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

2024-06-13

GI Enhanced Nasdaq-100 ETF

2024-06-13

PGIM Rock ETF Trust

2024-06-11

iShares iBonds Dec 2054 Term Treasury ETF

2024-06-11

iShares iBonds Dec 2044 Term Treasury ETF

2024-06-11

iShares iBonds Dec 2034 Term Treasury ETF

2024-06-11

Invesco BulletShares 2034 Corporate Bond ETF

2024-06-11

Invesco BulletShares 2032 High Yield Corporate Bond ETF

2024-06-11

OneAscent Small Cap Core ETF

2024-06-10

YieldMax SNOW Option Income Strategy ETF

2024-06-07

AB Short Duration High Yield ETF

2024-06-07

AB Short Duration Income ETF

2024-06-07

ProShares Ultra Ether ETF

2024-06-07

ProShares UltraShort Ether ETF

2024-06-05

Direxion Shares ETF Trust

2024-06-05

BlackRock Large Cap Growth ETF

2024-06-04

Global X Russell 2000 ETF

2024-06-04

2x Ether ETF

2024-06-03

REX AI Equity Premium Income ETF

2024-06-03

PGIM Rock ETF Trust

2024-06-03

Innovator International Developed Power Buffer ETF — June

2024-05-31

AllianzIM U.S. Large Cap 6 Month Buffer10 Jun-Dec ETF

2024-05-31

Calamos Nasdaq 100 Structured Alt Protection ETF — June

2024-05-31

AllianzIM U.S. Equity Buffer15 Uncapped June ETF

2024-05-31

Rareview Total Return Bond ETF

2024-05-31

Innovator ETFs Trust