Information Circulars

2024-04-17

SEC Section 31 Fee Rate Advisory

2023-03-02

SEC Section 31 Fee Rate Advisory

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

2025-01-10

Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms

2025-01-08

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2025-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2025-01-02

Notice Regarding Filing of Annual Audited Reports

2024-07-01

Reminding SRO Members and Member Organizations of the CMRWG

2024-04-17

Enhancements to FINRA Firm Gateway and Regulatory Notifications

2024-01-03

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2024-01-03

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2024-01-03

Notice Regarding Filing of Annual Audited Reports

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

2025-01-21

Thornburg International Equity ETF

2025-01-21

Leuthold Core ETF

2025-01-21

Elevation Series Trust

2025-01-21

Nushares ETF Trust

2025-01-21

USCF Daily Target 2X Copper Index ETF

2025-01-21

MRBL Enhanced Equity ETF

2025-01-21

Calamos Bitcoin Structured Alt Protection ETF – January

2025-01-17

Leuthold Select Industries ETF

2025-01-17

First Trust Exchange-Traded Fund VIII

2025-01-16

Defiance Daily Target 2X Long SOFI ETF

2025-01-15

iShares Large Cap Accelerated ETF

2025-01-15

Capital Group U.S. Small and Mid Cap ETF

2025-01-14

Sprott Silver Miners & Physical Silver ETF

2025-01-14

Militia Long-Short Equity ETF

2025-01-14

Infrastructure Capital Bond Income ETF

2025-01-14

Hull Tactical US ETF

2025-01-14

NEOS Real Estate High Income ETF

2025-01-13

Themes ETF Trust

2025-01-13

YieldMax Crypto Industry & Tech Portfolio Option Income ETF

2025-01-13

Simplify China A Shares PLUS Income ETF

2025-01-13

Relative Strength Managed Volatility Strategy ETF

2025-01-10

Spinnaker ETF Series

2025-01-07

AIM ETF Products Trust

2025-01-06

Alger Russell Innovation ETF

2025-01-06

Precidian ETFs Trust