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
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
Q1
2017
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
Q1
2017
2017-01-06
Notice Regarding Filing of Annual Audited Reports
Q1
2017
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
2017-04-13
Arrow Reserve Capital Management ETF
Q2
2017
2017-04-13
PowerShares Exchange-Traded Fund Trust II
Q2
2017
2017-04-13
Cambria Tail Risk ETF
Q2
2017
2017-04-13
iPath Series B Bloomberg Natural Gas Total Return Subindex Total Return ETN
Q2
2017
2017-03-13
Northern Lights Fund Trust IV
Q1
2017
2017-03-13
VanEck Vectors Green Bond ETF
Q1
2017
2017-03-13
Franklin Templeton ETF Trust
Q1
2017
2017-03-13
IQ S&P High Yield Low Volatility Bond ETF
Q1
2017
2017-03-13
WisdomTree Global ex-Mexico Equity Fund
Q1
2017
2017-03-13
PowerShares Actively Managed Exchange-Traded Fund Trust
Q1
2017
2017-03-13
Tortoise Water Fund
Q1
2017
2017-03-13
Global X Founder-Run Companies ETF
Q1
2017
2017-03-13
Global X U.S. Infrastructure Development ETF
Q1
2017
2017-03-13
SPDR Long Dollar Gold Trust
Q1
2017
2017-03-13
First Trust TCW Opportunistic Fixed Income ETF
Q1
2017
2017-03-13
InfraCap REIT Preferred ETF
Q1
2017
2017-01-30
ALPS/Dorsey Wright Sector Momentum ETF
Q1
2017
2017-01-30
QuantX Funds
Q1
2017
2017-01-30
Davis Fundamental ETF Trust
Q1
2017
2017-01-30
Virtus Cumberland Municipal Bond ETF
Q1
2017
2017-01-30
PowerShares Treasury Collateral Portfolio
Q1
2017
2017-01-11
Elkhorn ETFTrust
Q1
2017
2017-01-11
Legg Mason Global Infrastructure ETF
Q1
2017
2017-01-11
NuShares ETF Trust
Q1
2017
2017-01-11
WBI Power Factor High Dividend ETF
Q1
2017
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