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

2024-11-15

First Trust Exchange- Traded Fund VIII

2024-11-14

Stance Sustainable Beta ETF

2024-11-13

Dimensional Emerging Markets ex China Core Equity ETF

2024-11-12

Janus Henderson Income ETF

2024-11-12

iShares LifePath Target Date 2070 ETF

2024-11-11

GraniteShares ETF Trust

2024-11-08

FM Compounders Equity ETF

2024-11-07

Parametric Equity Plus ETF

2024-11-07

iShares Trust

2024-11-06

Fundstrat Granny Shots US Large Cap ETF

2024-11-05

Principal International Equity ETF

2024-11-03

BNY Mellon Dynamic Value ETF

2024-10-31

Calamos S&P 500 Structured Alt Protection ETF — November

2024-10-31

Innovator ETFs Trust

2024-10-31

AllianzIM U.S. Equity Buffer15 Uncapped Nov ETF

2024-10-31

FPA Short Duration Government ETF

2024-10-30

F/m Emerald Life Sciences Innovation ETF

2024-10-30

Roundhill S&P 500Target 20 Managed Distribution ETF

2024-10-28

The 2023 ETF Series Trust II

2024-10-28

Amplify Bloomberg U.S. Treasury Target High Income ETF

2024-10-25

Rockefeller Global Equity ETF

2024-10-23

T. Rowe Price Technology ETF

2024-10-23

iShares Trust

2024-10-23

TradersAI Large Cap Equity & Cash ETF

2024-10-23

iShares Top 20 U.S. Stocks ETF