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Large Options Position Reporting

09-47; 07-03
Late Filing Fees

By-Laws Amendments; 04-09

Establishment of; 01-54
Late Payments

NASDAQ; 03-80

Lending

(see Loans)

Leverage

09-06
Licensing 06-31

Limit Orders

08-31; 07-19

Display Obligations; 10-42; 99-99
Display Rule; 12-37; 99-99
Manning Interpretation; 11-24; 05-64; 03-74; 00-70

Minimum Price Improvement; 09-14
OATS Display; 00-26
Protection Rule; 11-24; 09-15; 09-14; 08-49; 08-31; 07-19; 03-74; 01-46; 98-78; 98-05; 97-57

Limit Up/Limit Down (LULD)

13-12

Liquidation

10-03

List or Fixed Offering Price Transactions

TRN 12/21/11

Loads on Reinvested Dividends

Locked and Crossed Markets; 04-07

Public Offerings of DPPs and REITs; 08-35

Loans

Consent Agreements; 10-03

Lending and Borrowing Arrangements; 10-03

Lending Between Customers; 01-06
Locked and Crossed Markets

Loads on Reinvested Dividends; 04-07

Rule Changes; 00-29; 98-85
Rule Compliance; 00-42

Locking and Crossing Quotations

OTC Equity Securities; 10-42

Low-Priced Equity Securities

11-15