Information Circulars

2026-03-04

SEC Section 31 Fee Rate Advisory

2025-04-09

SEC Section 31 Fee Rate Advisory

2024-04-17

SEC Section 31 Fee Rate Advisory

2023-03-02

SEC Section 31 Fee Rate Advisory

2022-04-20

SEC Section 31 Fee Rate Advisory

2021-01-19

SEC Section 31 Fee Rate Advisory

2020-01-14

SEC Section 31 Fee Rate Advisory

2019-04-03

SEC Section 31 Fee Rate Advisory

2018-05-30

SEC Section 31 Fee Rate Advisory

2017-06-05

SEC Section 31 Fee Rate Advisory

2016-08-11

Collection of Exchange fees and other claims and billing policy

2016-08-02

Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch

2016-07-13

Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors

2020-04-08

Establishment of the CMRWG

2020-03-17

SEC No-Action Relief regarding CAT Reporting

2020-01-07

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2020-01-07

Notice Regarding Filing of Annual Audited Reports

2019-09-24

Market Quality Incentive Programs

2019-07-23

Chief Compliance Officer examination and registration requirements

2019-02-01

Consolidated Audit Trail (CAT) Update

2019-01-10

Active Military Leave Guidance

2019-01-10

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2019-01-10

Notice Regarding Filing of Annual Audited Reports

2018-09-28

Amendments to Membership Registration and Qualification Requirements

2018-03-05

Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements

2018-01-09

Notice Regarding Filing of Annual Audited Reports

2018-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2017-10-03

Introduction of the IEX Market Maker Peg Order Type

2017-04-11

Consolidated Audit Trail ("CAT") Clock Synchronization Study

2017-03-09

Consolidated Audit Trail ("CAT") Clock Synchronization Requirements

2017-01-10

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update

2017-01-06

Notice Regarding Filing of Annual Audited Reports

2016-08-29

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2016-08-31

Direxion Shares ETF Trust

2016-08-31

AB Svensk Exportkredit Elements

2016-08-31

AB Svensk Exportkredit Elements

2016-08-31

Elkhorn FTSE RAFI U.S. Equity Income ETF

2016-08-31

Elkhorn S&P Capital Expenditures Portfolio

2016-08-31

Etho Climate Leadership U.S. ETF

2016-08-31

ETRACS Alerian MLP ETNs

2016-08-31

ETRACS Alerian MLP Index ETN

2016-08-31

ETRACS Monthly Pay 2X Leveraged Closed-End Fund ETN

2016-08-31

UBS Ag

2016-08-31

ETRACS Monthly Pay 2xLeveraged MSCI US REIT Index ETN

2016-08-31

ETRACS Monthly Pay 2xLeveraged S&P Dividend ETN and ETRACS Monthly Pay 2xLeveraged Dow Jones Selected Dividend Index ETN Due May 22, 2042

2016-08-31

ETRACS Monthly Pay 2xLeveraged US High Dividend Low Volatility ETN

2016-08-31

ETRACS Monthly Pay 2xLeveraged US Small Cap High Dividend ETN

2016-08-31

UBS AG

2016-08-31

ETRACS Monthly Reset 2xLeveraged S&P 500 Total Return ETN

2016-08-31

ETRACS S&P GSCI Crude Oil Total Return Index ETN due February 22, 2046

2016-08-31

ETRACS Wells Fargo Business Development Company Index ETNs

2016-08-31

Fidelity Bond Exchange Traded Funds

2016-08-31

First Trust Funds

2016-08-31

First Trust CBOE S&P 500 VIX Tail Hedge Fund

2016-08-31

First Trust Emerging Markets Local Currency Bond ETF

2016-08-31

First Trust ETF

2016-08-31

First Trust Exchange-Traded AlphaDEX Fund

2016-08-31

First Trust Exchange-Traded Fund II