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-2022-0003
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q3
2022
RC-2022-0002
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2022
RC-2022-0001
2022-01-05
Notice Regarding Filing of Annual Audited Reports
Q1
2022
RC-2021-0002
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2021
RC-2021-0001
2021-01-05
Notice Regarding Filing of Annual Audited Reports
Q1
2021
RC-2020-0007
2020-07-30
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
Q3
2020
RC-2020-0006
2020-07-17
Industry Presentation by CMRWG on CAT Compliance Rules
Q3
2020
RC-2020-0005
2020-07-07
Regulatory Coordination Concerning CAT Reporting Compliance
Q3
2020
RC-2020-0004
2020-04-08
Establishment of the CMRWG
Q2
2020
RC-2020-0003
2020-03-17
SEC No-Action Relief regarding CAT Reporting
Q1
2020
RC-2020-0002
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2020
RC-2020-0001
2020-01-07
Notice Regarding Filing of Annual Audited Reports
Q1
2020
RC-2019-0006
2019-09-24
Market Quality Incentive Programs
Q3
2019
RC-2019-0005
2019-07-23
Chief Compliance Officer examination and registration requirements
Q3
2019
RC-2019-0004
2019-02-01
Consolidated Audit Trail (CAT) Update
Q1
2019
RC-2019-0003
2019-01-10
Active Military Leave Guidance
Q1
2019
RC-2019-0002
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2019
RC-2019-0001
2019-01-10
Notice Regarding Filing of Annual Audited Reports
Q1
2019
RC-2018-0004
2018-09-28
Amendments to Membership Registration and Qualification Requirements
Q3
2018
RC-2018-0003
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
Q1
2018
RC-2018-0002
2018-01-09
Notice Regarding Filing of Annual Audited Reports
Q1
2018
RC-2018-0001
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2018
RC-2017-0005
2017-10-03
Introduction of the IEX Market Maker Peg Order Type
Q4
2017
RC-2017-0004
2017-04-11
Consolidated Audit Trail ("CAT") Clock Synchronization Study
Q2
2017
RC-2017-0003
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
Q1
2017
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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-2021-0108
2021-03-31
Syntax Stratified U.S. Total Market ETF
Q1
2021
PC-2021-0107
2021-03-31
BlackRock Intermediate Muni Income Bond ETF
Q1
2021
PC-2021-0106
2021-03-31
BlackRock High Yield Muni Income Bond ETF
Q1
2021
PC-2021-0105
2021-03-31
Stance Equity ESG Large Cap Core ETF
Q1
2021
PC-2021-0104
2021-03-31
Mairs & Power Minnesota Municipal Bond ETF
Q1
2021
PC-2021-0103
2021-03-31
JPMorgan Emerging Markets Equity Core ETF
Q1
2021
PC-2021-0102
2021-03-31
Defiance Next Gen H2 ETF
Q1
2021
PC-2021-0101
2021-03-31
ASYMshares ASYMmetric 500 ETF
Q1
2021
PC-2021-0100
2021-03-31
Fidelity Merrimack Street Trust
Q1
2021
PC-2021-0099
2021-03-31
JPMorgan Short Duration Core Plus ETF
Q1
2021
PC-2021-0098
2021-03-31
Alger Mid Cap 40 ETF
Q1
2021
PC-2021-0097
2021-03-31
Corbett Road Tactical Opportunity ETF
Q1
2021
PC-2021-0096
2021-03-31
DBX ETF Trust
Q1
2021
PC-2021-0095
2021-03-31
Global X China Disruption ETF
Q1
2021
PC-2021-0094
2021-03-31
Humankind US Stock ETF
Q1
2021
PC-2021-0093
2021-03-31
Wilshire wShares Enhanced Gold Trust
Q1
2021
PC-2021-0092
2021-03-31
American Century ETF Trust
Q1
2021
PC-2021-0091
2021-03-31
First Trust TCW Emerging Markets Debt ETF
Q1
2021
PC-2021-0090
2021-03-31
Gabelli Growth Innovators ETF
Q1
2021
PC-2021-0089
2021-03-31
Virtus Newfleet ABS-MBS ETF
Q1
2021
PC-2021-0088
2021-03-31
AdvisorShares Alpha DNA Equity Sentiment ETF
Q1
2021
PC-2021-0087
2021-03-31
UBS Notes
Q1
2021
PC-2021-0086
2021-03-31
Gabelli Love Our Planet & People ETF
Q1
2021
PC-2021-0085
2021-03-31
TrueShares Structured Outcome (February) ETF
Q1
2021
PC-2021-0084
2021-03-31
TrueShares Low Volatility Equity Income ETF
Q1
2021
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