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Information Circulars

General Circulars

File No.
Date
Description
IC-2023-0001
2023-03-02
SEC Section 31 Fee Rate Advisory
IC-2022-0001
2022-04-20
SEC Section 31 Fee Rate Advisory
IC-2021-0001
2021-01-19
SEC Section 31 Fee Rate Advisory
IC-2020-0001
2020-01-14
SEC Section 31 Fee Rate Advisory
IC-2019-0001
2019-04-03
SEC Section 31 Fee Rate Advisory
IC-2018-0001
2018-05-30
SEC Section 31 Fee Rate Advisory
IC-2017-0001
2017-06-05
SEC Section 31 Fee Rate Advisory
IC-2016-0003
2016-08-11
Collection of Exchange fees and other claims and billing policy
IC-2016-0002
2016-08-02
Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch
IC-2016-0001
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
RC-2023-0003
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
RC-2023-0002
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
RC-2023-0001
2023-01-04
Notice Regarding Filing of Annual Audited Reports
RC-2022-0003
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
RC-2022-0002
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
RC-2022-0001
2022-01-05
Notice Regarding Filing of Annual Audited Reports
RC-2021-0002
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
RC-2021-0001
2021-01-05
Notice Regarding Filing of Annual Audited Reports
RC-2020-0007
2020-07-30
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
RC-2020-0006
2020-07-17
Industry Presentation by CMRWG on CAT Compliance Rules
RC-2020-0005
2020-07-07
Regulatory Coordination Concerning CAT Reporting Compliance
RC-2020-0004
2020-04-08
Establishment of the CMRWG
RC-2020-0003
2020-03-17
SEC No-Action Relief regarding CAT Reporting
RC-2020-0002
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
RC-2020-0001
2020-01-07
Notice Regarding Filing of Annual Audited Reports
RC-2019-0006
2019-09-24
Market Quality Incentive Programs
RC-2019-0005
2019-07-23
Chief Compliance Officer examination and registration requirements
RC-2019-0004
2019-02-01
Consolidated Audit Trail (CAT) Update
RC-2019-0003
2019-01-10
Active Military Leave Guidance
RC-2019-0002
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
RC-2019-0001
2019-01-10
Notice Regarding Filing of Annual Audited Reports
RC-2018-0004
2018-09-28
Amendments to Membership Registration and Qualification Requirements
RC-2018-0003
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
RC-2018-0002
2018-01-09
Notice Regarding Filing of Annual Audited Reports
RC-2018-0001
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
RC-2017-0005
2017-10-03
Introduction of the IEX Market Maker Peg Order Type
RC-2017-0004
2017-04-11
Consolidated Audit Trail ("CAT") Clock Synchronization Study
RC-2017-0003
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
RC-2017-0002
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
RC-2017-0001
2017-01-06
Notice Regarding Filing of Annual Audited Reports
RC-2016-0001
2016-08-29
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

Product Circulars

File No.
Date
Description
2023-03-27
RBB Fund, Inc.
2023-03-27
Simplify Commodities Strategy No K-1 ETF
2023-03-22
Sprott Nickel Miners ETF
2023-03-21
ETRACS Whitney U.S. Critical Technologies Index ETN
2023-03-21
AB Active ETFs, Inc.
2023-03-21
Roundhill BIG Bank ETF
2023-03-20
Bitwise Bitcoin Strategy Optimum Roll ETF
2023-03-17
First Trust Exchange-Traded Fund VIII
2023-03-15
JPMorgan Active China ETF
2023-03-15
American Century Multisector Floating Income ETF
2023-03-14
YieldMax AAPL Option Income Strategy ETF
2023-03-13
First Trust Bloomberg Inflation Sensitive Equity ETF
2023-03-13
EA Bridgeway Omni Small-Cap Value ETF
2023-03-08
Vanguard Short-Term Tax-Exempt Bond ETF
2023-03-08
Goldman Sachs Community Municipal Bond ETF
2023-03-07
US Treasury 6 Month Bill ETF
2023-03-06
Alger Weatherbie Enduring Growth ETF
2023-03-03
Alpha Architect Tail Risk ETF
2023-03-02
First Trust Bloomberg Emerging Market Democracies ETF
2023-03-02
Northern Lights Fund Trust IV
2023-03-01
Invesco BulletShares 2032 Municipal Bond ETF
2023-02-28
AIM ETF Products Trust
2023-02-23
iShares J.P. Morgan Broad USD Emerging Markets Bond ETF
2023-02-22
Global X Nasdaq 100 ESG Covered Call ETF
2023-02-21
Global X S&P 500 ESG Covered Call ETF
2023-02-21
Horizon Kinetics Energy and Remediation ETF
2023-02-21
BMO ETNs
2023-02-17
FT Cboe Vest U.S. Equity Moderate Buffer ETF – February
2023-02-15
iShares Future Metaverse Tech and Communications ETF
2023-02-14
BMO ETNs
2023-02-14
Engine No. 1 Transform Supply Chain ETF
2023-02-10
Cambiar Aggressive Value ETF
2023-02-07
Simplify Propel Opportunities ETF
2023-02-07
Return Stacked Bonds & Managed Futures ETF
2023-02-07
WisdomTree Voya Yield Enhanced USD Universal Bond Fund
2023-02-06
Series Portfolios Trust
2023-02-03
Calamos Antetokounmpo Global Sustainable Equities ETF
2023-02-01
Sprott Funds Trust
2023-02-01
AIM ETF Products Trust
2023-02-01
iShares Trust
2023-01-31
ASYMmetric ETFs Trust
2023-01-31
First Trust Multi-Strategy Alternative ETF
2023-01-31
Morgan Stanley ETF Trust
2023-01-30
Strive Emerging Markets Ex-China ETF
2023-01-30
Listed Funds Trust
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