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
2025-01-16
Defiance Daily Target 2X Long SOFI ETF
Q1
2025
2025-01-15
iShares Large Cap Accelerated ETF
Q1
2025
2025-01-15
Capital Group U.S. Small and Mid Cap ETF
Q1
2025
2025-01-14
Sprott Silver Miners & Physical Silver ETF
Q4
2025
2025-01-14
Militia Long-Short Equity ETF
Q1
2025
2025-01-14
Infrastructure Capital Bond Income ETF
Q1
2025
2025-01-14
Hull Tactical US ETF
Q1
2025
2025-01-14
NEOS Real Estate High Income ETF
Q1
2025
2025-01-13
Themes ETF Trust
Q1
2025
2025-01-13
YieldMax Crypto Industry & Tech Portfolio Option Income ETF
Q1
2025
2025-01-13
Simplify China A Shares PLUS Income ETF
Q1
2025
2025-01-13
Relative Strength Managed Volatility Strategy ETF
Q1
2025
2025-01-10
Spinnaker ETF Series
Q1
2025
2025-01-07
AIM ETF Products Trust
Q1
2025
2025-01-06
Alger Russell Innovation ETF
Q1
2025
2025-01-06
Precidian ETFs Trust
Q1
2025
2025-01-05
Fortuna Hedged Bitcoin Fund
Q1
2025
2025-01-05
Stone Ridge Trust
Q1
2025
2025-01-02
Defiance Daily Target 2X Long RIOT ETF
Q1
2025
2025-01-02
Touchstone Sands Capital US Select Growth ETF
Q1
2025
2024-12-31
PGIM Rock ETF Trust
Q4
2024
2024-12-31
iShares Large Cap Max Buffer Dec ETF
Q4
2024
2024-12-31
Goldman Sachs U.S. Large Cap Buffer 1 ETF
Q4
2024
2024-12-31
Spinnaker ETF Series
Q4
2024
2024-12-31
Calamos ETF Trust
Q4
2024
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