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
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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‍

Exchange Traded Product Circulars may be accessed directly from the listing exchanges. See PC-2026-0494.

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File No.
Date
Description
2025-10-22
Putnam International Stock ETF
2025
2025-10-22
Templeton International Insights ETF
2025
2025-10-22
Investment Managers Series Trust II
2025
2025-10-22
Roundhill ETF Trust
2025
2025-10-22
Tuttle Capital MSTR 0DTE Covered Call ETF
2025
2025-10-21
MFS Active Exchange Traded Funds Trust
2025
2025-10-21
iShares Trust
2025
2025-10-21
Reckoner BBB-B CLO ETF
2025
2025-10-21
Optimized Equity Income ETF
2025
2025-10-20
T-REX 2x Long SBET Daily Target ETF
2025
2025-10-20
GraniteShares ETF Trust
2025
2025-10-20
Tidal Trust II
2025
2025-10-17
abrdn Funds
2025
2025-10-17
FT Vest U.S. Equity Buffer & Digital Return ETF – October
2025
2025-10-16
Arrow Valtoro ETF
2025
2025-10-15
Listed Funds Trust
2025
2025-10-15
iShares Emerging Markets Bond Active ETF
2025
2025-10-15
iShares Emerging Markets Bond Active ETF
2025
2025-10-15
Defiance Daily Target 2x Long LMND ETF
2025
2025-10-15
American Century ETF Trust
2025
2025-10-14
KraneShares 2x Long JD Daily ETF
2025
2025-10-14
Nelson Select ETF
2025
2025-10-13
GMO Dynamic Allocation ETF
2025
2025-10-13
Themes ETF Trust
2025
2025-10-13
ETF Series Solutions
2025
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