Information Circulars

General Circulars

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File No.
Date
Description
IC-2026-0001
2026-03-04
SEC Section 31 Fee Rate Advisory
2026
IC-2025-0001
2025-04-09
SEC Section 31 Fee Rate Advisory
Q2
2025
IC-2024-0001
2024-04-17
SEC Section 31 Fee Rate Advisory
Q2
2024
IC-2023-0001
2023-03-02
SEC Section 31 Fee Rate Advisory
Q1
2023
IC-2022-0001
2022-04-20
SEC Section 31 Fee Rate Advisory
Q2
2022
IC-2021-0001
2021-01-19
SEC Section 31 Fee Rate Advisory
Q1
2021
IC-2020-0001
2020-01-14
SEC Section 31 Fee Rate Advisory
Q1
2020
IC-2019-0001
2019-04-03
SEC Section 31 Fee Rate Advisory
Q2
2019
IC-2018-0001
2018-05-30
SEC Section 31 Fee Rate Advisory
Q2
2018
IC-2017-0001
2017-06-05
SEC Section 31 Fee Rate Advisory
Q2
2017
IC-2016-0003
2016-08-11
Collection of Exchange fees and other claims and billing policy
Q3
2016
IC-2016-0002
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
IC-2016-0001
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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File No.
Date
Description
RC-2017-0002
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
Q1
2017
RC-2017-0001
2017-01-06
Notice Regarding Filing of Annual Audited Reports
Q1
2017
RC-2016-0001
2016-08-29
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q3
2016
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Product Circulars

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Exchange Traded Product Circulars may be accessed directly from the listing exchanges. See PC-2026-0494.

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File No.
Date
Description
PC-2021-0133
2021-05-10
Acruence Active Hedge U.S. Equity ETF
Q2
2021
PC-2021-0132
2021-05-10
Invesco MSCI Green Building ETF
Q2
2021
PC-2021-0131
2021-05-10
AdvisorShares Trust
Q2
2021
PC-2021-0130
2021-05-10
First Trust Exchange-Traded Fund VIII
Q2
2021
PC-2021-0129
2021-05-10
Uncommon Portfolio Design Core Equity ETF
Q2
2021
PC-2021-0128
2021-05-10
PGIM Active Aggregate Bond ETF
Q2
2021
PC-2021-0127
2021-05-10
VanEck Vectors Digital Transformation ETF
Q2
2021
PC-2021-0126
2021-05-10
Global X Clean Water ETF
Q2
2021
PC-2021-0125
2021-05-10
BlackRock ETF Trust
Q2
2021
PC-2021-0124
2021-05-10
Vanguard Ultra-Short Bond ETF
Q2
2021
PC-2021-0123
2021-05-10
SPDR Bloomberg Barclays Emerging Markets USD Bond ETF
Q2
2021
PC-2021-0122
2021-05-10
Innovator ETFs Trust
Q2
2021
PC-2021-0121
2021-05-10
Trajan Wealth Income Opportunities ETF
Q2
2021
PC-2021-0120
2021-05-10
Pacer Funds Trust
Q2
2021
PC-2021-0119
2021-05-10
Innovator ETFs Trust
Q2
2021
PC-2021-0118
2021-05-10
Democracy International Fund
Q2
2021
PC-2021-0117
2021-05-10
TrueShares Structured Outcome (April) ETF
Q2
2021
PC-2021-0116
2021-05-10
John Hancock Corporate Bond ETF
Q2
2021
PC-2021-0115
2021-03-31
ARK Space Exploration & Innovation ETF
Q1
2021
PC-2021-0114
2021-03-31
Guinness Atkinson Funds
Q1
2021
PC-2021-0113
2021-03-31
iShares International Developed Small Cap Value Factor ETF
Q1
2021
PC-2021-0112
2021-03-31
Direxion Hydrogen ETF
Q1
2021
PC-2021-0111
2021-03-31
USCF Midstream Energy Income Fund ETF
Q1
2021
PC-2021-0110
2021-03-31
Northern Lights Fund Trust IV
Q1
2021
PC-2021-0109
2021-03-31
First Trust Exchange-Traded Fund VIII
Q1
2021
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