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-2017-0003
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
Q1
2017
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-2016-0586
2016-08-31
PureFunds ETFs
Q3
2016
PC-2016-0585
2016-08-31
PureFunds ISE Cyber Security
Q3
2016
PC-2016-0584
2016-08-31
Pyxis/iBoxx Senior Loan ETF
Q3
2016
PC-2016-0583
2016-08-31
AdvisorShares QAM Equity Hedge ETF
Q3
2016
PC-2016-0582
2016-08-31
QuantShares Hedged Dividend Income Fund
Q3
2016
PC-2016-0581
2016-08-31
QuantShares U.S. Market Neutral Anti-Beta Fund
Q3
2016
PC-2016-0580
2016-08-31
Accuvest Global Echo ETF
Q3
2016
PC-2016-0579
2016-08-31
ALPS ETF Trust
Q3
2016
PC-2016-0578
2016-08-31
ALPS ETF Trust
Q3
2016
PC-2016-0577
2016-08-31
Amplify Online Retail ETF
Q3
2016
PC-2016-0576
2016-08-31
Arrow Dow Jones Global Yield ETF
Q3
2016
PC-2016-0575
2016-08-31
BlueStar TA-BIGITech Israel Technology ETF
Q3
2016
PC-2016-0574
2016-08-31
Cambria ETF Trust
Q3
2016
PC-2016-0573
2016-08-31
Claymore/AlphaShares China Small Cap Index ETF
Q3
2016
PC-2016-0572
2016-08-31
Claymore Exchange Traded Funds
Q3
2016
PC-2016-0571
2016-08-31
Claymore/Delta Global Shipping Index ETF
Q3
2016
PC-2016-0570
2016-08-31
Claymore/MAC Global Solar Energy Index ETF
Q3
2016
PC-2016-0569
2016-08-31
Claymore Exchange-Traded Funds
Q3
2016
PC-2016-0568
2016-08-31
PowerShares Actively Managed ETF Trust
Q3
2016
PC-2016-0567
2016-08-31
DBX ETF Trust
Q3
2016
PC-2016-0566
2016-08-31
Deutsche X-trackers Japan JPX-Nikkei 400 Equity ETF
Q3
2016
PC-2016-0565
2016-08-31
Deutsche X-trackers Japan JPX-Nikkei 400 Hedged Equity ETF
Q3
2016
PC-2016-0564
2016-08-31
Direxion Daily High Yield Bear 2X Shares
Q3
2016
PC-2016-0563
2016-08-31
Direxion Daily S&P 500 Bear 1X Shares
Q3
2016
PC-2016-0562
2016-08-31
Direxion Shares ETF Trust
Q3
2016
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