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

2017-05-17

iShares MSCI Argentina and Global Exposure ETF

2017-05-17

Franklin Templeton ETF Trust

2017-05-17

Alpha Architect Value Momentum Trend ETF

2017-05-17

VelocityShares 1x Long and Daily Inverse VSTOXX Futures ETNs

2017-05-17

Credit Suisse X-Links Crude Oil Shares Covered Call ETNs due April 24, 2037

2017-04-13

ProShares UltraPro 3X Crude Oil ETFs

2017-04-13

Direxion Auspice Broad Commodity Strategy ETF

2017-04-13

JPMorgan Global Bond Opportunities ETF

2017-04-13

CWA Income ETF

2017-04-13

Bloomberg Commodity ETFs

2017-04-13

NuShares Enhanced Yield 1-5 Year U.S. Aggregate Bond ETF

2017-04-13

Hartford Funds Exchange-Traded Trust

2017-04-13

iShares Core MSCI International Developed Markets ETF

2017-04-13

O'Shares FTSE Russell International Quality Dividend ETF

2017-04-13

Active Alts Contrarian ETF

2017-04-13

Saba Closed-End Funds ETF

2017-04-13

Pacer Global Cash Cows Dividend ETF

2017-04-13

Arrow Reserve Capital Management ETF

2017-04-13

PowerShares Exchange-Traded Fund Trust II

2017-04-13

Cambria Tail Risk ETF

2017-04-13

iPath Series B Bloomberg Natural Gas Total Return Subindex Total Return ETN

2017-03-13

Northern Lights Fund Trust IV

2017-03-13

VanEck Vectors Green Bond ETF

2017-03-13

Franklin Templeton ETF Trust

2017-03-13

IQ S&P High Yield Low Volatility Bond ETF