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
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
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
2023-01-27
Vest 10 Year Interest Rate Hedge ETF
2023-01-25
Fidelity Tactical Bond ETF
2023-01-24
Timothy Plan Market Neutral ETF
2023-01-23
Panagram BBB-B CLO ETF
2023-01-20
Goldman Sachs Defensive Equity ETF
2023-01-20
FT Cboe Vest U.S. Equity Moderate Buffer ETF – January
2023-01-19
Putnam ETF Trust
2023-01-18
PIMCO Preferred and Capital Securities Active Exchange-Traded Fund
2023-01-12
Horizon Kinetics Energy and Remediation ETF
2023-01-12
BlackRock AAA CLO ETF
2023-01-11
KraneShares China Internet and Covered Call Strategy ETF
2023-01-10
USCF Sustainable Battery Metals Strategy Fund
2023-01-10
Matthews Emerging Markets ex China Active ETF
2023-01-10
Mohr Sector Navigator ETF
2023-01-06
Hypatia Women CEO ETF
2023-01-04
Gabelli Equity Income ETF
2022-12-30
Pinacle Focused Opportunities ETF
2022-12-29
Element EV, Solar & Battery Materials (Lithium, Nickel, Copper, Cobalt) Futures Strategy ETF
2022-12-27
Alpha Architect 1-3 Month Box ETF
2022-12-22
Pacer US Large Cap Cash Cows Growth Leaders ETF
2022-12-22
Subversive Mental Health ETF
2022-12-21
PMV Adaptive Risk Parity ETF
2022-12-21
VanEck Commodity Strategy ETF
2022-12-21
Series Portfolios Trust
2022-12-20
John Hancock International High Dividend ETF
2022-12-19
Teucrium AiLA Long-Short Agriculture Strategy ETF
2022-12-15
ClearBridge Sustainable Infrastructure ETF
2022-12-14
WisdomTree U.S. Quality Growth Fund
2022-12-13
PGIM ETF Trust
2022-12-13
PGIM Portfolio Ballast ETF
2022-12-12
BTD Capital Fund
2022-12-12
GraniteShares ETF Trust
2022-12-09
Kovitz Core Equity ETF
2022-12-08
Invesco Actively Managed Exchange-Traded Fund Trust
2022-12-07
TrueShares Eagle Global Renewable Energy Income ETF
2022-12-06
Dimensional ETF Trust
2022-12-06
Q3 All-Season Active Rotation ETF
2022-12-05
Senior Secured Credit Opportunities ETF
2022-12-01
Main International ETF
2022-12-01
US Vegan Climate ETF
2022-11-30
ProShares S&P Global Core Battery Metals ETF
2022-11-30
AIM ETF Products Trust
2022-11-30
Nicholas Fixed Income Alternative ETF
2022-11-28
The Meet Kevin Pricing Power ETF
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