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

2023-10-01

VanEck Ethereum Strategy ETF

2023-09-28

iShares Transition-Enabling Metals ETF

2023-09-28

JPMorgan Hedged Equity Laddered Overlay ETF

2023-09-27

Capital Group Dividend Growers ETF

2023-09-27

Capital Group Fixed Income ETF Trust

2023-09-27

Capital Group Core Balanced ETF

2023-09-27

Avantis U.S. large Cap Equity ETF

2023-09-27

BlackRock Advantage Large Cap Income ETF

2023-09-27

Northern Lights Fund Trust IV

2023-09-26

Dimensional ETF Trust

2023-09-26

Northern Lights Fund Trust IV

2023-09-25

YieldMax PYPL Option Income Strategy ETF

2023-09-25

GGM Macro Alignment ETF

2023-09-21

Matthews International Funds

2023-09-20

Western Asset Bond ETF

2023-09-20

iShares Trust

2023-09-20

VanEck Office and Commercial REIT ETF

2023-09-20

Amplify Cash Flow High Income ETF

2023-09-20

MarketDesk Focused U.S. Dividend ETF

2023-09-19

 AB US Large Cap Strategic Equities ETF

2023-09-19

Roundhill Alerian LNG ETF

2023-09-19

Invesco Exchange-Traded Self-Indexed Fund Trust

2023-09-18

Defiance S&P 500 Enhanced Options Income ETF

2023-09-18

YieldMax AMD Option Income Strategy ETF

2023-09-18

Subversive Cannabis ETF