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
2026-08-07
Update to Equities Trading Halt Rules
Q3
2026
2026-08-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q3
2026
2026-07-13
Amendments to IEX Rule 16.160 related to the distribution of Information Circulars for UTP Exchange Traded Products
Q3
2026
2026-02-05
Amendments to IEX's Voluntary Termination and Retention of Jurisdiction Rules
2026
2026-01-05
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
2026
2026-01-05
Notice Regarding Filing of Annual Reports
2026
2025-11-07
Round Lot Definition Change and Market Makers’ Two-Sided Quote Obligations
2025
2025-08-13
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
2025
2025-01-10
Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms
Q1
2025
2025-01-08
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2025
2025-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2025
2025-01-02
Notice Regarding Filing of Annual Audited Reports
Q1
2025
2024-07-01
Reminding SRO Members and Member Organizations of the CMRWG
Q3
2024
2024-04-17
Enhancements to FINRA Firm Gateway and Regulatory Notifications
Q2
2024
2024-01-03
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2024
2024-01-03
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2024
2024-01-03
Notice Regarding Filing of Annual Audited Reports
Q1
2024
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2023
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2023
2023-01-04
Notice Regarding Filing of Annual Audited Reports
Q1
2023
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q3
2022
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2022
2022-01-05
Notice Regarding Filing of Annual Audited Reports
Q1
2022
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2021
2021-01-05
Notice Regarding Filing of Annual Audited Reports
Q1
2021
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Product Circulars

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Year
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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
2024-07-01
Elevation Series Trust
Q3
2024
2024-07-01
AllianzIM U.S. Equity Buffer15 Uncapped Jul ETF
Q3
2024
2024-07-01
iShares Large Cap Max Buffer Jun ETF
Q3
2024
2024-07-01
Innovator ETFs Trust
Q3
2024
2024-07-01
Innovator Nasdaq-100 10 Buffer ETF - Quarterly
Q3
2024
2024-06-27
PGIM Ultra Short Municipal Bond ETF
Q2
2024
2024-06-27
PGIM Municipal Income Opportunities ETF
Q2
2024
2024-06-26
First Trust S&P 500 Economic Moat ETF
Q2
2024
2024-06-26
Capital Group Ultra Short Income ETF
Q2
2024
2024-06-26
Capital Group New Geography Equity ETF
Q2
2024
2024-06-26
Capital Group Municipal High-Income ETF
Q2
2024
2024-06-26
Capital Group International Core Equity ETF
Q2
2024
2024-06-26
Capital Group Global Equity ETF
Q2
2024
2024-06-26
Capital Group Global Equity ETF
Q2
2024
2024-06-26
Capital Group Conservative Equity ETF
Q2
2024
2024-06-25
Strive International Developed Markets ETF
Q2
2024
2024-06-25
Invesco MSCI Global Climate 500 ETF
Q2
2024
2024-06-25
Direxion Daily Uranium Industry Bull 2X Shares
Q2
2024
2024-06-25
NEOS Russell 2000 High Income ETF
Q2
2024
2024-06-24
Neuberger Berman Flexible Credit Income ETF
Q2
2024
2024-06-24
YieldMax ABNB Option Income Strategy ETF
Q2
2024
2024-06-24
FT Vest U.S. Equity Buffer & Premium Income ETF - June
Q2
2024
2024-06-24
FT Vest U.S. Equity Max Buffer ETF - June
Q2
2024
2024-06-24
FT Vest U.S. Equity Equal Weight Buffer ETF – June
Q2
2024
2024-06-21
TCW Flexible Income ETF
Q2
2024
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