Information Circulars

General Circulars

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Year
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File No.
Date
Description
2025-04-09
SEC Section 31 Fee Rate Advisory
April 9, 2025
Q2
2025
2024-04-17
SEC Section 31 Fee Rate Advisory
April 17, 2024
Q2
2024
2023-03-02
SEC Section 31 Fee Rate Advisory
March 2, 2023
Q1
2023
2022-04-20
SEC Section 31 Fee Rate Advisory
April 20, 2022
Q2
2022
2021-01-19
SEC Section 31 Fee Rate Advisory
January 19, 2021
Q1
2021
2020-01-14
SEC Section 31 Fee Rate Advisory
January 14, 2020
Q1
2020
2019-04-03
SEC Section 31 Fee Rate Advisory
April 3, 2019
Q2
2019
2018-05-30
SEC Section 31 Fee Rate Advisory
May 30, 2018
Q2
2018
2017-06-05
SEC Section 31 Fee Rate Advisory
June 5, 2017
Q2
2017
2016-08-11
Collection of Exchange fees and other claims and billing policy
August 11, 2016
Q3
2016
2016-08-02
Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch
August 2, 2016
Q3
2016
2016-07-13
Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors
July 13, 2016
Q3
2016
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Regulatory Circulars

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Year
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File No.
Date
Description
2025-01-10
Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms
January 10, 2025
Q1
2025
2025-01-08
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 8, 2025
Q1
2025
2025-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 8, 2025
Q1
2025
2025-01-02
Notice Regarding Filing of Annual Audited Reports
January 2, 2025
Q1
2025
2024-07-01
Reminding SRO Members and Member Organizations of the CMRWG
July 1, 2024
Q3
2024
2024-04-17
Enhancements to FINRA Firm Gateway and Regulatory Notifications
April 17, 2024
Q2
2024
2024-01-03
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 3, 2024
Q1
2024
2024-01-03
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 3, 2024
Q1
2024
2024-01-03
Notice Regarding Filing of Annual Audited Reports
January 3, 2024
Q1
2024
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 4, 2023
Q1
2023
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 4, 2023
Q1
2023
2023-01-04
Notice Regarding Filing of Annual Audited Reports
January 4, 2023
Q1
2023
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
September 15, 2022
Q3
2022
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 5, 2022
Q1
2022
2022-01-05
Notice Regarding Filing of Annual Audited Reports
January 5, 2022
Q1
2022
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 8, 2021
Q1
2021
2021-01-05
Notice Regarding Filing of Annual Audited Reports
January 5, 2021
Q1
2021
2020-07-30
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
July 30, 2020
Q3
2020
2020-07-17
Industry Presentation by CMRWG on CAT Compliance Rules
July 17, 2020
Q3
2020
2020-07-07
Regulatory Coordination Concerning CAT Reporting Compliance
July 7, 2020
Q3
2020
2020-04-08
Establishment of the CMRWG
April 8, 2020
Q2
2020
2020-03-17
SEC No-Action Relief regarding CAT Reporting
March 17, 2020
Q1
2020
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 7, 2020
Q1
2020
2020-01-07
Notice Regarding Filing of Annual Audited Reports
January 7, 2020
Q1
2020
2019-09-24
Market Quality Incentive Programs
September 24, 2019
Q3
2019
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Product Circulars

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Year
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File No.
Date
Description
2022-12-21
Series Portfolios Trust
December 21, 2022
Q4
2022
2022-12-20
John Hancock International High Dividend ETF
December 20, 2022
Q4
2022
2022-12-19
Teucrium AiLA Long-Short Agriculture Strategy ETF
December 19, 2022
Q4
2022
2022-12-15
ClearBridge Sustainable Infrastructure ETF
December 15, 2022
Q4
2022
2022-12-14
WisdomTree U.S. Quality Growth Fund
December 14, 2022
Q4
2022
2022-12-13
PGIM ETF Trust
December 13, 2022
Q4
2022
2022-12-13
PGIM Portfolio Ballast ETF
December 13, 2022
Q4
2022
2022-12-12
BTD Capital Fund
December 12, 2022
Q4
2022
2022-12-12
GraniteShares ETF Trust
December 12, 2022
Q4
2022
2022-12-09
Kovitz Core Equity ETF
December 9, 2022
Q4
2022
2022-12-08
Invesco Actively Managed Exchange-Traded Fund Trust
December 8, 2022
Q4
2022
2022-12-07
TrueShares Eagle Global Renewable Energy Income ETF
December 7, 2022
Q4
2022
2022-12-06
Dimensional ETF Trust
December 6, 2022
Q4
2022
2022-12-06
Q3 All-Season Active Rotation ETF
December 6, 2022
Q4
2022
2022-12-05
Senior Secured Credit Opportunities ETF
December 5, 2022
Q4
2022
2022-12-01
Main International ETF
December 1, 2022
Q4
2022
2022-12-01
US Vegan Climate ETF
December 1, 2022
Q4
2022
2022-11-30
ProShares S&P Global Core Battery Metals ETF
November 30, 2022
Q4
2022
2022-11-30
AIM ETF Products Trust
November 30, 2022
Q4
2022
2022-11-30
Nicholas Fixed Income Alternative ETF
November 30, 2022
Q4
2022
2022-11-28
The Meet Kevin Pricing Power ETF
November 28, 2022
Q4
2022
2022-11-22
Tidal Trust II
November 22, 2022
Q4
2022
2022-11-21
Global X Funds
November 21, 2022
Q4
2022
2022-11-17
iShares Environmentally Aware Real Estate ETF
November 17, 2022
Q4
2022
2022-11-16
T. Rowe Price Floating Rate ETF
November 16, 2022
Q4
2022
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