Product Restrictions

RG15-193 Restrictions on Transactions in Swift Energy Company (SFY)

December 22, 2015

RG15-193 Restrictions on Transactions in Swift Energy Company (SFY)

RG15-190 Restrictions on Transactions in Hong Kong Television Network (HKTV)

December 18, 2015

RG15-190 Restrictions on Transactions in Hong Kong Television Network (HKTV)

RG15-189 Restrictions on Transactions in Rhino Resource Partners LP (RNO)

December 18, 2015

RG15-189 Restrictions on Transactions in Rhino Resource Partners LP (RNO)

RG15-187 Restrictions on Transactions in Avalon Rare Metals Inc. (AVL)

December 18, 2015

RG15-187 Restrictions on Transactions in Avalon Rare Metals Inc. (AVL)

RG15-188 Restrictions on Transactions in Paragon Offshore PLC (PGN)

December 18, 2015

RG15-188 Restrictions on Transactions in Paragon Offshore PLC (PGN)

RG15-175 Restrictions on Transactions in National Bank of Greece S.A. (NBG)

December 01, 2015

RG15-175 Restrictions on Transactions in National Bank of Greece S.A. (NBG)

RG15-173 Restrictions on Transactions in Noranda Aluminium Holding Corporation (NOR)

November 27, 2015

RG15-173 Restrictions on Transactions in Noranda Aluminium Holding Corporation (NOR)

RG15-161 Restrictions on Transactions in Magnum Hunter Resources, Corp. (MHR)

November 11, 2015

RG15-161 Restrictions on Transactions in Magnum Hunter Resources, Corp. (MHR)

RG15-158 Restrictions on Transactions in Rock Creek Pharmaceuticals, Inc. (RCPI)

November 05, 2015

RG15-158 Restrictions on Transactions in Rock Creek Pharmaceuticals, Inc. (RCPI)

RG15-157 Restrictions on Transactions in Oncolytics Biotech, Inc. (ONCY)

November 05, 2015

RG15-157 Restrictions on Transactions in Oncolytics Biotech, Inc. (ONCY)

RG15-150 Restrictions on Transactions in Escalera Resources, Co. (ESCR)

October 29, 2015

RG15-150 Restrictions on Transactions in Escalera Resources, Co. (ESCR)

RG15-139 Restrictions on Transactions in American Apparel, Inc. (APP)

October 06, 2015

RG15-139 Restrictions on Transactions in American Apparel, Inc. (APP)

RG15-134 Restrictions on Transactions in STR Holdings, Inc. (STRI)

September 30, 2015

RG15-134 Restrictions on Transactions in STR Holdings, Inc. (STRI)

RG15-126 Restrictions on Transactions in New Source Energy Partners, L.P. (NSLP)

September 11, 2015

RG15-126 Restrictions on Transactions in New Source Energy Partners, L.P. (NSLP)

RG 15-125 Restrictions on Transactions in Silvercorp Metals, Inc. (SVM)

September 11, 2015

RG 15-125 Restrictions on Transactions in Silvercorp Metals, Inc. (SVM)

RG15-118 Restrictions on Transactions in Hercules Offshore, Inc. (HERO)

August 24, 2015

RG15-118 Restrictions on Transactions in Hercules Offshore, Inc. (HERO)

RG15-116 Restrictions on Transactions in ASM International N.V. (ASMI)

August 21, 2015

RG15-116 Restrictions on Transactions in ASM International N.V. (ASMI)

RG15-110 Restrictions on Transactions in Miller Energy Resources, Inc. (MILL)

July 31, 2015

RG15-110 Restrictions on Transactions in Miller Energy Resources, Inc. (MILL)

RG15-108 Restrictions on Transactions in Acorn Energy, Inc. (ACFN)

July 27, 2015

RG15-108 Restrictions on Transactions in Acorn Energy, Inc. (ACFN)

RG15-104 Restrictions on Transactions in Alpha Natural Resources, Inc. (ANR)

July 17, 2015

RG15-104 Restrictions on Transactions in Alpha Natural Resources, Inc. (ANR)

RG15-102 Restrictions on Transactions in Walter Energy, Inc. (WLT)

July 09, 2015

RG15-102 Restrictions on Transactions in Walter Energy, Inc. (WLT)

RG15-094 Restrictions on Transactions in MolyCorp, Inc. (MCP)

