Information Circulars

General Circulars

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Year
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File No.
Date
Description
2023-03-02
SEC Section 31 Fee Rate Advisory
March 2, 2023
Q1
2023
2022-04-20
SEC Section 31 Fee Rate Advisory
April 20, 2022
Q2
2022
2021-01-19
SEC Section 31 Fee Rate Advisory
January 19, 2021
Q1
2021
2020-01-14
SEC Section 31 Fee Rate Advisory
January 14, 2020
Q1
2020
2019-04-03
SEC Section 31 Fee Rate Advisory
April 3, 2019
Q2
2019
2018-05-30
SEC Section 31 Fee Rate Advisory
May 30, 2018
Q2
2018
2017-06-05
SEC Section 31 Fee Rate Advisory
June 5, 2017
Q2
2017
2016-08-11
Collection of Exchange fees and other claims and billing policy
August 11, 2016
Q3
2016
2016-08-02
Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch
August 2, 2016
Q3
2016
2016-07-13
Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors
July 13, 2016
Q3
2016
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Regulatory Circulars

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Year
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File No.
Date
Description
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 4, 2023
Q1
2023
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 4, 2023
Q1
2023
2023-01-04
Notice Regarding Filing of Annual Audited Reports
January 4, 2023
Q1
2023
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
September 15, 2022
Q3
2022
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 5, 2022
Q1
2022
2022-01-05
Notice Regarding Filing of Annual Audited Reports
January 5, 2022
Q1
2022
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 8, 2021
Q1
2021
2021-01-05
Notice Regarding Filing of Annual Audited Reports
January 5, 2021
Q1
2021
2020-07-30
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
July 30, 2020
Q3
2020
2020-07-17
Industry Presentation by CMRWG on CAT Compliance Rules
July 17, 2020
Q3
2020
2020-07-07
Regulatory Coordination Concerning CAT Reporting Compliance
July 7, 2020
Q3
2020
2020-04-08
Establishment of the CMRWG
April 8, 2020
Q2
2020
2020-03-17
SEC No-Action Relief regarding CAT Reporting
March 17, 2020
Q1
2020
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 7, 2020
Q1
2020
2020-01-07
Notice Regarding Filing of Annual Audited Reports
January 7, 2020
Q1
2020
2019-09-24
Market Quality Incentive Programs
September 24, 2019
Q3
2019
2019-07-23
Chief Compliance Officer examination and registration requirements
July 23, 2019
Q3
2019
2019-02-01
Consolidated Audit Trail (CAT) Update
February 1, 2019
Q1
2019
2019-01-10
Active Military Leave Guidance
January 10, 2019
Q1
2019
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 10, 2019
Q1
2019
2019-01-10
Notice Regarding Filing of Annual Audited Reports
January 10, 2019
Q1
2019
2018-09-28
Amendments to Membership Registration and Qualification Requirements
September 28, 2018
Q3
2018
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
March 5, 2018
Q1
2018
2018-01-09
Notice Regarding Filing of Annual Audited Reports
January 9, 2018
Q1
2018
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 8, 2018
Q1
2018
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Product Circulars

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Year
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File No.
Date
Description
2023-12-06
CastleArk Large Growth ETF
December 6, 2023
Q4
2023
2023-12-06
Invesco Nasdaq Free Cash Flow Achievers ETF
December 6, 2023
Q4
2023
2023-12-06
Hartford US Quality Growth ETF
December 6, 2023
Q4
2023
2023-12-05
ALPS | Smith Core Plus Bond ETF
December 5, 2023
Q4
2023
2023-12-05
Invesco S&P 500 High Dividend Growers ETF
December 5, 2023
Q4
2023
2023-12-05
Hartford US Value ETF
December 5, 2023
Q4
2023
2023-12-04
Max S&P 500 4x Leveraged ETN
December 4, 2023
Q4
2023
2023-12-04
Vert Global Sustainable Real Estate ETF
December 4, 2023
Q4
2023
2023-12-04
Return Stacked Global Stocks & Bonds ETF
December 4, 2023
Q4
2023
2023-12-01
Harbor Long-Short Equity ETF
December 1, 2023
Q4
2023
2023-11-30
Innovator International Developed Power Buffer ETF - December
November 30, 2023
Q4
2023
2023-11-30
Aztlan North America Nearshoring Stock Selection ETF
November 30, 2023
Q4
2023
2023-11-30
Goldman Sachs ETF Trust
November 30, 2023
Q4
2023
2023-11-29
WHITEWOLF Publicly Listed Private Equity ETF
November 29, 2023
Q4
2023
2023-11-29
Hilton Small-MidCap Opportunity ETF
November 29, 2023
Q4
2023
2023-11-28
Counterpoint Quantitative Equity ETF
November 28, 2023
Q4
2023
2023-11-28
Macquarie ETF Trust
November 28, 2023
Q4
2023
2023-11-27
SP Funds S&P Global Technology ETF
November 27, 2023
Q4
2023
2023-11-27
YieldMax AI Option Income Strategy ETF
November 27, 2023
Q4
2023
2023-11-21
Tema Cardiovascular and Metabolic ETF
November 21, 2023
Q4
2023
2023-11-20
First Trust Exchange-Traded Fund VIII
November 20, 2023
Q4
2023
2023-11-17
First Trust Active Global Quality Income ETF
November 17, 2023
Q4
2023
2023-11-17
Fidelity Covington Trust
November 17, 2023
Q4
2023
2023-11-17
Goose Hollow Enhanced Equity ETF
November 17, 2023
Q4
2023
2023-11-15
Virtus Newfleet Short Duration Core Plus Bond ETF
November 15, 2023
Q4
2023
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