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-2020-0090
2020-08-18
Goldman Sachs Access Investment Grade Corporate 1-5 Year Bond ETF
Q3
2020
PC-2020-0089
2020-08-18
Siren Large Cap Blend Index ETF
Q3
2020
PC-2020-0088
2020-08-18
Innovator ETFs Trust
Q3
2020
PC-2020-0087
2020-08-18
TrueShares Structured Outcome (July) ETF
Q3
2020
PC-2020-0086
2020-08-18
AIM ETF Products Trust
Q3
2020
PC-2020-0085
2020-07-28
Direxion Work From Home ETF
Q3
2020
PC-2020-0084
2020-07-28
Pacer BioThreat Strategy ETF
Q3
2020
PC-2020-0083
2020-07-28
Northern Lights Fund Trust
Q3
2020
PC-2020-0082
2020-07-28
iShares Trust
Q3
2020
PC-2020-0081
2020-07-28
Pacer Funds Trust
Q3
2020
PC-2020-0080
2020-07-28
Global X Variable Rate Preferred ETF
Q3
2020
PC-2020-0079
2020-07-28
Global X S&P Catholic Values Developed ex-U.S. ETF
Q3
2020
PC-2020-0078
2020-07-28
ETRACS Alerian Midstream Energy Index ETN
Q3
2020
PC-2020-0077
2020-07-28
First Trust Exchange-Traded Fund VIII
Q3
2020
PC-2020-0076
2020-07-28
ETFMG Treatments Testing and Advancements ETF
Q3
2020
PC-2020-0075
2020-07-28
iShares Trust
Q3
2020
PC-2020-0074
2020-07-28
iShares Trust
Q3
2020
PC-2020-0073
2020-07-28
Principal Spectrum Tax-Advantaged Dividend Active ETF
Q3
2020
PC-2020-0072
2020-07-28
Franklin Liberty Treasure Bond ETF
Q3
2020
PC-2020-0071
2020-07-28
Direxion Shares ETF Trust
Q3
2020
PC-2020-0070
2020-07-28
AIM ETF Products Trust
Q3
2020
PC-2020-0069
2020-07-28
Fidelity Covington Trust
Q3
2020
PC-2020-0068
2020-07-28
Roundhill Sports Betting & iGaming ETF
Q3
2020
PC-2020-0067
2020-07-28
Global X Emerging Markets Bond ETF
Q3
2020
PC-2020-0066
2020-07-28
UBS Notes
Q3
2020
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