Information Circulars

2026-03-04

SEC Section 31 Fee Rate Advisory

2025-04-09

SEC Section 31 Fee Rate Advisory

2024-04-17

SEC Section 31 Fee Rate Advisory

2023-03-02

SEC Section 31 Fee Rate Advisory

2022-04-20

SEC Section 31 Fee Rate Advisory

2021-01-19

SEC Section 31 Fee Rate Advisory

2020-01-14

SEC Section 31 Fee Rate Advisory

2019-04-03

SEC Section 31 Fee Rate Advisory

2018-05-30

SEC Section 31 Fee Rate Advisory

2017-06-05

SEC Section 31 Fee Rate Advisory

2016-08-11

Collection of Exchange fees and other claims and billing policy

2016-08-02

Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch

2016-07-13

Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors

2026-02-05

Amendments to IEX's Voluntary Termination and Retention of Jurisdiction Rules

2026-01-05

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2026-01-05

Notice Regarding Filing of Annual Reports

2025-11-07

Round Lot Definition Change and Market Makers’ Two-Sided Quote Obligations

2025-08-13

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2025-01-10

Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms

2025-01-08

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2025-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2025-01-02

Notice Regarding Filing of Annual Audited Reports

2024-07-01

Reminding SRO Members and Member Organizations of the CMRWG

2024-04-17

Enhancements to FINRA Firm Gateway and Regulatory Notifications

2024-01-03

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2024-01-03

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2024-01-03

Notice Regarding Filing of Annual Audited Reports

2023-01-04

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2023-01-04

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2023-01-04

Notice Regarding Filing of Annual Audited Reports

2022-09-15

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2022-01-05

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2022-01-05

Notice Regarding Filing of Annual Audited Reports

2021-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2021-01-05

Notice Regarding Filing of Annual Audited Reports

2020-07-30

Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules

2020-07-17

Industry Presentation by CMRWG on CAT Compliance Rules

2020-07-07

Regulatory Coordination Concerning CAT Reporting Compliance

2018-11-20

AdvisorShares DoubleLine Value Equity ETF

2018-11-09

Xtrackers MSCI Latin America Pacific Alliance ETF

2018-11-09

VanEck Vectors Video Gaming and eSports ETF

2018-11-09

VanEck Vectors ETF Trust

2018-11-09

SPDR Series Trust

2018-11-09

Reality Shares Fundstrat DQM Long ETF

2018-11-09

PGIM QMA Strategic Alpha Large-Cap Core ETF

2018-11-09

Motley Fool Small-Cap Growth ETF

2018-11-09

JPMorgan Ultra-Short Municipal ETF

2018-11-09

JPMorgan Municipal ETF

2018-11-09

iShares ESG U.S. Aggregate Bond ETF

2018-11-09

First Trust IPOX Europe Equity Opportunities ETF

2018-11-09

First Trust Exchange-Traded Fund III

2018-11-09

Distillate U.S. Fundamental Stability & Value ETF

2018-10-12

Western Asset Total Return ETF

2018-10-12

PGIM Active High Yield Bond ETF

2018-10-12

LeaderShares AlphaFactor US Core Equity ETF

2018-10-12

John Hancock Multifactor Emerging Markets ETF

2018-10-12

Invesco Exchange-Traded Self-Indexed Fund Trust

2018-10-12

Innovator ETFs Trust

2018-10-12

Goldman Sachs Access Inflation Protected USD Bond ETF

2018-10-12

ETRACS 2xMonthly Pay Leveraged Preferred Stock Index ETN due September 25, 2048

2018-09-28

Xtrackers MSCI EAFE ESG Leaders Equity ETF

2018-09-28

Vesper U.S. Large Cap Short-Term Reversal Strategy ETF

2018-09-28

Vanguard World Fund