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
2024-09-10
Simplify National Muni Bond ETF
Q3
2024
2024-09-09
SPDR Galaxy Hedged Digital Asset Ecosystem ETF
Q3
2024
2024-09-09
SPDR Galaxy Transformative Tech Accelerators ETF
Q3
2024
2024-09-09
SPDR Galaxy Digital Asset Ecosystem ETF
Q3
2024
2024-09-09
Research Affiliates Deletions ETF
Q3
2024
2024-09-09
Palmer Square Funds Trust
Q3
2024
2024-09-09
SanJac Alpha Core Plus Bond ETF
Q3
2024
2024-09-09
Sparkline International Intangible Value ETF
Q3
2024
2024-09-09
SanJac Alpha Low Duration ETF
Q3
2024
2024-09-09
Global X Long-Term Treasury Ladder ETF
Q3
2024
2024-09-09
Global X Intermediate-Term Treasury Ladder ETF
Q3
2024
2024-09-09
Global X Short-Term Treasury Ladder ETF
Q3
2024
2024-09-09
Tuttle Capital Shareholders First Index ETF
Q3
2024
2024-09-09
Tuttle Capital Self Defense Index ETF
Q3
2024
2024-09-09
Roundhill Small Cap 0DTE Covered Call Strategy ETF
Q3
2024
2024-09-06
Calamos Laddered S&P 500 Structured Alt Protection ETF
Q3
2024
2024-09-06
Stone Ridge Trust
Q3
2024
2024-09-05
iShares Trust
Q3
2024
2024-09-04
Macquarie Focused Emerging Markets Equity ETF
Q3
2024
2024-09-04
SPDR S&P Emerging Markets ex-China ETF
Q3
2024
2024-09-04
Columbia ETF Trust I
Q3
2024
2024-09-04
SPDR Bloomberg Enhanced Roll Yield Commodity Strategy No K-1 ETF
Q3
2024
2024-09-04
Harbor ETF Trust
Q3
2024
2024-09-04
SPDR SSGA US Equity Premium Income ETF
Q3
2024
2024-09-04
Kensington Hedged Premium Income ETF
Q3
2024
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