Information Circulars

General Circulars

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File No.
Date
Description
IC-2026-0001
2026-03-04
SEC Section 31 Fee Rate Advisory
2026
IC-2025-0001
2025-04-09
SEC Section 31 Fee Rate Advisory
Q2
2025
IC-2024-0001
2024-04-17
SEC Section 31 Fee Rate Advisory
Q2
2024
IC-2023-0001
2023-03-02
SEC Section 31 Fee Rate Advisory
Q1
2023
IC-2022-0001
2022-04-20
SEC Section 31 Fee Rate Advisory
Q2
2022
IC-2021-0001
2021-01-19
SEC Section 31 Fee Rate Advisory
Q1
2021
IC-2020-0001
2020-01-14
SEC Section 31 Fee Rate Advisory
Q1
2020
IC-2019-0001
2019-04-03
SEC Section 31 Fee Rate Advisory
Q2
2019
IC-2018-0001
2018-05-30
SEC Section 31 Fee Rate Advisory
Q2
2018
IC-2017-0001
2017-06-05
SEC Section 31 Fee Rate Advisory
Q2
2017
IC-2016-0003
2016-08-11
Collection of Exchange fees and other claims and billing policy
Q3
2016
IC-2016-0002
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
IC-2016-0001
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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File No.
Date
Description
RC-2017-0003
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
Q1
2017
RC-2017-0002
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
Q1
2017
RC-2017-0001
2017-01-06
Notice Regarding Filing of Annual Audited Reports
Q1
2017
RC-2016-0001
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
PC-2023-0203
2023-08-22
Professionally Managed Portfolios
Q3
2023
PC-2023-0202
2023-08-22
VanEck CMCI Commodity Strategy ETF
Q3
2023
PC-2023-0201
2023-08-21
First Trust Exchange-Traded Fund VIII
Q3
2023
PC-2023-0200
2023-08-17
AXS Real Estate Income ETF
Q3
2023
PC-2023-0199
2023-08-17
Global X Funds
Q3
2023
PC-2023-0198
2023-08-16
Tema Global Royalties ETF
Q3
2023
PC-2023-0197
2023-08-15
Tema Oncology ETF
Q3
2023
PC-2023-0196
2023-08-14
Madison Dividend Value ETF
Q3
2023
PC-2023-0195
2023-08-14
YieldMax COIN Option Income Strategy ETF
Q3
2023
PC-2023-0194
2023-08-10
EA Series Trust
Q3
2023
PC-2023-0193
2023-08-09
USCF Sustainable Commodity Strategy Fund
Q3
2023
PC-2023-0192
2023-08-09
Cboe Validus S&P 500 Dynamic PutWrite Index ETF
Q3
2023
PC-2023-0191
2023-08-09
First Trust Exchange-Traded Fund IV
Q3
2023
PC-2023-0190
2023-08-07
YieldMax NFLX Option Income Strategy ETF
Q3
2023
PC-2023-0189
2023-08-07
LAFFER TENGLER Equity Income ETF
Q3
2023
PC-2023-0188
2023-08-03
First Trust Intermediate Government Opportunities ETF
Q3
2023
PC-2023-0187
2023-08-03
First Trust Intermediate Duration Investment Grade Corporate ETF
Q3
2023
PC-2023-0186
2023-08-01
Academy Veteran Impact ETF
Q3
2023
PC-2023-0185
2023-08-01
Astoria US Quality Kings ETF
Q3
2023
PC-2023-0184
2023-08-01
AIM ETF Products Trust
Q3
2023
PC-2023-0183
2023-08-01
JPMorgan Equity Focus ETF
Q3
2023
PC-2023-0182
2023-07-28
JPMorgan Limited Duration Bond ETF
Q3
2023
PC-2023-0181
2023-07-27
YieldMax/Tidal Trust II
Q3
2023
PC-2023-0180
2023-07-27
BrandywineGLOBAL - U.S. Fixed Income ETF
Q3
2023
PC-2023-0179
2023-07-25
PGIM AAA CLO ETF
Q3
2023
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