General Circulars

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Year
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File No.
Date
Description
2026-03-04
SEC Section 31 Fee Rate Advisory
2026
2025-04-09
SEC Section 31 Fee Rate Advisory
Q2
2025
2024-04-17
SEC Section 31 Fee Rate Advisory
Q2
2024
2023-03-02
SEC Section 31 Fee Rate Advisory
Q1
2023
2022-04-20
SEC Section 31 Fee Rate Advisory
Q2
2022
2021-01-19
SEC Section 31 Fee Rate Advisory
Q1
2021
2020-01-14
SEC Section 31 Fee Rate Advisory
Q1
2020
2019-04-03
SEC Section 31 Fee Rate Advisory
Q2
2019
2018-05-30
SEC Section 31 Fee Rate Advisory
Q2
2018
2017-06-05
SEC Section 31 Fee Rate Advisory
Q2
2017
2016-08-11
Collection of Exchange fees and other claims and billing policy
Q3
2016
2016-08-02
Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch
Q3
2016
2016-07-13
Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors
Q3
2016
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Regulatory Circulars

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Year
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File No.
Date
Description
2026-07-13
Amendments to IEX Rule 16.160 related to the distribution of Information Circulars for UTP Exchange Traded Products
Q3
2026
2026-02-05
Amendments to IEX's Voluntary Termination and Retention of Jurisdiction Rules
2026
2026-01-05
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
2026
2026-01-05
Notice Regarding Filing of Annual Reports
2026
2025-11-07
Round Lot Definition Change and Market Makers’ Two-Sided Quote Obligations
2025
2025-08-13
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
2025
2025-01-10
Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms
Q1
2025
2025-01-08
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2025
2025-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2025
2025-01-02
Notice Regarding Filing of Annual Audited Reports
Q1
2025
2024-07-01
Reminding SRO Members and Member Organizations of the CMRWG
Q3
2024
2024-04-17
Enhancements to FINRA Firm Gateway and Regulatory Notifications
Q2
2024
2024-01-03
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2024
2024-01-03
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2024
2024-01-03
Notice Regarding Filing of Annual Audited Reports
Q1
2024
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2023
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2023
2023-01-04
Notice Regarding Filing of Annual Audited Reports
Q1
2023
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q3
2022
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2022
2022-01-05
Notice Regarding Filing of Annual Audited Reports
Q1
2022
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2021
2021-01-05
Notice Regarding Filing of Annual Audited Reports
Q1
2021
2020-07-30
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
Q3
2020
2020-07-17
Industry Presentation by CMRWG on CAT Compliance Rules
Q3
2020
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Product Circulars

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Year
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File No.
Date
Description
2026-08-03
Innovator ETFs Trust
Q3
2026
2026-08-03
RJ ClariVest Capital Appreciation ETF
Q3
2026
2026-07-30
JPMorgan U.S. Large Cap Value Plus ETF
Q3
2026
2026-07-29
Aristotle Capital
Q3
2026
2026-07-29
Leverage Shares 100% TSLA AND 100% SPCX Daily ETF
Q3
2026
2026-07-28
Wasatch SmallMid Cap ETF
Q3
2026
2026-07-28
Amplify Fairlead Tactical Bitcoin ETF
Q3
2026
2026-07-28
Direxion Shares ETF Trust
Q3
2026
2026-07-27
Morgan Stanley Ethereum Solana Trust
Q3
2026
2026-07-27
Baillie Gifford U.S. Equity Growth ETF
Q3
2026
2026-07-27
Investment Managers Series Trust II
Q3
2026
2026-07-27
T-REX 2X Inverse DRAM Daily Target ETF
Q3
2026
2026-07-24
Truth Social America First ETF
Q3
2026
2026-07-24
BNY Mellon ETF Trust II
Q3
2026
2026-07-24
Bridgeway Capital Management
Q3
2026
2026-07-22
ProShares Ultra QQQ Equal Weight
Q3
2026
2026-07-22
Alpha Architect US Equity 4 ETF
Q3
2026
2026-07-22
Leverage Shares 2X Long Memory Daily ETF
Q3
2026
2026-07-22
First Trust Indxx Quality Precious Metals Miners ETF
Q3
2026
2026-07-21
HOTCHKIS & WILEY FUNDS
Q3
2026
2026-07-20
Tema Healthcare AI ETF
Q3
2026
2026-07-17
International Developed Markets Select Equity ETF
Q3
2026
2026-07-17
FT Vest U.S. Equity Buffer & Digital Return ETF - July
Q3
2026
2026-07-16
Defiance AI Hyperscale Leaders ETF
Q3
2026
2026-07-15
Tidal Trust III
Q3
2026
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