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

2018-08-17

Bank of Montreal Notes

2018-08-17

AdvisorShares Trust

2018-07-27

ProShares Online Retail ETF

2018-07-27

Pacer ETFs

2018-07-27

Opus Small Cap Value Plus ETF

2018-07-27

Impact Shares NAACP Minority Empowerment ETF

2018-07-27

Global X S&P 500® Quality Dividend ETF

2018-07-27

FlexShares High Yield Value-Scored Bond Index Fund

2018-07-27

ClearShares Ultra-Short Maturity ETF

2018-07-09

SPDR Gold MiniShares Trust

2018-07-09

Rogers AI Global Macro ETF

2018-07-09

Reality Shares Nasdaq NexGen Economy China ETF

2018-07-09

KraneShares CCBS China Corporate High Yield Bond USD Index ETF

2018-07-09

iShares Robotics and Artificial Intelligence ETF

2018-07-09

ALPS Clean Energy ETF

2018-06-21

JPMorgan BetaBuilders ETFs

2018-06-21

iShares Gold Strategy ETF

2018-06-21

Goldman Sachs JUST U.S. Large Cap Equity ETF

2018-06-21

Global X Future Analytics Tech ETF

2018-06-21

Fidelity Low Duration Bond Factor ETF

2018-06-21

Fidelity High Yield Factor ETF

2018-06-21

Amplify EASI Tactical Growth ETF

2018-06-11

O'Shares Global Internet Giants ETF

2018-06-11

Franklin Liberty ETFs

2018-06-11

First Trust TCW Unconstrained Plus Bond ETF