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
2019-07-23
Chief Compliance Officer examination and registration requirements
July 23, 2019
Q3
2019
2019-02-01
Consolidated Audit Trail (CAT) Update
February 1, 2019
Q1
2019
2019-01-10
Active Military Leave Guidance
January 10, 2019
Q1
2019
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 10, 2019
Q1
2019
2019-01-10
Notice Regarding Filing of Annual Audited Reports
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
2018-01-09
Notice Regarding Filing of Annual Audited Reports
January 9, 2018
Q1
2018
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 8, 2018
Q1
2018
2017-10-03
Introduction of the IEX Market Maker Peg Order Type
October 3, 2017
Q4
2017
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
2017-01-06
Notice Regarding Filing of Annual Audited Reports
January 6, 2017
Q1
2017
2016-08-29
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
August 29, 2016
Q3
2016
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Product Circulars

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Year
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File No.
Date
Description
2022-07-13
Matthews International Funds
July 13, 2022
Q3
2022
2022-07-11
AAM Transformers ETF
July 11, 2022
Q3
2022
2022-07-11
RiverNorth Enhanced Pre-Merger SPAC ETF
July 11, 2022
Q3
2022
2022-07-08
iShares iBonds Dec 2032 Term Treasury ETF
July 8, 2022
Q3
2022
2022-07-06
Global X Interest Rate Hedge ETF
July 6, 2022
Q3
2022
2022-07-05
Global X Interest Rate Volatility & Inflation Hedge ETF
July 5, 2022
Q3
2022
2022-06-30
Day Hagan-Ned Davis Research Smart Sector International ETF
June 30, 2022
Q2
2022
2022-06-29
iShares iBonds Dec 2032 Term Corporate ETF
June 29, 2022
Q2
2022
2022-06-29
Franklin Responsibly Sourced Gold ETF
June 29, 2022
Q2
2022
2022-06-29
BondBloxx JP Morgan USD Emerging Markets 1-10 Year Bond ETF
June 29, 2022
Q2
2022
2022-06-28
AOT Growth and Innovation ETF
June 28, 2022
Q2
2022
2022-06-27
Xtrackers Net Zero Pathway Paris Aligned US Equity ETF
June 27, 2022
Q2
2022
2022-06-27
Unified Series Trust
June 27, 2022
Q2
2022
2022-06-23
iShares U.S. ETF Trust
June 23, 2022
Q2
2022
2022-06-23
Nuveen Global Net Zero Transition ETF
June 23, 2022
Q2
2022
2022-06-22
IQ Winslow Large Cap Growth ETF, IQ Winslow Focused Large Cap Growth ETF
June 22, 2022
Q2
2022
2022-06-22
VanEck CLO ETF
June 22, 2022
Q2
2022
2022-06-21
Bank of Montreal Notes
June 21, 2022
Q2
2022
2022-06-21
Ionic Inflation Protection ETF
June 21, 2022
Q2
2022
2022-06-17
Short Bitcoin Strategy ETF
June 17, 2022
Q2
2022
2022-06-15
Syntax Stratified Total Market II ETF
June 15, 2022
Q2
2022
2022-06-15
Optimize AI Smart Sentiment Event-Driven ETF
June 15, 2022
Q2
2022
2022-06-15
FT Cboe Vest Fund of Nasdaq-100® Buffer ETFs
June 15, 2022
Q2
2022
2022-06-13
JPMorgan International Research Enhanced Equity ETF
June 13, 2022
Q2
2022
2022-06-08
Pacer Funds Trust
June 8, 2022
Q2
2022
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