Liquidation Processing of Selected Claymore ETFs on Wed., 02/20/08 (LAST DAY of Trading, Tues., 02/19/08)ETFs
02/15/08ETF 08-012: SPDR Index Shares FundsETFs
02/14/08 Market Data Fact Sheet - SPDR S&P International Dividend ETF (DWX) Anticipated to Begin Trading on Tuesday, February 19, 2008ETFs, Vendor Alerts
02/11/08Amex Friday Night Options Expiration February 15, 2008IDC
02/11/08ETF 08-011: Claymore Exchange-Traded Fund TrustETFs
02/08/08 Market Data Fact Sheet - New Claymore ETFs Anticipated to Begin Trading on Tuesday, February 12, 2008ETFs, Vendor Alerts
02/07/08ETF 08-009: Re-allocation of selected ETFs traded pursuant to UTPETFs
02/07/08American Apparel Inc. Warrants, expiring December 14, 2009 (APP.WS) called for redemption March 7, 2008
02/01/08ETF 08-008: Upcoming Closure and Liquidation of Selected Claymore ETFsETFs

January 2008
Date Title Type
01/31/08REG 2008-04: ABC Rollout - Clarification of Selected Regulatory MattersRulings and Regulations, Systems Information
01/30/08ETF 08-007: PowerShares Exchange-Traded Fund Trust IIETFs
01/29/08 Market Data Fact Sheet - PowerShares Preferred Portfolio (PGX) that is anticipated to begin trading on January 31, 2008ETFs, Vendor Alerts
01/29/08ETF 08-006: Claymore Exchange-Traded Fund Trust 2ETFs
01/28/08 Market Data Fact Sheet - Claymore/AlphaShares China Small Cap Index ETF (HAO) that is anticipated to begin trading on January 30, 2008ETFs, Vendor Alerts
01/25/08Requirements to Participate in Open Outcry Trading Today, 01/25/08ANTE, IDC, Systems Information
01/24/08RT-011: AEMI Post Trade Report - AMOL Maker Taker Transaction FeesAEMI, Member Services, Systems Information
01/23/08REG 2008-03: Implementation of Amex Book ClerksRulings and Regulations, Systems Information
01/23/08ETF 08-005: GreenHaven Continuous Commodity Index FundETFs
01/23/08ETF 08-004: Market Vectors ETF TrustETFs
01/23/08Requirements to Participate in Open Outcry Trading Today, 01/23/08ANTE, IDC, Systems Information
01/22/08 Market Data Fact Sheet - Greenhaven Continuous Commodity Index Fund (GCC) Anticipated to Begin Trading on January 24, 2008ETFs, Vendor Alerts
01/18/08 Market Data Fact Sheet - Market Vectors - Gaming ETF (BJK) Anticipated to Begin Trading on Tuesday, January 24, 2008ETFs, Vendor Alerts
01/17/08ETF 08-003: New Income Distribution Schedule for International iShares ETFsETFs
01/14/08Amex Friday Night Options Expiration January 18, 2008IDC
01/14/08MANDATORY ANTE 1.5.0. Product TestingANTE, Systems Information
01/11/08ETF 08-002: Change in Market Closing Time for Selected FundsETFs
01/11/08Morgan Stanley 8% SPARQS Linked to Monsanto Company, expiring July 20, 2008 (MAO) called for redemption January 22, 2008
01/09/08REG 2008-02: Exchange Anti-Gambling PolicyRulings and Regulations
01/04/08ETF 08-001: Market Vectors ETF TrustETFs
01/03/08Market Data Fact Sheet - Market Vectors-Lehman Brothers AMT-Free Long Municipal Index ETF (MLN) Anticipated to Begin Trading on Monday, January 7, 2008ETFs, Vendor Alerts
01/02/08REG 2008-01: "Circuit Breaker" Trading Halt Parameters for the First Quarter of 2008Rulings and Regulations, Systems Information