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
2017-08-24
iShares Trust
August 24, 2017
Q3
2017
2017-08-24
Oppenheimer Revenue Weighted ETF Trust
August 24, 2017
Q3
2017
2017-08-24
PowerShares Exchange-Traded Fund Trust II
August 24, 2017
Q3
2017
2017-08-24
WisdomTree U.S. Multifactor Fund
August 24, 2017
Q3
2017
2017-08-24
Legg Mason Small-Cap Quality Value
August 24, 2017
Q3
2017
2017-08-24
Goldman Sachs ActiveBeta U.S. Small Cap Equity ETF
August 24, 2017
Q3
2017
2017-08-24
Transamerica ETF Trust
August 24, 2017
Q3
2017
2017-08-24
First Trust Exchange-Traded Fund VI
August 24, 2017
Q3
2017
2017-08-24
AdvisorShares New Tech and Media ETF
August 24, 2017
Q3
2017
2017-08-24
TrimTabs All Cap International Free-Cash-Flow ET
August 24, 2017
Q3
2017
2017-08-24
First Trust California Municipal High Income ETF
August 24, 2017
Q3
2017
2017-08-24
iShares Trust
August 24, 2017
Q3
2017
2017-08-24
Inspire Corporate Bond Impact ETF
August 24, 2017
Q3
2017
2017-08-24
USCF Funds Trust
August 24, 2017
Q3
2017
2017-08-24
iShares Russell 2500 ETF
August 24, 2017
Q3
2017
2017-08-24
Principal Spectrum Preferred Securities Active ETF
August 24, 2017
Q3
2017
2017-08-24
ProSports Sponsors ETF
August 24, 2017
Q3
2017
2017-08-24
ProShares Equities for Rising Rates ETF
August 24, 2017
Q3
2017
2017-08-24
iShares MSCI Emerging Markets ex China ETF
August 24, 2017
Q3
2017
2017-08-24
VictoryShares US Multi-Factor Minimum Volatility ETF
August 24, 2017
Q3
2017
2017-08-24
First Trust Dow 30 Equal Weight ETF
August 24, 2017
Q3
2017
2017-08-24
ClearShares OCIO ETF
August 24, 2017
Q3
2017
2017-08-24
Direxion Daily EURO STOXX 50 Bull 3X Shares
August 24, 2017
Q3
2017
2017-08-24
Virtus Enhanced Short U.S. Equity ETF
August 24, 2017
Q3
2017
2017-08-24
US Global GO Gold and Precious Metals Miners ETF
August 24, 2017
Q3
2017
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