June 25, 2015

RG15-094 Restrictions on Transactions in MolyCorp, Inc. (MCP)

RG15-080 Restrictions on Transactions in Adjusted BHP Billiton Limited (BHP1)

May 18, 2015

RG15-080 Restrictions on Transactions in Adjusted BHP Billiton Limited (BHP1)

RG15-081 Restrictions on Transactions in Adjusted BHP Billiton PLC (BBL1)

May 18, 2015

RG15-081 Restrictions on Transactions in Adjusted BHP Billiton PLC (BBL1)

RG15-077 Restrictions on Transactions in American Eagle Corp. (AMZG)

May 12, 2015

RG15-077 Restrictions on Transactions in American Eagle Corp. (AMZG)

RG15-071 Restrictions on Transactions in Home Loan Servicing Solutions, Ltd. (HLSS & adj HLSS1)

April 29, 2015

RG15-071 Restrictions on Transactions in Home Loan Servicing Solutions, Ltd. (HLSS & adj HLSS1)

RG15-064 Restrictions on Transactions in North American Palladium Ltd. (PAL)

April 16, 2015

RG15-064 Restrictions on Transactions in North American Palladium Ltd. (PAL)

RG15-057 Restrictions on Transactions in GFI Group Inc. (GFIG)

April 10, 2015

RG15-057 Restrictions on Transactions in GFI Group Inc. (GFIG)

RG15-051 Restrictions on Transactions in Portugal Telecom, SGPS S.A. (PT)

March 30, 2015

RG15-051 Restrictions on Transactions in Portugal Telecom, SGPS S.A. (PT)

RG15-05 Restrictions on Transactions in Life Partners Holdings Inc. (LPHI)

March 30, 2015

RG15-05 Restrictions on Transactions in Life Partners Holdings Inc. (LPHI)

RG15-046 Restrictions on Transactions in SIGA Technologies Inc. (SIGA)

March 20, 2015

RG15-046 Restrictions on Transactions in SIGA Technologies Inc. (SIGA)

Restricted Series Closing Orders Only PBR

March 19, 2015

Restricted Series Closing Orders Only PBR

RG15-042 Restrictions on Transactions in Hyperdynamics Corp. (HDY)

March 11, 2015

RG15-042 Restrictions on Transactions in Hyperdynamics Corp. (HDY)

RG15-041 Restrictions on Transactions in Allied Nevada Gold, Corp. (ANV)

March 10, 2015

RG15-041 Restrictions on Transactions in Allied Nevada Gold, Corp. (ANV)

RG15-035 Restrictions on Transactions in Ivanhoe Energy, Inc. (IVAN)

March 03, 2015

RG15-035 Restrictions on Transactions in Ivanhoe Energy, Inc. (IVAN)

RG15-034 Restrictions on Transactions in BPZ Resources, Inc. (BPZ)

March 03, 2015

RG15-034 Restrictions on Transactions in BPZ Resources, Inc. (BPZ)

RG15-023 Restrictions on Whiting USA Trust I (WHX)

February 17, 2015

RG15-023 Restrictions on Whiting USA Trust I (WHX)

RG15-022 Restrictions on Transactions in The Governor and Company of the Bank of Ireland (IRE)

February 17, 2015

RG15-022 Restrictions on Transactions in The Governor and Company of the Bank of Ireland (IRE)

RG15-017 Restrictions on Transactions in Cache, Inc. (CACH)

February 05, 2015

RG15-017 Restrictions on Transactions in Cache, Inc. (CACH)

RG15-016 Restrictions on Transactions in Advanced Emissions Solutions, Inc. (ADES)

February 03, 2015

RG15-016 Restrictions on Transactions in Advanced Emissions Solutions, Inc. (ADES)

RG15-008 Restrictions on Transactions in UBS AG (OUBS)

January 20, 2015

RG15-008 Restrictions on Transactions in UBS AG (OUBS)

RG15-005 Restrictions on Transactions in Options on iShares MSCI All Peru Capped Index Fund (EPU)

January 14, 2015

RG15-005 Restrictions on Transactions in Options on iShares MSCI All Peru Capped Index Fund (EPU)

RG15-004 Restrictions on Transactions in Quicksilver Resources Inc. (KWK)

January 08, 2015

RG15-004 Restrictions on Transactions in Quicksilver Resources Inc. (KWK)