General Circulars

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Year
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File No.
Date
Description
2026-03-04
SEC Section 31 Fee Rate Advisory
2026
2025-04-09
SEC Section 31 Fee Rate Advisory
Q2
2025
2024-04-17
SEC Section 31 Fee Rate Advisory
Q2
2024
2023-03-02
SEC Section 31 Fee Rate Advisory
Q1
2023
2022-04-20
SEC Section 31 Fee Rate Advisory
Q2
2022
2021-01-19
SEC Section 31 Fee Rate Advisory
Q1
2021
2020-01-14
SEC Section 31 Fee Rate Advisory
Q1
2020
2019-04-03
SEC Section 31 Fee Rate Advisory
Q2
2019
2018-05-30
SEC Section 31 Fee Rate Advisory
Q2
2018
2017-06-05
SEC Section 31 Fee Rate Advisory
Q2
2017
2016-08-11
Collection of Exchange fees and other claims and billing policy
Q3
2016
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
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Regulatory Circulars

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Year
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File No.
Date
Description
2026-09-25
IEX Options: Obvious or Catastrophic Error Submissions
Q3
2026
2026-09-24
IEX Options: Market Maker Quote Size
Q3
2026
2026-09-24
IEX Options: Penny Program
Q3
2026
2026-09-24
IEX Options: Capacity Codes
Q3
2026
2026-09-24
IEX Options: Rules Incorporated by Reference
Q3
2026
2026-09-24
IEX Options: Compliance with Section 11(a) of the Securities Exchange Act of 1934 and the Rules thereunder
Q3
2026
2026-08-07
Update to Equities Trading Halt Rules
Q3
2026
2026-08-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q3
2026
2026-07-13
Amendments to IEX Rule 16.160 related to the distribution of Information Circulars for UTP Exchange Traded Products
Q3
2026
2026-02-05
Amendments to IEX's Voluntary Termination and Retention of Jurisdiction Rules
2026
2026-01-05
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
2026
2026-01-05
Notice Regarding Filing of Annual Reports
2026
2025-11-07
Round Lot Definition Change and Market Makers’ Two-Sided Quote Obligations
2025
2025-08-13
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
2025
2025-01-10
Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms
Q1
2025
2025-01-08
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2025
2025-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2025
2025-01-02
Notice Regarding Filing of Annual Audited Reports
Q1
2025
2024-07-01
Reminding SRO Members and Member Organizations of the CMRWG
Q3
2024
2024-04-17
Enhancements to FINRA Firm Gateway and Regulatory Notifications
Q2
2024
2024-01-03
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2024
2024-01-03
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2024
2024-01-03
Notice Regarding Filing of Annual Audited Reports
Q1
2024
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2023
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2023
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Product Circulars

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Year
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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
2017-12-11
AAM S&P High Dividend Value ETF
Q4
2017
2017-12-11
JPMorgan Diversified Event Driven ETF
Q4
2017
2017-12-11
USCF ETF Trust
Q4
2017
2017-12-11
ProShares Long Online/Short Stores ETF
Q4
2017
2017-12-11
ProShares Decline of the Retail Store ETF
Q4
2017
2017-11-15
Franklin Templeton ETF Trust
Q4
2017
2017-11-15
J.P. Morgan Exchange-Traded Fund Trust
Q4
2017
2017-11-15
Reverse Cap Weighted U.S. Large Cap ETF
Q4
2017
2017-11-15
Virtus Glovista Emerging Markets ETF
Q4
2017
2017-11-15
iShares Trust
Q4
2017
2017-11-15
The Inspire 100 ETF
Q4
2017
2017-11-15
John Hancock Multifactor Small Cap ETF
Q4
2017
2017-11-15
Entrepreneur 30 Fund
Q4
2017
2017-11-15
First Trust Municipal High Income ETF
Q4
2017
2017-11-15
Global X U.S. Preferred ETF
Q4
2017
2017-11-15
Vanguard Total Corporate Bond ETF
Q4
2017
2017-11-15
Principal International Multi-Factor Index ETF
Q4
2017
2017-11-15
First Trust SMID Cap Rising Dividend Achievers ETF
Q4
2017
2017-11-15
iShares 5-10, 10+ Year Investment Grade Corporate Bond ETF
Q4
2017
2017-11-15
Credit Suisse AG ETNs
Q4
2017
2017-11-08
Active Weighting Funds ETF Trust
Q4
2017
2017-11-08
PowerShares Exchange-Traded Fund Trust II
Q4
2017
2017-11-08
ETF Series Solutions Trust
Q4
2017
2017-11-08
USAA ETF Trust
Q4
2017
2017-11-08
FormulaFolios Tactical Growth ETFs
Q4
2017
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