Information Circulars

General Circulars

All
Year
Down Arrow Icon
OR
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
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
No results found.
There are no results with this criteria. Try changing your search.

Regulatory Circulars

All
Year
Down Arrow Icon
OR
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
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
No results found.
There are no results with this criteria. Try changing your search.

Product Circulars

All
Year
Down Arrow Icon
OR
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
2024-02-20
FT Vest U.S. Small Cap Moderate Buffer ETF - February
Q1
2024
2024-02-12
Calamos Alternative Nasdaq & Bond ETF
Q1
2024
2024-02-08
Eaton Vance Floating-Rate ETF
Q1
2024
2024-02-08
Krane Funds Advisors, LLC
Q1
2024
2024-02-07
Direxion Daily MSCI Emerging Markets ex China Bull 2X Shares
Q1
2024
2024-02-06
American Beacon GLG Natural Resources ETF
Q1
2024
2024-01-31
DoubleLine ETF Trust
Q1
2024
2024-01-31
PGIM Rock ETF Trust
Q1
2024
2024-01-31
Innovator International Developed Power Buffer ETF — February
Q1
2024
2024-01-31
AIM ETF Products Trust
Q1
2024
2024-01-30
Miller Value Partners Appreciation ETF
Q4
2024
2024-01-29
NEOS Nasdaq 100 High Income ETF
Q1
2024
2024-01-29
YieldMax Magnificent 7 Fund of Option Income ETFs
Q1
2024
2024-01-29
Vanguard California Tax Exempt Bond ETF
Q1
2024
2024-01-29
Vanguard Intermediate-Term Tax Exempt Bond ETF
Q1
2024
2024-01-26
JPMorgan Chase Financial Company LLC
Q1
2024
2024-01-26
Neuberger Berman Option Strategy ETF
Q1
2024
2024-01-25
WisdomTree U.S. SmallCap Quality Growth Fund
Q1
2024
2024-01-24
WisdomTree U.S. MidCap Quality Growth Fund
Q1
2024
2024-01-24
Defiance Treasury Alternative Yield ETF
Q1
2024
2024-01-24
Innovator Nasdaq-100 Managed Floor ETF
Q1
2024
2024-01-24
BondBloxx ETF Trust
Q1
2024
2024-01-24
invesco S&P 500 BuyWrite ETF
Q1
2024
2024-01-24
Mohr Industry Nav ETF
Q1
2024
2024-01-24
Exchange Traded Concepts Trust
Q1
2024
No results found.
There are no results with this criteria. Try changing your search.