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
2025-08-27
Franklin Multisector Income ETF
2025
2025-08-27
Pacer S&P SmallCap 600 Quality FCF Aristocrats ETF and Pacer S&P MidCap 400 Quality FCF Aristocrats ETF
2025
2025-08-26
ProShares Ultra S&P 500 Equal Weight
2025
2025-08-22
Advisors Series Trust
2025
2025-08-22
SEI Exchange Traded Funds
2025
2025-08-21
Themes ETF Trust
2025
2025-08-20
YieldMax Ultra Short Option Income Strategy ETF
2025
2025-08-20
VanEck ETF Trust
2025
2025-08-19
Janus Henderson Global Artificial Intelligence ETF
2025
2025-08-19
John Hancock Global Senior Loan ETF
2025
2025-08-19
Tidal Trust I
2025
2025-08-19
Tidal Trust II
2025
2025-08-18
GQG US Equity ETF
2025
2025-08-18
Amplify SILJ Covered Call ETF
2025
2025-08-18
Northern Funds
2025
2025-08-18
Zacks Quality International ETF
2025
2025-08-18
Tidal Trust II
2025
2025-08-18
Northern Trust
2025
2025-08-18
JPMorgan Equity and Options Total Return ETF
2025
2025-08-18
Investment Managers Series Trust II
2025
2025-08-14
ProShares Ultra QQQ Top 30
2025
2025-08-13
Harbor Alpha Layering ETF
2025
2025-08-12
Weitz Core Plus Bond ETF
2025
2025-08-12
Themes ETF Trust
2025
2025-08-11
The RBB Fund, Inc.
2025
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