Information Circulars

General Circulars

File No.
Date
Description
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

Regulatory Circulars

File No.
Date
Description
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
2019-01-10
Notice Regarding Filing of Annual Audited Reports
2018-09-28
Amendments to Membership Registration and Qualification Requirements
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
2018-01-09
Notice Regarding Filing of Annual Audited Reports
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
2017-10-03
Introduction of the IEX Market Maker Peg Order Type
2017-04-11
Consolidated Audit Trail ("CAT") Clock Synchronization Study
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
2017-01-06
Notice Regarding Filing of Annual Audited Reports
2016-08-29
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

Product Circulars

File No.
Date
Description
2022-11-22
Tidal Trust II
2022-11-21
Global X Funds
2022-11-17
iShares Environmentally Aware Real Estate ETF
2022-11-16
T. Rowe Price Floating Rate ETF
2022-11-16
Harbor Health Care ETF
2022-11-16
Innovator Gradient Tactical Rotation Strategy ETF
2022-11-16
Hartford Disciplined US Equity ETF
2022-11-16
Alpha Architect High Inflation and Deflation ETF
2022-11-15
Federated Hermes U.S. Strategic Dividend ETF
2022-11-15
Dimensional Global Sustainability Fixed Income ETF
2022-11-14
US Treasury 12 Month Bill ETF
2022-11-14
Simplify Short Term Treasury Futures Strategy ETF
2022-11-10
EA Series Trust
2022-11-09
AXS Brendan Wood TopGun Index ETF
2022-11-09
Innovator Equity Managed Floor ETF
2022-11-09
DBX ETF Trust
2022-11-07
Angel Oak Income ETF
2022-11-03
Adaptiv Select ETF
2022-11-03
iShares Environmental Infrastructure and Industrials ETF
2022-11-03
Reverb ETF
2022-11-02
VanEck Dynamic High Income ETF
2022-11-02
FT Energy Income Partners Strategy ETF
2022-11-02
BNY Mellon Global Infrastructure Income ETF
2022-11-01
Dimensional ETF Trust
2022-11-01
AIM ETF Products Trust
2022-11-01
Aptus Enhanced Yield ETF
2022-10-31
Victory Portfolios
2022-10-31
Franklin Templeton ETF Trust
2022-10-28
Pacer Trendpilot 100 ETF
2022-10-28
Simplify Enhanced Income ETF
2022-10-27
Simplify Stable Income ETF
2022-10-26
T. Rowe Price U.S. High Yield ETF
2022-10-26
Capital Group Fixed Income ETF Trust
2022-10-26
First Trust Indxx Aerospace & Defense ETF
2022-10-26
First Trust Growth Strength ETF
2022-10-24
Neuberger Berman Commodity Strategy ETF
2022-10-24
Angel Oak UltraShort Income ETF
2022-10-24
IQ Candriam ESG U.S. Mid Cap Equity ETF
2022-10-24
IQ MacKay ESG High Income ETF
2022-10-21
Soundwatch Hedged Equity ETF
2022-10-20
VanEck Green Infrastructure ETF
2022-10-19
FT Cboe Vest Rising Dividend Achievers Target Income ETF
2022-10-18
IndexIQ ETF Trust
2022-10-14
EA Bridgeway Blue Chip ETF
2022-10-14
FundX Investment Trust
2022-10-12
Invesco NASDAQ Future Gen 200 ETF
2022-10-12
American Century Short Duration Strategic Income ETF
2022-10-12
KraneShares Electrification Metals Strategy ETF
2022-10-12
Harbor Corporate Culture ETF
2022-10-12
VictoryShares WestEnd U.S. Sector ETF
2022-10-11
Schwab Municipal Bond ETF
2022-10-10
God Bless America ETF
2022-10-10
Unlimited HFND Multi-Strategy Return Tracker ETF
2022-10-06
VanEck Morningstar SMID Moat ETF
2022-10-06
Burney U.S. Factor Rotation ETF
2022-10-05
Strive U.S. Semiconductor ETF
2022-10-05
NightShares 500 1x/1.5x ETF
2022-10-05
BlackRock Floating Rate Loan ETF
2022-10-05
Distillate Small/Mid Cash Flow ETF
2022-10-04
SRH U.S. Quality ETF
2022-10-04
Thrivent Small-Mid Cap ESG ETF
2022-10-04
Global X Russell 2000 Covered Call & Growth ETF
2022-10-03
Bitwise Web3 ETF
2022-09-30
Putnam ETF Trust
2022-09-29
Simplify Bitcoin Strategy PLUS Income ETF
2022-09-29
Altrius Global Dividend ETF
2022-09-29
AXS Green Alpha ETF
2022-09-29
American Century ETF Trust
2022-09-27
Noble Absolute Return ETF
2022-09-27
John Hancock U.S. High Dividend ETF
2022-09-21
iShares MSCI Water Management Multisector ETF
2022-09-21
WisdomTree Emerging Markets ex-China Fund
2022-09-21
FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF – September
2022-09-19
Carbon Collective Climate Solutions U.S. Equity ETF
2022-09-16
Hashdex Bitcoin Futures ETF
2022-09-15
Arrow Investments Trust
2022-09-14
BondBloxx ETF Trust
2022-09-14
Strive 500 ETF
2022-09-14
Unified Series Trust
2022-09-14
KraneShares S&P Pan Asia Dividend Aristocrats Index ETF
2022-09-13
AB Active ETFs, Inc.
2022-09-12
THOR Low Volatility ETF
2022-09-12
Newday Sustainable Development Equity ETF
2022-09-12
Carbon Strategy ETF
2022-09-09
Main BuyWrite ETF
2022-09-08
ETF Series Solutions Trust
2022-09-08
Invesco Exchange-Traded Self-Indexed Fund Trust
2022-09-08
Emerge ETF Trust
2022-09-07
Harbor International Compounders ETF
2022-09-07
Amplify International Enhanced Dividend Income ETF
2022-09-07
J.P. Morgan Exchange-Traded Fund Trust
2022-09-07
Emerge ETF Trust
2022-09-06
Direxion Shares ETF Trust
2022-09-01
KPOP and Korean Entertainment ETF
2022-08-30
NEOS Enhanced Income Cash Alternative ETF
2022-08-30
NEOS Enhanced Income Aggregate Bond ETF
2022-08-29
NEOS S&P 500® High Income ETF
2022-08-25
iShares Neuroscience and Healthcare ETF
2022-08-24
Invesco Agriculture Commodity Strategy No K-1 ETF
2022-08-23
Amplify Natural Resources Dividend Income ETF