Information Circulars

General Circulars

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Year
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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
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Regulatory Circulars

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Year
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File No.
Date
Description
2020-04-08
Establishment of the CMRWG
Q2
2020
2020-03-17
SEC No-Action Relief regarding CAT Reporting
Q1
2020
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2020
2020-01-07
Notice Regarding Filing of Annual Audited Reports
Q1
2020
2019-09-24
Market Quality Incentive Programs
Q3
2019
2019-07-23
Chief Compliance Officer examination and registration requirements
Q3
2019
2019-02-01
Consolidated Audit Trail (CAT) Update
Q1
2019
2019-01-10
Active Military Leave Guidance
Q1
2019
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2019
2019-01-10
Notice Regarding Filing of Annual Audited Reports
Q1
2019
2018-09-28
Amendments to Membership Registration and Qualification Requirements
Q3
2018
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
Q1
2018
2018-01-09
Notice Regarding Filing of Annual Audited Reports
Q1
2018
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2018
2017-10-03
Introduction of the IEX Market Maker Peg Order Type
Q4
2017
2017-04-11
Consolidated Audit Trail ("CAT") Clock Synchronization Study
Q2
2017
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
Q1
2017
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
Q1
2017
2017-01-06
Notice Regarding Filing of Annual Audited Reports
Q1
2017
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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Year
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File No.
Date
Description
2025-09-12
BlackRock ETF Trust
2025
2025-09-11
RACWI US ETF
2025
2025-09-11
WisdomTree Trust
2025
2025-09-10
WarCap Unconstrained Equity ETF
2025
2025-09-10
Tema International Durable Quality ETF
2025
2025-09-09
State Street Short Duration IG Public & Private Credit ETF
2025
2025-09-09
Tweedy, Browne International Insider + Value ETF
2025
2025-09-09
ProShares Trust
2025
2025-09-09
Sprott Active Metals & Miners ETF
2025
2025-09-09
Symmetry Panoramic Sector Momentum ETF
2025
2025-09-08
Tidal Trust III
2025
2025-09-08
VistaShares Target 15 ACKtivist Distribution ETF
2025
2025-09-08
Investment Managers Series Trust II
2025
2025-09-05
Shelton Equity Premium Income ETF
2025
2025-09-03
Tidal Trust I
2025
2025-09-03
Grayscale Ethereum Covered Call ETF
2025
2025-09-03
TappAlpha Innovation 100 Growth & Daily Income ETF
2025
2025-09-03
Roundhill WeeklyPay Universe ETF
2025
2025-09-02
SoFi Agentic AI ETF
2025
2025-09-02
LionShares U.S. Equity Total Return ETF
2025
2025-09-02
Defiance Daily Target 2X Short LLY ETF
2025
2025-09-02
GraniteShares ETF Trust
2025
2025-09-01
Innovator Equity Dual DDFS Directional 15 Buffer ETF; Innovator Equity Dual DDFS Directional 10 Buffer ETF
2025
2025-09-01
PGIM S&P 500 Max Buffer ETF – September
2025
2025-08-28
Franklin Dividend Growth ETF
2025
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