Information Circulars

General Circulars

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Year
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OR
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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
2016-09-14
AdvisorShares Global Alpha & Beta ETF
September 14, 2016
Q3
2016
2016-09-14
Claymore ETF Funds 2
September 14, 2016
Q3
2016
2016-09-14
Claymore ETF Trust
September 14, 2016
Q3
2016
2016-09-14
Direxion Shares ETF Trust
September 14, 2016
Q3
2016
2016-09-14
Direxion Daily Japan Bul-Bear 3X Shares
September 14, 2016
Q3
2016
2016-09-14
Direxion Daily FTSE Funds
September 14, 2016
Q3
2016
2016-09-14
Direxion Shares ETF Trust 2
September 14, 2016
Q3
2016
2016-09-14
Direxion Daily ETFs
September 14, 2016
Q3
2016
2016-09-14
First Trust AlphaDex Funds
September 14, 2016
Q3
2016
2016-09-14
First Trust Exchange-Traded Fund II
September 14, 2016
Q3
2016
2016-09-14
First Trust Eurozone AlphaDEX ETF
September 14, 2016
Q3
2016
2016-09-14
First Trust Funds
September 14, 2016
Q3
2016
2016-09-14
Franklin Short Duration U.S.
September 14, 2016
Q3
2016
2016-09-14
Global X Funds
September 14, 2016
Q3
2016
2016-09-14
Global X Scientific Beta US ETF
September 14, 2016
Q3
2016
2016-09-14
Global X Thematic ETFs
September 14, 2016
Q3
2016
2016-09-14
IndexIQ ETF Trust
September 14, 2016
Q3
2016
2016-09-14
iShares 2019 AMT-Free Muni Term ETF
September 14, 2016
Q3
2016
2016-09-14
iShares High Dividend Equity and MSCI China Index Funds
September 14, 2016
Q3
2016
2016-09-14
iShares FTSE Funds
September 14, 2016
Q3
2016
2016-09-14
iShares Goldman Funds
September 14, 2016
Q3
2016
2016-09-14
iShares International Dividend Growth ETF
September 14, 2016
Q3
2016
2016-09-14
iShares Liquidity Income ETF
September 14, 2016
Q3
2016
2016-09-14
iShares MSCI Global Funds
September 14, 2016
Q3
2016
2016-09-14
YieldShares High Income ETF
September 14, 2016
Q3
2016
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