Information Circulars

2025-04-09

SEC Section 31 Fee Rate Advisory

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

2019-07-03

Innovator ETFs Trust

2019-07-03

First Trust Indxx NextG ETF

2019-06-04

WisdomTree Modern Tech Platform Fund

2019-06-04

WBI BullBear Trend Switch 3000 Total Return ETF

2019-06-04

Virtus Seix Senior Loan ETF

2019-06-04

VanEck Vectors Municipal Allocation ETF

2019-06-04

Timothy Plan

2019-06-04

SoFi Gig Economy ETF

2019-06-04

SoFi 50 ETF

2019-06-04

Quadratic Interest Rate Volatility and Inflation Hedge ETF

2019-06-04

Principal Ultra-Short Active Income ETF

2019-06-04

Pacer US Cash Cows Growth ETF

2019-06-04

Pacer Trendpilot International ETF

2019-06-04

Pacer Trendpilot Fund of Funds ETF

2019-06-04

Pacer Emerging Markets Cash Cows 100 ETF

2019-06-04

Pacer Cash Cows Fund of Funds ETF

2019-06-04

iShares Trust

2019-06-04

iShares ESG MSCI USA Leaders ETF

2019-06-04

iM DBi Managed Futures Strategy ETF

2019-06-04

Freedom 100 Emerging Markets ETF

2019-06-04

FQF Trust

2019-06-04

Exchange Listed Funds Trust

2019-06-04

Amplify CrowdBureau Peer-to-Peer Lending & Crowdfunding ETF

2019-06-04

Acquirers Fund

2019-04-30

WisdomTree India Ex-State-Owned Enterprises Fund