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

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

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

2024-09-25

FT Vest Laddered International Moderate Buffer ETF

2024-09-24

SWP Growth & Income ETF

2024-09-24

Texas Capital Government Money Market ETF

2024-09-24

VanEck AA-BB CLO ETF

2024-09-23

Simplify Wolfe US Equity 150-50 ETF

2024-09-23

SSGA Active Trust

2024-09-23

Pacer Metaurus Nasdaq 100 Dividend Multiplier 600 ETF

2024-09-23

THOR Index Rotation ETF

2024-09-23

Themes ETF Trust

2024-09-23

FT Vest U.S. Equity Equal Weight Buffer ETF – September

2024-09-20

PIMCO Mortgage-Backed Securities Active Exchange-Traded Fund

2024-09-20

First Trust Exchange-Traded Fund VIII

2024-09-17

Intelligent Livermore ETF

2024-09-17

Janus Henderson Mid Cap Growth Alpha ETF

2024-09-17

ETF Opportunities Trust

2024-09-16

Pacer Nasdaq International Patent Leaders ETF

2024-09-16

Innovator U.S. Small Cap Managed Floor ETF

2024-09-16

GammaRoad Market Navigation ETF

2024-09-16

Pacer MSCI World Industry Advantage ETF

2024-09-13

Stone Ridge Trust

2024-09-11

Themes US Infrastructure ETF

2024-09-11

Dimensional International Vector Equity ETF

2024-09-11

Dimensional US Vector Equity ETF

2024-09-11

YieldMax SMCI Option Income Strategy ETF

2024-09-11

Neuberger Berman Japan Equity ETF