Information Circulars

General Circulars

All
Year
Down Arrow Icon
OR
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
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
No results found.
There are no results with this criteria. Try changing your search.

Regulatory Circulars

All
Year
Down Arrow Icon
OR
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
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
No results found.
There are no results with this criteria. Try changing your search.

Product Circulars

All
Year
Down Arrow Icon
OR
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
2018-02-13
Strategy Shares Nasdaq 7HANDL Index ETF
February 13, 2018
Q1
2018
2018-02-13
Reality Shares Nasdaq NexGen Economy ETF
February 13, 2018
Q1
2018
2018-02-13
Motley Fool 100 Index ETF
February 13, 2018
Q1
2018
2018-02-13
KraneShares MSCI All China Health Care Index ETF
February 13, 2018
Q1
2018
2018-02-13
KraneShares Electric Vehicles and Future Mobility Index ETF
February 13, 2018
Q1
2018
2018-02-13
JPMorgan USD Emerging Markets Sovereign Bond ETF
February 13, 2018
Q1
2018
2018-02-13
JPMorgan Long/Short ETF
February 13, 2018
Q1
2018
2018-02-13
iPathA Series B Bloomberg ETNs
February 13, 2018
Q1
2018
2018-02-13
iPath Series B S&P 500 VIX Notes
February 13, 2018
Q1
2018
2018-02-13
InsightShares Patriotic Employers ETF
February 13, 2018
Q1
2018
2018-02-13
Innovation Shares NextGen Protocol ETF
February 13, 2018
Q1
2018
2018-02-13
GraniteShares Platinum Shares ETF
February 13, 2018
Q1
2018
2018-02-13
Franklin FTSE ETFs
February 13, 2018
Q1
2018
2018-02-13
First Trust Indxx Innovative Transaction & Process ETF
February 13, 2018
Q1
2018
2018-02-13
Fidelity International High Dividend ETF
February 13, 2018
Q1
2018
2018-02-13
BMO REX MicroSectors ETNs
February 13, 2018
Q1
2018
2018-02-13
Amplify Transformational Data Sharing ETF
February 13, 2018
Q1
2018
2018-02-13
Affinity World Leaders Equity ETF
February 13, 2018
Q1
2018
2018-01-30
Arrow DWA Country Rotation ETF
January 30, 2018
Q1
2018
2018-01-30
American Energy Independence ETF
January 30, 2018
Q1
2018
2018-01-30
Pacer WealthShield ETF
January 30, 2018
Q1
2018
2018-01-30
Xtrackers Short Duration High Yield Bond ETF
January 30, 2018
Q1
2018
2018-01-30
InsightShares LGBT Employment Equality ETF
January 30, 2018
Q1
2018
2018-01-30
Citigroup Global Markets Holdings Inc.
January 30, 2018
Q1
2018
2018-01-30
James Biblically Responsible Investment ETF
January 30, 2018
Q1
2018
No results found.
There are no results with this criteria. Try changing your search.