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
2025-05-21
The Vanguard Group, Inc.
2025
2025-05-21
Volatility Shares Trust
2025
2025-05-21
iShares Defense Industrials Active ETF
2025
2025-05-20
CORE16 Best of Breed Premier Index ETF
2025
2025-05-19
Amplify Samsung U.S. Natural Gas Infrastructure ETF
2025
2025-05-16
FT Vest U.S. Equity Max Buffer ETF – May
2025
2025-05-15
Monopoly ETF
2025
2025-05-15
Leverage Shares 2X Long AVGO Daily ETF
2025
2025-05-14
Bushido Capital US SMID Cap Equity ETF
2025
2025-05-14
Vontobel International Equity Active ETF
2025
2025-05-14
Harbor Emerging Markets Select ETF
2025
2025-05-14
Suncoast Select Growth ETF
2025
2025-05-13
Russell Investments Exchange Traded Funds
2025
2025-05-13
Aptus Deferred Income ETF
2025
2025-05-13
VanEck Onchain Economy ETF
2025
2025-05-12
Horizon Kinetics Japan Owner Operator ETF
2025
2025-05-12
GraniteShares ETF Trust
2025
2025-05-12
Innovator Equity Managed 100 Buffer ETF
2025
2025-05-12
Tradr 2X Long TEM Daily ETF
2025
2025-05-09
Lazard International Dynamic Equity ETF
2025
2025-05-07
YieldMax HOOD Option Income Strategy ETF
2025
2025-05-06
Invesco QQQ Hedged Advantage ETF
2025
2025-05-06
Pacer Cash COWZ 100-Nasdaq 100 Rota tor ETF
2025
2025-05-06
Invesco Comstock Contrarian Equity ETF
2025
2025-05-06
Pacer S&P 500 Quality FCF Aristocrats ETF
2025
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