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

2023-01-04

Notice Regarding Filing of Annual Audited Reports

2022-09-15

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2022-01-05

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2022-01-05

Notice Regarding Filing of Annual Audited Reports

2021-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2021-01-05

Notice Regarding Filing of Annual Audited Reports

2020-07-30

Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules

2020-07-17

Industry Presentation by CMRWG on CAT Compliance Rules

2020-07-07

Regulatory Coordination Concerning CAT Reporting Compliance

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

2016-08-31

AIG Commodity Index Total Return

2016-08-31

Alerian Energy Infrastructure ETF

2016-08-31

AlphaClone Alternative Alpha ETF

2016-08-31

AlphaMark Actively Managed Small Cap ETF

2016-08-31

ALPS Barron's 400 ETF

2016-08-31

ALPS Equal Sector Weight ETF

2016-08-31

Arrow DWA Tactical ETF

2016-08-31

Barclays Bank PLC iPath Exchange-Traded Notes

2016-08-31

Barclays ETN+ S&P 500 Dynamic VEQTOR ETNs

2016-08-31

Barclays ETN+ Select MLP Exchange Traded Notes

2016-08-31

Barclays ETN+ Shiller CAPE Exchange Traded Notes

2016-08-31

Barclays Inverse US Treasury Composite ETN

2016-08-31

Barclays Return on Disability ETN

2016-08-31

BDC Income Fund

2016-08-31

BioShares Biotechnology Funds

2016-08-31

C-Tracks ETNs Miller/Howard Strategic Dividend Reinvestor

2016-08-31

Calamos Focus Growth ETF

2016-08-31

Cambria Global Momentum ETF

2016-08-31

Cambria Shareholder Yield ETF

2016-08-31

Cambria Sovereign High Yield Bond ETF

2016-08-31

Cambria Value and Momentum ETF

2016-08-31

Citigroup Inc. ETNs

2016-08-31

Claymore Exchange Traded Fund Trust

2016-08-31

Claymore Exchange-Traded Fund Trust ETFs

2016-08-31

Claymore Exchange-Traded Funds