Information Circulars

2024-04-17

SEC Section 31 Fee Rate Advisory

2023-03-02

SEC Section 31 Fee Rate Advisory

2022-04-20

SEC Section 31 Fee Rate Advisory

2021-01-19

SEC Section 31 Fee Rate Advisory

2020-01-14

SEC Section 31 Fee Rate Advisory

2019-04-03

SEC Section 31 Fee Rate Advisory

2018-05-30

SEC Section 31 Fee Rate Advisory

2017-06-05

SEC Section 31 Fee Rate Advisory

2016-08-11

Collection of Exchange fees and other claims and billing policy

2016-08-02

Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch

2016-07-13

Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors

2024-07-01

Reminding SRO Members and Member Organizations of the CMRWG

2024-04-17

Enhancements to FINRA Firm Gateway and Regulatory Notifications

2024-01-03

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2024-01-03

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2024-01-03

Notice Regarding Filing of Annual Audited Reports

2023-01-04

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2023-01-04

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2023-01-04

Notice Regarding Filing of Annual Audited Reports

2022-09-15

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2022-01-05

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2022-01-05

Notice Regarding Filing of Annual Audited Reports

2021-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2021-01-05

Notice Regarding Filing of Annual Audited Reports

2020-07-30

Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules

2020-07-17

Industry Presentation by CMRWG on CAT Compliance Rules

2020-07-07

Regulatory Coordination Concerning CAT Reporting Compliance

2020-04-08

Establishment of the CMRWG

2020-03-17

SEC No-Action Relief regarding CAT Reporting

2020-01-07

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2020-01-07

Notice Regarding Filing of Annual Audited Reports

2019-09-24

Market Quality Incentive Programs

2019-07-23

Chief Compliance Officer examination and registration requirements

2019-02-01

Consolidated Audit Trail (CAT) Update

2019-01-10

Active Military Leave Guidance

2019-01-10

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2024-08-12

Rockefeller California Municipal Bond ETF

2024-08-12

Rockefeller Opportunistic Municipal Bond ETF

2024-08-12

Schwab Ultra-Short Income ETF

2024-08-12

Simplify Gamma Emerging Market Bond ETF

2024-08-07

JPMorgan Fundamental Data Science Large Core ETF

2024-08-07

JPMorgan Fundamental Data Science Mid Core ETF

2024-08-07

JPMorgan Fundamental Data Science Small Core ETF

2024-08-07

YieldMax BABA Option Income Strategy ETF

2024-08-07

Defiance Daily Target 2X Long LLY ETF

2024-08-01

Xtrackers Artificial Intelligence and Big Data ETF

2024-07-31

Octane All-Cap Value Energy ETF

2024-07-31

Goldman Sachs Access U.S. Preferred Stock and Hybrid Securities ETF

2024-07-31

Neuberger Berman Core Equity ETF

2024-07-31

Innovator International Developed Power Buffer ETF — August

2024-07-31

Calamos S&P 500 Structured Alt Protection ETF – August

2024-07-31

Innovator ETFs Trust

2024-07-31

AllianzIM U.S. Equity Buffer15 Uncapped Aug ETF

2024-07-30

Grayscale Bitcoin Mini Trust

2024-07-30

AAM Brentview Dividend Growth ETF

2024-07-30

AAM Sawgrass US Small Cap Quality Growth ETF

2024-07-30

AAM Sawgrass US Large Cap Quality Growth ETF

2024-07-30

Federated Hermes MDT Large Cap Value ETF

2024-07-30

Federated Hermes MDT Small Cap Core ETF

2024-07-30

Federated Hermes MDT Large Cap Core ETF

2024-07-30

Federated Hermes MDT Large Cap Growth ETF