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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Product Circulars

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Year
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File No.
Date
Description
2017-03-13
PowerShares Actively Managed Exchange-Traded Fund Trust
March 13, 2017
Q1
2017
2017-03-13
Tortoise Water Fund
March 13, 2017
Q1
2017
2017-03-13
Global X Founder-Run Companies ETF
March 13, 2017
Q1
2017
2017-03-13
Global X U.S. Infrastructure Development ETF
March 13, 2017
Q1
2017
2017-03-13
SPDR Long Dollar Gold Trust
March 13, 2017
Q1
2017
2017-03-13
First Trust TCW Opportunistic Fixed Income ETF
March 13, 2017
Q1
2017
2017-03-13
InfraCap REIT Preferred ETF
March 13, 2017
Q1
2017
2017-01-30
ALPS/Dorsey Wright Sector Momentum ETF
January 30, 2017
Q1
2017
2017-01-30
QuantX Funds
January 30, 2017
Q1
2017
2017-01-30
Davis Fundamental ETF Trust
January 30, 2017
Q1
2017
2017-01-30
Virtus Cumberland Municipal Bond ETF
January 30, 2017
Q1
2017
2017-01-30
PowerShares Treasury Collateral Portfolio
January 30, 2017
Q1
2017
2017-01-11
Elkhorn ETFTrust
January 11, 2017
Q1
2017
2017-01-11
Legg Mason Global Infrastructure ETF
January 11, 2017
Q1
2017
2017-01-11
NuShares ETF Trust
January 11, 2017
Q1
2017
2017-01-11
WBI Power Factor High Dividend ETF
January 11, 2017
Q1
2017
2017-01-11
John Hancock Multifactor Developed International ETF
January 11, 2017
Q1
2017
2017-01-11
Direxion Shares ETF Trust
January 11, 2017
Q1
2017
2017-01-11
Pacer US Cash Cows 100 ETF
January 11, 2017
Q1
2017
2017-01-11
NuSharesShort-TermREITETF
January 11, 2017
Q1
2017
2017-01-11
O'Shares FTSE Russell Small Cap Quality Dividend Quality ETF
January 11, 2017
Q1
2017
2017-01-11
Amplify YieldShares CWP Dividend & Options Income ETF
January 11, 2017
Q1
2017
2017-01-11
BMO Elkhorn DWA MLP Select Index Exchange Traded Notes Due December 10,
January 11, 2017
Q1
2017
2017-01-11
UBS ETRACS – ProShares Daily 3X Crude ETNs
January 11, 2017
Q1
2017
2016-12-16
Virtus Newfleet Dynamic Credit ETF
December 16, 2016
Q4
2016
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