Information Circulars

2026-03-04

SEC Section 31 Fee Rate Advisory

2025-04-09

SEC Section 31 Fee Rate Advisory

2024-04-17

SEC Section 31 Fee Rate Advisory

2023-03-02

SEC Section 31 Fee Rate Advisory

2022-04-20

SEC Section 31 Fee Rate Advisory

2021-01-19

SEC Section 31 Fee Rate Advisory

2020-01-14

SEC Section 31 Fee Rate Advisory

2019-04-03

SEC Section 31 Fee Rate Advisory

2018-05-30

SEC Section 31 Fee Rate Advisory

2017-06-05

SEC Section 31 Fee Rate Advisory

2016-08-11

Collection of Exchange fees and other claims and billing policy

2016-08-02

Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch

2016-07-13

Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors

2026-02-05

Amendments to IEX's Voluntary Termination and Retention of Jurisdiction Rules

2026-01-05

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2026-01-05

Notice Regarding Filing of Annual Reports

2025-11-07

Round Lot Definition Change and Market Makers’ Two-Sided Quote Obligations

2025-08-13

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2025-01-10

Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms

2025-01-08

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2025-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2025-01-02

Notice Regarding Filing of Annual Audited Reports

2024-07-01

Reminding SRO Members and Member Organizations of the CMRWG

2024-04-17

Enhancements to FINRA Firm Gateway and Regulatory Notifications

2024-01-03

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2024-01-03

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2024-01-03

Notice Regarding Filing of Annual Audited Reports

2023-01-04

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2023-01-04

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2023-01-04

Notice Regarding Filing of Annual Audited Reports

2022-09-15

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2022-01-05

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2022-01-05

Notice Regarding Filing of Annual Audited Reports

2021-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2021-01-05

Notice Regarding Filing of Annual Audited Reports

2020-07-30

Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules

2020-07-17

Industry Presentation by CMRWG on CAT Compliance Rules

2020-07-07

Regulatory Coordination Concerning CAT Reporting Compliance

2022-02-10

Kelly Strategic ETF Trust

2022-02-10

Avantis U.S. Small Cap Equity ETF

2022-02-10

Janus Henderson B-BBB CLO ETF

2022-02-10

SPDR Index Shares Funds

2022-02-10

Strategy Shares Halt Climate Change ETF

2022-02-10

SPDR S&P SmallCap 600 ESG ETF

2022-02-10

Simplify Exchange Traded Funds

2022-02-10

Wahed Dow Jones Islamic World ETF

2022-02-10

The NextGen Trend and Defend ETF

2022-02-10

Rareview Inflation-Deflation ETF

2022-02-10

Gabelli Asset ETF

2022-02-10

UPAR Ultra Risk Parity ETF

2022-02-10

Innovator ETFs Trust

2022-02-10

AllianzIM U.S. Large Cap 6 Month Buffer10 Jan-Jul ETF

2022-02-10

RiverNorth Volition America Patriot ETF

2022-02-09

The Advisors' Inner Circle Fund III

2022-02-09

Rareview Systematic Equity ETF

2022-02-09

U.S. Global Sea to Sky Cargo ETF

2022-02-09

Amberwave Invest USA JSG Fund

2022-02-09

Subversive Metaverse ETF

2022-01-20

Direxion Shares ETF Trust

2022-01-07

The RBB Fund Inc

2022-01-07

AXS Astoria Inflation Sensitive ETF

2022-01-07

InfraCap Equity Income Fund ETF

2022-01-07

Strategy Shares Nasdaq 5HANDL Index ETF