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

2024-03-20

Global X Bitcoin Trend Strategy ETF

2024-03-20

Bancreek International Large Cap ETF

2024-03-20

Avantis Emerging Markets ex-China Equity ETF

2024-03-20

FT Vest Dow Jones Internet & Target Income ETF

2024-03-19

ProShares Nasdaq-100 High Income ETF

2024-03-19

FT Vest U.S. Equity Buffer & Premium Income ETF - March

2024-03-19

Opportunistic Trader ETF

2024-03-18

CCM Affordable Housing MBS ETF

2024-03-18

Hartford Multifactor International Small Company ETF

2024-03-15

GraniteShares 2x Long MSFT Daily ETF

2024-03-15

GraniteShares 2x Long AMD Daily ETF

2024-03-15

GraniteShares 2x Long AMZN Daily ETF

2024-03-14

Litman Gregory Funds Trust

2024-03-14

iShares Trust

2024-03-13

WisdomTree 7-10 Year Laddered Treasury Fund

2024-03-13

WisdomTree 1-3 Year Laddered Treasury Fund

2024-03-13

BondBloxx IR+M Tax-Aware Short Duration ETF

2024-03-07

Direxion Shares ETF Trust

2024-03-07

Cullen Enhanced Equity Income ETF

2024-03-06

Roundhill ETF Trust

2024-03-06

Northern Lights Fund Trust IV

2024-03-05

Sprott Copper Miners ETF

2024-03-05

Nuveen Core Plus Bond ETF

2024-03-05

Nuveen Preferred and Income ETF

2024-03-05

Nuveen Sustainable Core ETF