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

2018-01-30

AdvisorShares Vice ETF

2018-01-30

American Century STOXX U.S. Quality Value ETF

2018-01-30

DBX ETF Trust

2018-01-30

American Century Diversified Corporate Bond ETF

2018-01-30

IQ Chaikin U.S. Large Cap ETF

2018-01-30

WisdomTree Balanced Income Fund & WisdomTree ICBCCS S&P China 500 Fund

2018-01-30

Arrow Dogs of the World ETF

2018-01-30

Natixis Loomis Sayles Short Duration Income ETF

2018-01-30

Innovator IBD ETF Leaders ETF

2018-01-30

SPDR Series Trust

2018-01-30

WisdomTree U.S. Quality Shareholder Yield Fund

2018-01-30

ALPS Disruptive Technologies ETF

2018-01-26

SPROTT Physical Gold and Silver Trust

2017-12-11

ARK Israel Innovative Technology ETF

2017-12-11

JPMorgan Managed Futures Strategy ETF

2017-12-11

Direxion Daily Pharmaceutical & Medical Bull 3X Shares

2017-12-11

Hartford Global Impact Nextshares Fund

2017-12-11

AAM S&P High Dividend Value ETF

2017-12-11

JPMorgan Diversified Event Driven ETF

2017-12-11

USCF ETF Trust

2017-12-11

ProShares Long Online/Short Stores ETF

2017-12-11

ProShares Decline of the Retail Store ETF

2017-11-15

Franklin Templeton ETF Trust

2017-11-15

J.P. Morgan Exchange-Traded Fund Trust

2017-11-15

Reverse Cap Weighted U.S. Large Cap ETF