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-2016-0536
2016-08-31
RevenueShares Ultra Dividend Fund
Q3
2016
PC-2016-0535
2016-08-31
REX Gold Hedged ETFs
Q3
2016
PC-2016-0534
2016-08-31
REX VolMAXX VIX Weekly Futures Strategy ETF
Q3
2016
PC-2016-0533
2016-08-31
RiverFront Dynamic Income ETFs
Q3
2016
PC-2016-0532
2016-08-31
RiverFront Dynamic US ETFs
Q3
2016
PC-2016-0531
2016-08-31
RiverFront Strategic Income Fund
Q3
2016
PC-2016-0530
2016-08-31
Robo-StoxTM Global Robotics and Automation Index ETF
Q3
2016
PC-2016-0529
2016-08-31
Russell Contrarian ETF
Q3
2016
PC-2016-0528
2016-08-31
Rydex Funds
Q3
2016
PC-2016-0527
2016-08-31
Rydex Funds
Q3
2016
PC-2016-0526
2016-08-31
Schwab Short-Term U.S. Treasury, U.S. Tips, and Intermediate-Term U.S. Treasury ETFs
Q3
2016
PC-2016-0525
2016-08-31
Schwab Strategic Trust ETFs
Q3
2016
PC-2016-0524
2016-08-31
Schwab Strategic Trust
Q3
2016
PC-2016-0523
2016-08-31
Schwab Strategic Trust
Q3
2016
PC-2016-0522
2016-08-31
Schwab U.S. Aggregate Bond ETF
Q3
2016
PC-2016-0521
2016-08-31
Schwab U.S. Dividend Equity ETF
Q3
2016
PC-2016-0520
2016-08-31
Schwab Strategic Trust
Q3
2016
PC-2016-0519
2016-08-31
Schwab U.S. Mid-Cap and REIT ETF
Q3
2016
PC-2016-0518
2016-08-31
Select Sector SPDR Funds
Q3
2016
PC-2016-0517
2016-08-31
O’Shares FTSE U.S. Quality Dividend ETF
Q3
2016
PC-2016-0516
2016-08-31
Sit Rising Rate ETF
Q3
2016
PC-2016-0515
2016-08-31
SPDR DB International Government Inflation-Protected Bond ETF
Q3
2016
PC-2016-0514
2016-08-31
SPDR® MSCI USA Quality Mix ETF
Q3
2016
PC-2016-0513
2016-08-31
SPDR® S&P 500 Buyback ETF
Q3
2016
PC-2016-0512
2016-08-31
SPDR Barclays 0-5 Year TIPS ETF
Q3
2016
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