General Circulars
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
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
Regulatory Circulars
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
2020-07-30
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
Q3
2020
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2020
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2019
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
Q1
2018
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2018
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
Q1
2017
2016-08-29
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q3
2016
Product Circulars
Exchange Traded Product Circulars may be accessed directly from the listing exchanges. See PC-2026-0494.
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
