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Information Circulars

General Circulars

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File No.
Date
Description
IC-2025-0001
2025-04-09
SEC Section 31 Fee Rate Advisory
April 9, 2025
Q2
2025
IC-2024-0001
2024-04-17
SEC Section 31 Fee Rate Advisory
April 17, 2024
Q2
2024
IC-2023-0001
2023-03-02
SEC Section 31 Fee Rate Advisory
March 2, 2023
Q1
2023
IC-2022-0001
2022-04-20
SEC Section 31 Fee Rate Advisory
April 20, 2022
Q2
2022
IC-2021-0001
2021-01-19
SEC Section 31 Fee Rate Advisory
January 19, 2021
Q1
2021
IC-2020-0001
2020-01-14
SEC Section 31 Fee Rate Advisory
January 14, 2020
Q1
2020
IC-2019-0001
2019-04-03
SEC Section 31 Fee Rate Advisory
April 3, 2019
Q2
2019
IC-2018-0001
2018-05-30
SEC Section 31 Fee Rate Advisory
May 30, 2018
Q2
2018
IC-2017-0001
2017-06-05
SEC Section 31 Fee Rate Advisory
June 5, 2017
Q2
2017
IC-2016-0003
2016-08-11
Collection of Exchange fees and other claims and billing policy
August 11, 2016
Q3
2016
IC-2016-0002
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
IC-2016-0001
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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File No.
Date
Description
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
2017-10-03
Introduction of the IEX Market Maker Peg Order Type
October 3, 2017
Q4
2017
2017-04-11
Consolidated Audit Trail ("CAT") Clock Synchronization Study
April 11, 2017
Q2
2017
2017-03-09
Consolidated Audit Trail ("CAT") Clock Synchronization Requirements
March 9, 2017
Q1
2017
2017-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update
January 10, 2017
Q1
2017
2017-01-06
Notice Regarding Filing of Annual Audited Reports
January 6, 2017
Q1
2017
2016-08-29
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
August 29, 2016
Q3
2016
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Product Circulars

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File No.
Date
Description
PC-2016-0267
2016-08-31
WisdomTree Western Asset Unconstrained Bond Fund
August 31, 2016
Q3
2016
PC-2016-0266
2016-08-31
Workplace Equality Portfolio
August 31, 2016
Q3
2016
PC-2016-0265
2016-08-31
YieldShares High Income ETF
August 31, 2016
Q3
2016
PC-2016-0264
2016-08-31
PowerShares DWA Technical Leaders Portfolio
August 31, 2016
Q3
2016
PC-2016-0263
2016-08-31
ProShares Trust
August 31, 2016
Q3
2016
PC-2016-0262
2016-08-31
WCM/BNY Mellon Focused Growth ADR ETF
August 31, 2016
Q3
2016
PC-2016-0261
2016-08-31
PowerShares BLDRS Funds
August 31, 2016
Q3
2016
PC-2016-0260
2016-08-31
DBX ETF Trust
August 31, 2016
Q3
2016
PC-2016-0259
2016-08-31
Deutsche X-trackers FTSEEmerging Comprehensive Factor ETF
August 31, 2016
Q3
2016
PC-2016-0258
2016-08-31
Compass EMP Funds Trust
August 31, 2016
Q3
2016
PC-2016-0257
2016-08-31
Global X Brazil Mid Cap ETF
August 31, 2016
Q3
2016
PC-2016-0256
2016-08-31
iPath® Commodity Index ETNs
August 31, 2016
Q3
2016
PC-2016-0255
2016-08-31
iShares MSCI Poland Investable Market Index Fund
August 31, 2016
Q3
2016
PC-2016-0254
2016-08-31
PowerShares DWA Tactical Sector Rotation Portfolio
August 31, 2016
Q3
2016
PC-2016-0253
2016-08-31
Direxion Shares ETF Trust
August 31, 2016
Q3
2016
PC-2016-0252
2016-08-31
AB Svensk Ekportkredit (Swedish Export Credit Corporation)
August 31, 2016
Q3
2016
PC-2016-0251
2016-08-31
Absolute Shares Trust
August 31, 2016
Q3
2016
PC-2016-0250
2016-08-31
AccuShares S&P GSCI Crude Oil Excess Return Down Shares AccuShares S&P GSCI Crude Oil Excess Return Up Shares
August 31, 2016
Q3
2016
PC-2016-0249
2016-08-31
AdvisorShares Ranger Equity Bear ETF
August 31, 2016
Q3
2016
PC-2016-0248
2016-08-31
AdvisorShares Athena High Dividend ETF
August 31, 2016
Q3
2016
PC-2016-0247
2016-08-31
AdvisorShares Cornerstone Small Cap ETF
August 31, 2016
Q3
2016
PC-2016-0246
2016-08-31
AdvisorShares Trust
August 31, 2016
Q3
2016
PC-2016-0245
2016-08-31
AdvisorShares-Meidell Tactical Advantage ETF
August 31, 2016
Q3
2016
PC-2016-0244
2016-08-31
AdvisorShares Morgan Creek Global Tactical ETF
August 31, 2016
Q3
2016
PC-2016-0243
2016-08-31
AdvisorShares Newfleet Multi-Sector Income ETF
August 31, 2016
Q3
2016
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