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

2024-05-10

PGIM Rock ETF Trust

2024-05-09

Defiance Oil Enhanced Options Income ETF

2024-05-09

WisdomTree India Hedged Equity Fund

2024-05-08

PGIM Rock ETF Trust

2024-05-07

Global X Funds

2024-05-03

TCW ETF Trust

2024-05-03

FT Energy Income Partners Enhanced Income ETF

2024-05-02

Themes Silver Miners ETF

2024-05-02

Tremblant Global ETF

2024-05-01

John Hancock High Yield ETF

2024-05-01

YieldMax TSLA Short Option Income Strategy ETF

2024-05-01

Harbor Disciplined Bond ETF

2024-05-01

Innovator International Developed Power Buffer ETF — May

2024-04-30

AllianzIM U.S. Large Cap 6 Month Buffer10 May/Nov ETF

2024-04-30

First Trust Bloomberg R&D Leaders ETF

2024-04-30

Calamos S&P 500 Structured Alt Protection ETF — May

2024-04-30

AllianzIM U.S. Equity Buffer15 Uncapped May ETF

2024-04-30

PGIM Rock ETF Trust

2024-04-30

Westwood Salient Enhanced Energy Income ETF

2024-04-30

TrueShares Active Yield ETF

2024-04-29

PeakShares Sector Rotation ETF

2024-04-22

Optimize Strategy Index ETF

2024-04-22

YieldMax Bitcoin Option Income Strategy ETF

2024-04-22

First Trust Exchange-Traded Fund VIII

2024-04-22

Themes Robotics & Automation ETF