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

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

2019-01-10

Notice Regarding Filing of Annual Audited Reports

2018-09-28

Amendments to Membership Registration and Qualification Requirements

2018-03-05

Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements

2018-01-09

Notice Regarding Filing of Annual Audited Reports

2018-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2017-10-03

Introduction of the IEX Market Maker Peg Order Type

2017-04-11

Consolidated Audit Trail ("CAT") