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Information Circulars

General Circulars

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File No.
Date
Description
IC-2025-0001
2025-04-09
SEC Section 31 Fee Rate Advisory
April 9, 2025
Q2
2025
IC-2024-0001
2024-04-17
SEC Section 31 Fee Rate Advisory
April 17, 2024
Q2
2024
IC-2023-0001
2023-03-02
SEC Section 31 Fee Rate Advisory
March 2, 2023
Q1
2023
IC-2022-0001
2022-04-20
SEC Section 31 Fee Rate Advisory
April 20, 2022
Q2
2022
IC-2021-0001
2021-01-19
SEC Section 31 Fee Rate Advisory
January 19, 2021
Q1
2021
IC-2020-0001
2020-01-14
SEC Section 31 Fee Rate Advisory
January 14, 2020
Q1
2020
IC-2019-0001
2019-04-03
SEC Section 31 Fee Rate Advisory
April 3, 2019
Q2
2019
IC-2018-0001
2018-05-30
SEC Section 31 Fee Rate Advisory
May 30, 2018
Q2
2018
IC-2017-0001
2017-06-05
SEC Section 31 Fee Rate Advisory
June 5, 2017
Q2
2017
IC-2016-0003
2016-08-11
Collection of Exchange fees and other claims and billing policy
August 11, 2016
Q3
2016
IC-2016-0002
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
IC-2016-0001
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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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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File No.
Date
Description
PC-2018-0089
2018-06-11
Amplify Advanced Battery Metals and Materials ETF
June 11, 2018
Q2
2018
PC-2018-0088
2018-06-11
AI Powered International Equity ETF
June 11, 2018
Q2
2018
PC-2018-0087
2018-06-01
Virtus InfraCap U.S. Preferred Stock ETF
June 1, 2018
Q2
2018
PC-2018-0086
2018-06-01
USCF SummerHaven Dynamic Commodity Strategy No K-1 Fund
June 1, 2018
Q2
2018
PC-2018-0085
2018-06-01
Salt truBeta High Exposure ETF
June 1, 2018
Q2
2018
PC-2018-0084
2018-06-01
REX BKCM ETF
June 1, 2018
Q2
2018
PC-2018-0083
2018-06-01
ProShares S&P 500 Bond ETF
June 1, 2018
Q2
2018
PC-2018-0082
2018-06-01
Pacer Benchmark Retail Real Estate SCTR ETF
June 1, 2018
Q2
2018
PC-2018-0081
2018-06-01
Pacer Benchmark Industrial Real Estate SCTR ETF
June 1, 2018
Q2
2018
PC-2018-0080
2018-06-01
Pacer Benchmark Data & Infrastructure Real Estate SCTR ETF
June 1, 2018
Q2
2018
PC-2018-0079
2018-06-01
iShares Inflation Hedged Corporate Bond ETF
June 1, 2018
Q2
2018
PC-2018-0078
2018-06-01
First Trust Dorsey Wright DALI 1 ETF
June 1, 2018
Q2
2018
PC-2018-0077
2018-06-01
Credit Suisse FI Enhanced Europe 50 Exchange Traded
June 1, 2018
Q2
2018
PC-2018-0076
2018-04-20
Global X Autonomous & Electric Vehicles ETF
April 20, 2018
Q2
2018
PC-2018-0075
2018-04-20
Principal Investment Grade Corporate Active ETF
April 20, 2018
Q2
2018
PC-2018-0074
2018-04-20
Hartford Funds Exchange-Traded Trust
April 20, 2018
Q2
2018
PC-2018-0073
2018-04-20
Direxion Daily Robotics, Artificial Intelligence & Automation Index Bull 3X Shares
April 20, 2018
Q2
2018
PC-2018-0072
2018-04-17
GS Finance Corp. Large Cap Growth Index-Linked ETNs Due 2028
April 17, 2018
Q2
2018
PC-2018-0071
2018-04-16
Xtrackers Russell 1000 US QARP ETF
April 16, 2018
Q2
2018
PC-2018-0070
2018-04-16
VanEck Vectors Real Asset Allocation ETF
April 16, 2018
Q2
2018
PC-2018-0069
2018-04-16
PPTY – U.S. Diversified Real Estate ETF
April 16, 2018
Q2
2018
PC-2018-0068
2018-04-16
PGIM Ultra Short Bond ETF
April 16, 2018
Q2
2018
PC-2018-0067
2018-04-16
Pacer Military Times Best Employers ETF
April 16, 2018
Q2
2018
PC-2018-0066
2018-04-16
Nationwide Maximum Diversification Emerging Markets Core Equity ETF
April 16, 2018
Q2
2018
PC-2018-0065
2018-04-16
LHA Market State U.S. Tactical ETF
April 16, 2018
Q2
2018
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