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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
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
2022-06-07
Gotham 1000 Value ETF
2022-06-06
Newday Ocean Health ETF
2022-05-31
Procure Disaster Recovery Strategy ETF
2022-05-31
Direxion Breakfast Commodities Strategy ETF
2022-05-25
BondBloxx ETF Trust
2022-05-23
PGIM Floating Rate Income ETF
2022-05-20
JPMorgan Realty Income ETF
2022-05-20
Harbor Dividend Growth Leaders ETF
2022-05-19
ALPS Intermediate Municipal Bond ETF
2022-05-18
Relative Sentiment Tactical Allocation ETF
2022-05-17
Acruence Active Hedge U.S. Equity ETF
2022-05-17
Listed Funds Trust
2022-05-17
Constrained Capital ESG Orphans ETF
2022-05-17
Principal Real Estate Active Opportunities ETF
2022-05-17
SEI Exchange Traded Funds
2022-05-16
Simplify Macro Strategy ETF
2022-05-16
Teucrium Agricultural Strategy No K-1 ETF
2022-05-11
SPDR MarketAxess Investment Grade 400 Corporate Bond ETF
2022-05-09
Gabelli Financial Services Opportunities ETF
2022-05-06
Akros Monthly Payout ETF
2022-05-06
JPMorgan Market Expansion Enhanced Equity ETF
2022-05-06
Dimensional US Marketwide Value ETF
2022-05-03
JPMorgan Nasdaq Equity Premium Income ETF
2022-05-03
Merk Stagflation ETF
2022-05-02
6.00% Notes due 2027
2022-04-29
AXS 2X Innovation ETF
2022-04-29
AXS Short China Internet ETF
2022-04-27
Global X Metaverse ETF
2022-04-27
KraneShares Global Carbon Offset Strategy ETF
2022-04-27
AdvisorShares Trust
2022-04-26
iShares Blockchain and Tech ETF
2022-04-26
Dimensional ETF Trust
2022-04-26
iShares Emergent Food and AgTech Multisector ETF
2022-04-22
Invesco Electric Vehicle Metals Commodity Strategy No K-1 ETF
2022-04-22
FMC Excelsior Focus Equity ETF
2022-04-21
SPDR MSCI ACWI Climate Paris Aligned ETF
2022-04-21
SPDR MSCI USA Climate Paris Aligned ETF
2022-04-20
Fidelity Merrimack Street Trust
2022-04-20
FlexShares ESG & Climate Emerging Markets Core Index Fund
2022-04-20
Fidelity Crypto Industry and Digital Payments ETF
2022-04-20
Fidelity Metaverse ETF
2022-04-19
First Trust Indxx Metaverse ETF
2022-04-19
Roundhill Cannabis ETF
2022-04-18
Pacer BlueStar Engineering the Future ETF
2022-04-12
Global X Green Building ETF
2022-04-11
Goldman Sachs MarketBeta U.S. 1000 Equity ETF
2022-04-11
Pacer BlueStar Digital Entertainment ETF
2022-04-08
JPMorgan Inflation Managed Bond ETF
2022-04-06
Direxion Shares ETF Trust
2022-04-06
ProShares Supply Chain Logistics ETF
2022-04-06
Neuberger Berman ETF Trust
2022-04-05
India Internet & Ecommerce ETF
2022-04-04
DoubleLine ETF Trust
2022-04-04
SPDR Nuveen Municipal Bond ESG ETF
2022-03-31
R3 Global Dividend Growth ETF