Information Circulars

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

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

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

2016-10-11

iShares Edge MSCI Min Vol USA Small-Cap ETF

2016-10-11

Direxion Shares ETF Trust

2016-09-15

Claymore/AlphaShares China Real Estate ETF

2016-09-15

Claymore/Raymond James SB-1 Equity ETF

2016-09-15

Direxion Funds

2016-09-15

First Trust BICK Index Fund

2016-09-15

Global X Funds

2016-09-15

Global X Permanent ETF

2016-09-15

iShares 10+ Year Government Credit Bond Fund

2016-09-15

iShares Barclays GNMA Bond Fund

2016-09-15

iShares JPMorgan USD Emerging Markets Bond Fund

2016-09-15

iShares MSCI Emerging Markets Index Funds

2016-09-15

iShares MSCI Funds

2016-09-15

iShares MSCI Funds

2016-09-15

iShares S&P AMT-Free Municipal Series

2016-09-15

Market Vectors Russia Small-Cap ETF

2016-09-15

Market Vectors Unconventional Oil & Gas ETF

2016-09-15

PIMCO Total Return Exchange-Traded Fund

2016-09-15

PowerShares ETFs

2016-09-15

PowerShares S&P 500 Downside Hedged Portfolio

2016-09-15

ProShares Funds

2016-09-15

Royal Bank of Canada ETN Linked S&P 500 Trend Allocator PR Index

2016-09-15

SPDR Index Shares Funds

2016-09-15

UBS AG Exchange Traded Access Securities Linked to the Alerian Natural Gas MLP Index

2016-09-14

AdvisorShares Sunrise Global Multi-Strategy ETF