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

2025-01-10

Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms

2025-01-08

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

2025-01-08

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

2025-01-02

Notice Regarding Filing of Annual Audited Reports

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

2025-03-28

ARK Investment Management LLC/ARK ETF Trust

2025-03-27

Cambria Fixed Income Trend ETF

2025-03-26

JPMorgan Nasdaq Hedged Equity Laddered Overlay ETF

2025-03-26

Avantis U.S. Quality ETF

2025-03-26

GlacierShares Nasdaq Iceland ETF

2025-03-26

Westwood LBRTY Global Equity ETF

2025-03-26

T. Rowe Price Exchange-Traded Funds, Inc.

2025-03-26

YieldMax MSTR Short Option Income Strategy ETF

2025-03-26

YieldMax MSTR Short Option Income Strategy ETF

2025-03-25

iShares Trust

2025-03-25

Direxion Shares ETF Trust

2025-03-25

iShares Trust

2025-03-25

iShares Trust

2025-03-25

Principal Capital Appreciation Select ETF

2025-03-24

GraniteShares ETF Trust

2025-03-21

FundVantage Trust

2025-03-21

FT Vest U.S. Equity Equal Weight Buffer ETF – March

2025-03-21

FT Vest Emerging Markets Buffer ETF – March

2025-03-20

Themes ETF Trust

2025-03-19

Inverse VIX Short-Term Futures ETNs due March 22, 2045

2025-03-19

MarketDesk Focused U.S. Momentum ETF

2025-03-19

Volatility Shares LLC

2025-03-18

Defiance Daily Target 2X Long HOOD ETF

2025-03-18

Fortuna Hedged Bitcoin Fund

2025-03-18

Invesco Managed Futures Strategy ETF