Information Circulars

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

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

2020-04-08

Establishment of the CMRWG

2020-03-17

SEC No-Action Relief regarding CAT Reporting

2020-01-07

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2020-01-07

Notice Regarding Filing of Annual Audited Reports

2019-09-24

Market Quality Incentive Programs

2019-07-23

Chief Compliance Officer examination and registration requirements

2019-02-01

Consolidated Audit Trail (CAT) Update

2019-01-10

Active Military Leave Guidance

2019-01-10

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2024-12-20

Tortoise Power and Energy Infrastructure Fund

2024-12-20

FIS Bright Portfolios Focused Equity ETF

2024-12-20

First Trust Exchange-Traded Fund VIII

2024-12-19

The RBB Fund Trust

2024-12-19

The Advisors’ Inner Circle Fund II

2024-12-18

North Square RCIM Tax-Advantaged Preferred and Income Securities ETF

2024-12-18

The RBB Fund, Inc.

2024-12-18

Neuberger Berman Growth ETF

2024-12-18

Harbor Osmosis Emerging Markets Resource Efficient ETF

2024-12-17

GraniteShares YieldBOOST TSLA ETF

2024-12-17

Global X U.S. Electrification ETF

2024-12-17

Cambria Tax Aware ETF

2024-12-17

Coastal Compass 100 ETF

2024-12-17

Neuberger Berman Total Return Bond ETF

2024-12-17

LSV Disciplined Value ETF

2024-12-17

John Hancock Exchange-Traded Fund Trust

2024-12-17

Eventide US Market ETF

2024-12-17

Return Stacked Bonds & Merger Arbitrage ETF

2024-12-17

Pacer Funds Trust

2024-12-17

Alpha Architect Aggregate Bond ETF

2024-12-16

Syntax ETF Trust

2024-12-16

Tidal Trust II

2024-12-13

The Beehive ETF

2024-12-13

Stone Ridge Durable Income ETF

2024-12-12

Themes ETF Trust