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
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
2022-08-23
AdvisorShares MSOS 2x Daily ETF
2022-08-23
Inspire Fidelis Multi Factor ETF
2022-08-19
iShares Trust
2022-08-17
BlackRock Future Financial and Technology ETF
2022-08-17
Aztlan Global Stock Selection DM SMID ETF
2022-08-17
Argent Mid Cap ETF
2022-08-15
ConvexityShares Trust
2022-08-10
Direxion Daily Electric and Autonomous Vehicles Bull 2X Shares
2022-08-10
Innovator Uncapped Accelerated U.S. Equity ETF
2022-08-08
Direxion Shares ETF Trust
2022-08-08
GraniteShares ETF Trust
2022-08-08
RBB Fund Inc.
2022-08-08
SoFi Web 3 ETF
2022-08-08
JPMorgan Active Growth ETF
2022-08-08
Strive U.S. Energy ETF
2022-08-08
Touchstone Ultra Short Income ETF
2022-08-08
Logan Capital Broad Innovative Growth ETF
2022-08-05
Schwab Crypto Thematic ETF
2022-08-05
Touchstone Dividend Select ETF
2022-08-03
Sprott ESG Gold ETF
2022-08-03
Horizon Kinetics Blockchain Development ETF
2022-07-29
Conductor International Equity Value ETF
2022-07-28
Touchstone US Large Cap Focused ETF
2022-07-25
IQ MacKay Multi-Sector Income ETF
2022-07-25
Innovator Hedged TSLA Strategy ETF
2022-07-22
Touchstone Strategic Income Opportunities ETF
2022-07-14
Investment Managers Series Trust II
2022-07-13
Harbor Energy Transition Strategy ETF
2022-07-13
Matthews International Funds
2022-07-11
AAM Transformers ETF
2022-07-11
RiverNorth Enhanced Pre-Merger SPAC ETF
2022-07-08
iShares iBonds Dec 2032 Term Treasury ETF
2022-07-06
Global X Interest Rate Hedge ETF
2022-07-05
Global X Interest Rate Volatility & Inflation Hedge ETF
2022-06-30
Day Hagan-Ned Davis Research Smart Sector International ETF
2022-06-29
iShares iBonds Dec 2032 Term Corporate ETF
2022-06-29
Franklin Responsibly Sourced Gold ETF
2022-06-29
BondBloxx JP Morgan USD Emerging Markets 1-10 Year Bond ETF
2022-06-28
AOT Growth and Innovation ETF
2022-06-27
Xtrackers Net Zero Pathway Paris Aligned US Equity ETF
2022-06-27
Unified Series Trust
2022-06-23
iShares U.S. ETF Trust
2022-06-23
Nuveen Global Net Zero Transition ETF
2022-06-22
IQ Winslow Large Cap Growth ETF, IQ Winslow Focused Large Cap Growth ETF
2022-06-22
VanEck CLO ETF
2022-06-21
Bank of Montreal Notes
2022-06-21
Ionic Inflation Protection ETF
2022-06-17
Short Bitcoin Strategy ETF
2022-06-15
Syntax Stratified Total Market II ETF
2022-06-15
Optimize AI Smart Sentiment Event-Driven ETF
2022-06-15
FT Cboe Vest Fund of Nasdaq-100® Buffer ETFs
2022-06-13
JPMorgan International Research Enhanced Equity ETF
2022-06-08
Pacer Funds Trust
2022-06-08
PIMCO Senior Loan Active Exchange-Traded Fund
2022-06-08
V-Shares MSCI World ESG Materiality and Carbon Transition ETF
2022-06-07
USCF Dividend Income Fund