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

2019-03-12

Xtrackers MSCI USA ESG Leaders Equity ETF

2019-03-12

Western Asset Short Duration Income ETF

2019-03-12

iShares Trust

2019-03-12

Goldman Sachs ETF Trust

2019-03-12

Fidelity Small-Mid Factor ETF

2019-03-12

Fidelity Covington Trust

2019-03-12

ETFis Series Trust I

2019-03-12

Defiance Next Gen Connectivity ETF

2019-02-08

Managed Portfolio Series

2019-02-08

JPMorgan Core Plus Bond ETF

2019-02-08

First Trust Long Duration Opportunities ETF

2019-02-08

Direxion Shares ETF Trust

2019-02-08

Aware Ultra-Short Duration Enhanced Income ETF

2019-02-08

ARK Fintech Innovation ETF

2019-02-08

Amplify International Online Retail ETF

2019-02-08

AdvisorShares Sabretooth ETF

2019-01-25

Syntax Stratified LargeCap ETF

2019-01-25

ProShares Trust

2019-01-25

Innovator ETFs Trust

2019-01-25

First Trust Low Duration Strategic Focus ETF

2019-01-25

ERShares Non-US Small Cap ETF

2019-01-25

Direxion Shares ETF Trust

2018-12-31

WisdomTree Yield Enhanced Global Aggregate Bond Fund

2018-12-31

J.P. Morgan Exchange-Traded Fund Trust

2018-12-31

IQ Short Duration Enhanced Core Bond U.S. ETF