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
2020-04-08
Establishment of the CMRWG
Q2
2020
2020-03-17
SEC No-Action Relief regarding CAT Reporting
Q1
2020
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2020
2020-01-07
Notice Regarding Filing of Annual Audited Reports
Q1
2020
2019-09-24
Market Quality Incentive Programs
Q3
2019
2019-07-23
Chief Compliance Officer examination and registration requirements
Q3
2019
2019-02-01
Consolidated Audit Trail (CAT) Update
Q1
2019
2019-01-10
Active Military Leave Guidance
Q1
2019
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2019
2019-01-10
Notice Regarding Filing of Annual Audited Reports
Q1
2019
2018-09-28
Amendments to Membership Registration and Qualification Requirements
Q3
2018
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
Q1
2018
2018-01-09
Notice Regarding Filing of Annual Audited Reports
Q1
2018
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2018
2017-10-03
Introduction of the IEX Market Maker Peg Order Type
Q4
2017
2017-04-11
Consolidated Audit Trail ("CAT") Clock Synchronization Study
Q2
2017
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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Year
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File No.
Date
Description
2022-10-26
First Trust Indxx Aerospace & Defense ETF
Q4
2022
2022-10-26
First Trust Growth Strength ETF
Q4
2022
2022-10-24
Neuberger Berman Commodity Strategy ETF
Q4
2022
2022-10-24
Angel Oak UltraShort Income ETF
Q4
2022
2022-10-24
IQ Candriam ESG U.S. Mid Cap Equity ETF
Q4
2022
2022-10-24
IQ MacKay ESG High Income ETF
Q4
2022
2022-10-21
Soundwatch Hedged Equity ETF
Q4
2022
2022-10-20
VanEck Green Infrastructure ETF
Q4
2022
2022-10-19
FT Cboe Vest Rising Dividend Achievers Target Income ETF
Q4
2022
2022-10-18
IndexIQ ETF Trust
Q4
2022
2022-10-14
EA Bridgeway Blue Chip ETF
Q4
2022
2022-10-14
FundX Investment Trust
Q4
2022
2022-10-12
Invesco NASDAQ Future Gen 200 ETF
Q4
2022
2022-10-12
American Century Short Duration Strategic Income ETF
Q4
2022
2022-10-12
KraneShares Electrification Metals Strategy ETF
Q4
2022
2022-10-12
Harbor Corporate Culture ETF
Q4
2022
2022-10-12
VictoryShares WestEnd U.S. Sector ETF
Q4
2022
2022-10-11
Schwab Municipal Bond ETF
Q4
2022
2022-10-10
God Bless America ETF
Q4
2022
2022-10-10
Unlimited HFND Multi-Strategy Return Tracker ETF
Q4
2022
2022-10-06
VanEck Morningstar SMID Moat ETF
Q4
2022
2022-10-06
Burney U.S. Factor Rotation ETF
Q4
2022
2022-10-05
Strive U.S. Semiconductor ETF
Q4
2022
2022-10-05
NightShares 500 1x/1.5x ETF
Q4
2022
2022-10-05
BlackRock Floating Rate Loan ETF
Q4
2022
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