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

2023-09-18

First Trust Exchange-Traded Fund VIII

2023-09-15

BondBloxx USD High Yield Bond Sector Rotation ETF

2023-09-14

Harbor Multi-Asset Explorer ETF

2023-09-14

iShares Trust

2023-09-14

Bahl & Gaynor Income Growth ETF

2023-09-14

Bushido Capital US Equity ETF

2023-09-14

Defiance Nasdaq 100 Enhanced Options Income ETF

2023-09-14

J.P. Morgan Exchange-Traded Fund Trust

2023-09-13

Direxion Daily NVDA Bull 1.5X Shares

2023-09-13

Direxion Daily NVDA Bear 1X Shares

2023-09-13

Global X Defense Tech ETF

2023-09-13

Dimensional US Core Equity 1 ETF

2023-09-12

Amplify Cash Flow Dividend Leaders ETF

2023-09-11

SPDR Portfolio S&P Sector Neutral Dividend ETF

2023-09-11

KraneShares Rockefeller Ocean Engagement ETF

2023-09-11

YieldMax JPM Option Income Strategy ETF

2023-09-07

KraneShares Global Luxury Index ETF

2023-09-06

F/m Opportunistic Income ETF

2023-09-05

Madison Short-Term Strategic Income ETF

2023-09-05

Return Stacked U.S. Stocks & Managed Futures ETF

2023-08-31

AIM ETF Products Trust

2023-08-31

Innovator International Developed Power Buffer ETF — September

2023-08-30

YieldMax XOM Option Income Strategy ETF

2023-08-30

Strive FAANG 2.0 ETF

2023-08-30

American Beacon Select Funds