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

2024-10-23

World Funds Trust

2024-10-22

Amplify Small-Mid Cap Equity ETF

2024-10-21

Defiance Large Cap ex-Mag 7 ETF

2024-10-21

BlackRock ETF Trust

2024-10-21

Select STOXX Europe Aerospace & Defense ETF

2024-10-18

Essential 40 Stock ETF

2024-10-18

First Trust Exchange-Traded Fund VIII

2024-10-16

Ned Davis Research 360 Dynamic Allocation ETF

2024-10-16

NEOS Bitcoin High Income ETF

2024-10-15

Virtus KAR Mid-Cap ETF

2024-10-15

STKD Bitcoin & Gold ETF

2024-10-11

Themes Transatlantic Defense ETF

2024-10-11

Rockefeller U.S. Small-Mid Cap ETF

2024-10-09

Harbor PanAgora Dynamic Large Cap Core ETF

2024-10-09

Direxion Shares ETF Trust

2024-10-09

SEI Exchange Traded Funds

2024-10-08

Xtrackers US 0-1 Year Treasury ETF

2024-10-08

YieldMax PLTR Option Income Strategy ETF

2024-10-08

KraneShares Man Buyout Beta Index ETF

2024-10-04

First Trust Exchange-Traded Fund

2024-10-04

Precidian ETFs Trust

2024-10-02

Direxion Shares ETF Trust

2024-10-02

First Trust New Constructs Core Earnings Leaders ETF

2024-10-02

The Advisors’ Inner Circle Fund II

2024-10-02

Roundhill China Dragons ETF