General Circulars

All
Year
Down Arrow Icon
OR
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
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
No results found.
There are no results with this criteria. Try changing your search.

Regulatory Circulars

All
Year
Down Arrow Icon
OR
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
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
No results found.
There are no results with this criteria. Try changing your search.

Product Circulars

All
Year
Down Arrow Icon
OR

‍

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
2016-08-31
Master Income ETF
Q3
2016
2016-08-31
MomentumShares International Quantitative Momentum ETF
Q3
2016
2016-08-31
O’Shares FTSE Quality Dividend ETFs
Q3
2016
2016-08-31
O’Shares FTSE Quality Dividend Hedged ETFs
Q3
2016
2016-08-31
Pacer Funds Trust
Q3
2016
2016-08-31
PIMCO 1-3 Year U.S. Treasury Index Fund ETF
Q3
2016
2016-08-31
PIMCO Enhanced Short Maturity Strategy Fund
Q3
2016
2016-08-31
PowerShares Funds
Q3
2016
2016-08-31
PowerShares Commodity Index Tracking Fund
Q3
2016
2016-08-31
PowerShares DB 3X Long 25+ Year Treasury Bond ETNs, PowerShares DB 3X Short 25+ Year Treasury Bond ETNs
Q3
2016
2016-08-31
PowerShares DB Base Metal ETNs
Q3
2016
2016-08-31
Deutsche Bank AG ETNs
Q3
2016
2016-08-31
PowerShares DB Commodity Fund
Q3
2016
2016-08-31
PowerShares DB Crude Oil Long ETN
Q3
2016
2016-08-31
PowerShares DB Exchange Traded Notes
Q3
2016
2016-08-31
PowerShares DB G10 Currency Harvest Fund
Q3
2016
2016-08-31
PowerShares DB Japanese Government Bond Futures ETNs
Q3
2016
2016-08-31
PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio
Q3
2016
2016-08-31
PowerShares DB US Dollar Index Bullish and Bearish Funds
Q3
2016
2016-08-31
PowerShares DWA Momentum & Low Volatility Rotation Portfolio
Q3
2016
2016-08-31
PowerShares DWA SmallCap Technical Leaders Portfolio
Q3
2016
2016-08-31
PowerShares DWA Tactical Multi-Asset Income Portfolio
Q3
2016
2016-08-31
PowerShares Emerging Markets Infrastructure Portfolio
Q3
2016
2016-08-31
PowerShares ETF Trust II
Q3
2016
2016-08-31
PowerShares Europe Currency Hedged Low Volatility Portfolio
Q3
2016
No results found.
There are no results with this criteria. Try changing your search.