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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-2016-0242
2016-08-31
AdvisorShares Pacific Asset Enhanced Floating Rate ETF
August 31, 2016
Q3
2016
PC-2016-0241
2016-08-31
AdvisorShares Peritus High Yield ETF
August 31, 2016
Q3
2016
PC-2016-0240
2016-08-31
AdvisorShares Sage Core Reserves ETF
August 31, 2016
Q3
2016
PC-2016-0239
2016-08-31
iShares GSCI Commodity-Indexed Trust
August 31, 2016
Q3
2016
PC-2016-0238
2016-08-31
AdvisorShares YieldPro ETF
August 31, 2016
Q3
2016
PC-2016-0237
2016-08-31
AdvisorShares-Madrona Forward Domestic; Madrona Forward International; and Madrona Forward Global Bond ETF's
August 31, 2016
Q3
2016
PC-2016-0236
2016-08-31
AIG Commodity Index Total Return
August 31, 2016
Q3
2016
PC-2016-0235
2016-08-31
Alerian Energy Infrastructure ETF
August 31, 2016
Q3
2016
PC-2016-0234
2016-08-31
AlphaClone Alternative Alpha ETF
August 31, 2016
Q3
2016
PC-2016-0233
2016-08-31
AlphaMark Actively Managed Small Cap ETF
August 31, 2016
Q3
2016
PC-2016-0232
2016-08-31
ALPS Barron's 400 ETF
August 31, 2016
Q3
2016
PC-2016-0231
2016-08-31
ALPS Equal Sector Weight ETF
August 31, 2016
Q3
2016
PC-2016-0230
2016-08-31
Arrow DWA Tactical ETF
August 31, 2016
Q3
2016
PC-2016-0229
2016-08-31
Barclays Bank PLC iPath Exchange-Traded Notes
August 31, 2016
Q3
2016
PC-2016-0228
2016-08-31
Barclays ETN+ S&P 500 Dynamic VEQTOR ETNs
August 31, 2016
Q3
2016
PC-2016-0227
2016-08-31
Barclays ETN+ Select MLP Exchange Traded Notes
August 31, 2016
Q3
2016
PC-2016-0226
2016-08-31
Barclays ETN+ Shiller CAPE Exchange Traded Notes
August 31, 2016
Q3
2016
PC-2016-0225
2016-08-31
Barclays Inverse US Treasury Composite ETN
August 31, 2016
Q3
2016
PC-2016-0224
2016-08-31
Barclays Return on Disability ETN
August 31, 2016
Q3
2016
PC-2016-0223
2016-08-31
BDC Income Fund
August 31, 2016
Q3
2016
PC-2016-0222
2016-08-31
BioShares Biotechnology Funds
August 31, 2016
Q3
2016
PC-2016-0221
2016-08-31
C-Tracks ETNs Miller/Howard Strategic Dividend Reinvestor
August 31, 2016
Q3
2016
PC-2016-0220
2016-08-31
Calamos Focus Growth ETF
August 31, 2016
Q3
2016
PC-2016-0219
2016-08-31
Cambria Global Momentum ETF
August 31, 2016
Q3
2016
PC-2016-0218
2016-08-31
Cambria Shareholder Yield ETF
August 31, 2016
Q3
2016
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