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

2022-10-28

Simplify Enhanced Income ETF

2022-10-27

Simplify Stable Income ETF

2022-10-26

T. Rowe Price U.S. High Yield ETF

2022-10-26

Capital Group Fixed Income ETF Trust

2022-10-26

First Trust Indxx Aerospace & Defense ETF

2022-10-26

First Trust Growth Strength ETF

2022-10-24

Neuberger Berman Commodity Strategy ETF

2022-10-24

Angel Oak UltraShort Income ETF

2022-10-24

IQ Candriam ESG U.S. Mid Cap Equity ETF

2022-10-24

IQ MacKay ESG High Income ETF

2022-10-21

Soundwatch Hedged Equity ETF

2022-10-20

VanEck Green Infrastructure ETF

2022-10-19

FT Cboe Vest Rising Dividend Achievers Target Income ETF

2022-10-18

IndexIQ ETF Trust

2022-10-14

EA Bridgeway Blue Chip ETF

2022-10-14

FundX Investment Trust

2022-10-12

Invesco NASDAQ Future Gen 200 ETF

2022-10-12

American Century Short Duration Strategic Income ETF

2022-10-12

KraneShares Electrification Metals Strategy ETF

2022-10-12

Harbor Corporate Culture ETF

2022-10-12

VictoryShares WestEnd U.S. Sector ETF

2022-10-11

Schwab Municipal Bond ETF

2022-10-10

God Bless America ETF

2022-10-10

Unlimited HFND Multi-Strategy Return Tracker ETF

2022-10-06

VanEck Morningstar SMID Moat ETF