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
2023-11-15
Xtrackers US National Critical Technologies ETF
Q4
2023
2023-11-14
SoFi Enhanced Yield ETF
Q4
2023
2023-11-14
Amplify Samsung SOFR ETF
Q4
2023
2023-11-14
GMO U.S. Quality ETF
Q4
2023
2023-11-14
Goose Hollow Multi-Strategy Income ETF
Q4
2023
2023-11-14
ARK 21Shares Active On-Chain Bitcoin Strategy ETF
Q4
2023
2023-11-13
EA Series Trust
Q4
2023
2023-11-13
Simplify US Equity PLUS QIS ETF
Q4
2023
2023-11-13
IDX Dynamic Innovation ETF
Q4
2023
2023-11-08
Janus Henderson Securitized Income ETF
Q4
2023
2023-11-08
American Century ETF Trust
Q4
2023
2023-11-08
Honeytree U.S. Equity ETF
Q4
2023
2023-11-08
Dimensional ETF Trust
Q4
2023
2023-11-08
Brendan Wood TopGun ETF
Q4
2023
2023-11-07
First Trust Core Investment Grade ETF
Q4
2023
2023-11-07
Global X MSCI Emerging Markets Covered Call ETF
Q4
2023
2023-11-06
Gotham Short Strategies ETF
Q4
2023
2023-11-06
TBG Dividend Focus ETF
Q4
2023
2023-11-06
Simplify MBS ETF
Q4
2023
2023-11-06
LG QRAFT AI-Powered U.S. Large Cap Core ETF
Q4
2023
2023-11-03
Franklin Focused Growth ETF
Q4
2023
2023-11-02
Roundhill S&P Dividend Monarchs ETF
Q4
2023
2023-11-02
JPMorgan Healthcare Leaders ETF
Q4
2023
2023-11-01
SRH REIT Covered Call ETF
Q4
2023
2023-11-01
ProShares Short Ether Strategy ETF
Q4
2023
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