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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Product Circulars

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Year
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File No.
Date
Description
2016-10-11
iShares Edge MSCI Min Vol USA Small-Cap ETF
October 11, 2016
Q4
2016
2016-10-11
Direxion Shares ETF Trust
October 11, 2016
Q4
2016
2016-09-15
Claymore/AlphaShares China Real Estate ETF
September 15, 2016
Q3
2016
2016-09-15
Claymore/Raymond James SB-1 Equity ETF
September 15, 2016
Q3
2016
2016-09-15
Direxion Funds
September 15, 2016
Q3
2016
2016-09-15
First Trust BICK Index Fund
September 15, 2016
Q3
2016
2016-09-15
Global X Funds
September 15, 2016
Q3
2016
2016-09-15
Global X Permanent ETF
September 15, 2016
Q3
2016
2016-09-15
iShares 10+ Year Government Credit Bond Fund
September 15, 2016
Q3
2016
2016-09-15
iShares Barclays GNMA Bond Fund
September 15, 2016
Q3
2016
2016-09-15
iShares JPMorgan USD Emerging Markets Bond Fund
September 15, 2016
Q3
2016
2016-09-15
iShares MSCI Emerging Markets Index Funds
September 15, 2016
Q3
2016
2016-09-15
iShares MSCI Funds
September 15, 2016
Q3
2016
2016-09-15
iShares MSCI Funds
September 15, 2016
Q3
2016
2016-09-15
iShares S&P AMT-Free Municipal Series
September 15, 2016
Q3
2016
2016-09-15
Market Vectors Russia Small-Cap ETF
September 15, 2016
Q3
2016
2016-09-15
Market Vectors Unconventional Oil & Gas ETF
September 15, 2016
Q3
2016
2016-09-15
PIMCO Total Return Exchange-Traded Fund
September 15, 2016
Q3
2016
2016-09-15
PowerShares ETFs
September 15, 2016
Q3
2016
2016-09-15
PowerShares S&P 500 Downside Hedged Portfolio
September 15, 2016
Q3
2016
2016-09-15
ProShares Funds
September 15, 2016
Q3
2016
2016-09-15
Royal Bank of Canada ETN Linked S&P 500 Trend Allocator PR Index
September 15, 2016
Q3
2016
2016-09-15
SPDR Index Shares Funds
September 15, 2016
Q3
2016
2016-09-15
UBS AG Exchange Traded Access Securities Linked to the Alerian Natural Gas MLP Index
September 15, 2016
Q3
2016
2016-09-14
AdvisorShares Sunrise Global Multi-Strategy ETF
September 14, 2016
Q3
2016
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