General Circulars
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File No.
Date
Description
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
Regulatory Circulars
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File No.
Date
Description
2019-07-23
Chief Compliance Officer examination and registration requirements
July 23, 2019
Q3
2019
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 10, 2019
Q1
2019
2018-09-28
Amendments to Membership Registration and Qualification Requirements
September 28, 2018
Q3
2018
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
March 5, 2018
Q1
2018
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 8, 2018
Q1
2018
2017-04-11
Consolidated Audit Trail ("CAT") Clock Synchronization Study
April 11, 2017
Q2
2017
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
March 9, 2017
Q1
2017
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
January 10, 2017
Q1
2017
2016-08-29
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
August 29, 2016
Q3
2016
Product Circulars
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File No.
Date
Description
2023-08-03
First Trust Intermediate Duration Investment Grade Corporate ETF
August 3, 2023
Q3
2023
2023-07-17
Innovator Equity Defined Protection ETF – 2 Yr to July 2025
July 17, 2023
Q3
2023
