2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
Click on the links below to view the PDF documents.
2007 Regulatory Circulars
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| RC 07-022 | SEC's Section 31 Transaction Fee Rate NSX Regulatory Transaction Fee (Update) |
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| RC 07-021 | Rule 11.13(a) Proprietary and Agency Orders |
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| RC 07-020 | December 24, 2007 Holiday Hours |
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| RC 07-019 | SEC's Section 31 Transaction Fee Rate NSX Regulatory Transaction Fee |
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| RC 07-018 | November 23, 2007 Holiday Hours |
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| RC 07-017 | Changes to NSX Fee Schedule for Transactions Executed Through NSX BLADE SM |
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| RC 07-016 | Regulation SHO Changes Occurring on Friday, October 5, 2007 on FINRA/NSX Trade Reporting Facility™ |
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| RC 07-015 | New NSX BLADE Fee Schedule for Liquidity Provider and Market Data Rebate Programs for Automatic Execution Transactions in Certain Designated ETFs |
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| RC 07-014 | SEC's Section 31 Transaction Fee Rate |
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| RC 07-013 | Annual Certification of Compliance and Supervisory Processes |
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| RC 07-012 | Regulation SHO Changes Occurring on Friday, October 5, 2007 |
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| RC 07-011 | Elimination of Short Sale Price Test |
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| RC 07-010 | Regarding Holiday Hours on July 3, 2007 |
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| RC 07-009 | New Fee Schedule for Liquidity Provider Rebate Program for Order Delivery Transactions Executed Through NSX BLADE |
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| RC 07-008 | Change to Requirements for the Reporting of Consolidated Short Interest Positions |
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| RC 07-007 | SEC's Section 31 Transaction Fee Rate |
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| RC 07-006 | Filing Financial (FOCUS) Reports and Audited Financial Reports with the Exchange |
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| RC 07-005 | New Fee Schedule for Transactions Priced at Less Than $1.00 Per Share through NSX BLADESM and ITS Transactions |
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| RC 07-004 | SEC's Section 31 Transaction Fee Rate |
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| RC 07-003 | Transition of Listed Securities into NSX BLADE SM |
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| RC 07-002 | New Fee Schedules for Transactions through National Securities Trading System ('NSTS') and ITS and Rebate Program for Tape 'A' Securities on NSTS |
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| RC 07-001 | Change to the NASD/NSX TRF Rules to Require Use of a Special Indicator Denoting that Certain Transactions are Reported In Accordance with Section 3 of Schedule A to the NASD By-Laws FINRA and TRF (Trade Reporting Facility) are trademarks of Financial Industry Regulatory Authority, Inc.; FINRA/NSX TRF™ is used under license from Financial Industry Regulatory Authority, Inc. |