Information Circulars

2025-04-09

SEC Section 31 Fee Rate Advisory

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

2023-03-02

First Trust Bloomberg Emerging Market Democracies ETF

2023-03-02

Northern Lights Fund Trust IV

2023-03-01

Invesco BulletShares 2032 Municipal Bond ETF

2023-02-28

AIM ETF Products Trust

2023-02-23

iShares J.P. Morgan Broad USD Emerging Markets Bond ETF

2023-02-22

Global X Nasdaq 100 ESG Covered Call ETF

2023-02-21

Global X S&P 500 ESG Covered Call ETF

2023-02-21

Horizon Kinetics Energy and Remediation ETF

2023-02-21

BMO ETNs

2023-02-17

FT Cboe Vest U.S. Equity Moderate Buffer ETF – February

2023-02-15

iShares Future Metaverse Tech and Communications ETF

2023-02-14

BMO ETNs

2023-02-14

Engine No. 1 Transform Supply Chain ETF

2023-02-10

Cambiar Aggressive Value ETF

2023-02-07

Simplify Propel Opportunities ETF

2023-02-07

Return Stacked Bonds & Managed Futures ETF

2023-02-07

WisdomTree Voya Yield Enhanced USD Universal Bond Fund

2023-02-06

Series Portfolios Trust

2023-02-03

Calamos Antetokounmpo Global Sustainable Equities ETF

2023-02-01

Sprott Funds Trust

2023-02-01

AIM ETF Products Trust

2023-02-01

iShares Trust

2023-01-31

ASYMmetric ETFs Trust

2023-01-31

First Trust Multi-Strategy Alternative ETF

2023-01-31

Morgan Stanley ETF Trust