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
2025-02-25
SMI 3Fourteen REAL Asset Allocation ETF
Q1
2025
2025-02-25
Touchstone Sands Capital Emerging Markets ex-China Growth ETF
Q1
2025
2025-02-24
F/m Ultrashort Treasury Inflation-Protected Security (TIPS) ETF
Q1
2025
2025-02-24
Matrix Advisors Value ETF
Q1
2025
2025-02-24
First Trust Exchange- Traded Fund VIII
Q1
2025
2025-02-20
Yoke Core ETF
Q1
2025
2025-02-20
Twin Oak Active Opportunities ETF
Q1
2025
2025-02-20
YieldMax Russell 2000 0DTE Covered Call Strategy ETF
Q1
2025
2025-02-20
Franklin Crypto Index ETF
Q1
2025
2025-02-20
Invesco Steelpath MLP & Energy Infrastructure ETF
Q1
2025
2025-02-20
Bank of Montreal Notes
Q1
2025
2025-02-19
Sprott Active Gold & Silver Miners ETF
Q1
2025
2025-02-18
Volatility Shares Trust
Q1
2025
2025-02-18
Thrivent ETF Trust
Q1
2025
2025-02-18
Abacus FCF Small Cap Leaders ETF
Q1
2025
2025-02-18
Roundhill ETF Trust
Q1
2025
2025-02-14
abrdn Funds
Q1
2025
2025-02-13
Hashdex Nasdaq Crypto Index US ETF
Q1
2025
2025-02-13
GraniteShares 2x Long QCOM Daily ETF
Q1
2025
2025-02-13
Day Hagan Smart Buffer ETF
Q1
2025
2025-02-12
GraniteShares ETF Trust
Q1
2025
2025-02-12
YieldMax Nasdaq 100 0DTE Covered Call Strategy ETF
Q1
2025
2025-02-12
GMO Beyond China ETF
Q1
2025
2025-02-12
JPMorgan Flexible Income ETF
Q1
2025
2025-02-12
BattleShares TSLA vs F ETF
Q1
2025
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