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
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
No results found.
There are no results with this criteria. Try changing your search.

Product Circulars

All
Year
Down Arrow Icon
OR

Exchange Traded Product Circulars may be accessed directly from the listing exchanges. See PC-2026-0494.

Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
2024-06-21
Neuberger Berman Short Duration Income ETF
Q2
2024
2024-06-21
The Nightview Fund NITE
Q2
2024
2024-06-20
Defiance Nasdaq 100 Income Target ETF
Q2
2024
2024-06-20
VictoryShares WestEnd Economic Cycle Bond ETF
Q2
2024
2024-06-20
VictoryShares WestEnd Global Equity ETF
Q2
2024
2024-06-18
BlackRock High Yield ETF
Q2
2024
2024-06-18
BlackRock Long-Term U.S. Equity ETF
Q2
2024
2024-06-13
Eaton Vance Short Duration Income ETF
Q2
2024
2024-06-13
GI Enhanced Nasdaq-100 ETF
Q2
2024
2024-06-13
PGIM Rock ETF Trust
Q2
2024
2024-06-11
iShares iBonds Dec 2054 Term Treasury ETF
Q2
2024
2024-06-11
iShares iBonds Dec 2044 Term Treasury ETF
Q2
2024
2024-06-11
iShares iBonds Dec 2034 Term Treasury ETF
Q2
2024
2024-06-11
Invesco BulletShares 2034 Corporate Bond ETF
Q2
2024
2024-06-11
Invesco BulletShares 2032 High Yield Corporate Bond ETF
Q2
2024
2024-06-11
OneAscent Small Cap Core ETF
Q2
2024
2024-06-10
YieldMax SNOW Option Income Strategy ETF
Q2
2024
2024-06-07
AB Short Duration High Yield ETF
Q2
2024
2024-06-07
AB Short Duration Income ETF
Q2
2024
2024-06-07
ProShares Ultra Ether ETF
Q2
2024
2024-06-07
ProShares UltraShort Ether ETF
Q2
2024
2024-06-05
Direxion Shares ETF Trust
Q2
2024
2024-06-05
BlackRock Large Cap Growth ETF
Q2
2024
2024-06-04
Global X Russell 2000 ETF
Q2
2024
2024-06-04
2x Ether ETF
Q2
2024
No results found.
There are no results with this criteria. Try changing your search.