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
2025-02-04
iShares Prime Money Market ETF
Q1
2025
2025-02-04
PLUS Korea Defense Industry Index ETF
Q1
2025
2025-02-04
Cohen & Steers ETF Trust
Q1
2025
2025-02-03
AdvisorShares HVAC and Industrials ETF
Q1
2025
2025-02-03
Simplify Currency Strategy ETF
Q1
2025
2025-02-03
Calamos ETF Trust
Q1
2025
2025-02-03
Pacer PE/VC ETF
Q1
2025
2025-02-02
PGIM S&P 500 Max Buffer ETF – February
Q1
2025
2025-02-02
Innovator ETFs Trust
Q1
2025
2025-02-02
Calamos S&P 500 Structured Alt Protection ETF — February
Q1
2025
2025-02-02
Goldman Sachs U.S. Large Cap Buffer 2 ETF
Q2
2025
2025-02-02
AllianzIM U.S. Equity Buffer15 Uncapped Feb ETF
Q2
2025
2025-01-30
Yields for You Strategy A ETF
Q1
2025
2025-01-30
T-Rex 2X Long HOOD Daily Target ETF
Q1
2025
2025-01-29
iShares BBB-B CLO Active ETF
Q1
2025
2025-01-29
Grayscale Bitcoin Miners ETF
Q1
2025
2025-01-29
YieldMax CVNA Option Income Strategy ETF
Q1
2025
2025-01-28
Roundhill Uranium ETF
Q1
2025
2025-01-28
Sarmaya Thematic ETF
Q1
2025
2025-01-27
PEO AlphaQuest Thematic PE ETF
Q1
2025
2025-01-24
TrueShares Seasonality Laddered Buffered ETF
Q1
2025
2025-01-23
Leverage Shares 2X Long AMD Daily ETF
Q1
2025
2025-01-22
Thornburg International Growth ETF
Q1
2025
2025-01-22
Pacific North of South EM Equity Active ETF
Q1
2025
2025-01-22
Horizon Funds
Q1
2025
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