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

2024-09-02

Tradr 2X Long SPY Weekly ETF

2024-09-02

Tradr 1.5X Long TSLA Weekly ETF

2024-09-02

Tradr 2X Long SOXX Weekly ETF

2024-09-02

Calamos ETF Trust

2024-09-02

Innovator ETFs Trust

2024-09-02

_AllianzIM U.S. Equity Buffer15 Uncapped Sep ETF

2024-08-27

VanEck Fabless Semiconductor ETF

2024-08-27

Harbor Active Small Cap ETF

2024-08-27

KraneShares China Alpha Index ETF

2024-08-27

Global X Infrastructure Development ex-U.S. ETF

2024-08-21

Tidal Trust II

2024-08-21

Amplify CWP Growth & Income ETF

2024-08-20

Defiance Daily Target 1.5x Short MSTR ETF

2024-08-20

YieldMax TSM Option Income Strategy ETF

2024-08-20

Return Stacked Bonds & Futures Yield ETF

2024-08-19

Pacer Nasdaq 100 Top 50 Cash Cows Growth Leaders ETF

2024-08-19

Innovator Hedged Nasdaq-100 ETF

2024-08-19

Twin Oak Short Horizon Absolute Return ETF

2024-08-16

First Trust Exchange-Traded Fund VIII

2024-08-14

TappAlpha SPY Growth & Daily Income ETF

2024-08-14

Defiance Daily Target 1.75x Long MSTR ETF

2024-08-14

YieldMax N100 Short Option Income Strategy ETF

2024-08-13

Janus Henderson Emerging Markets Debt Hard Currency ETF

2024-08-12

Jensen Quality Growth ETF

2024-08-12

Rockefeller New York Municipal Bond ETF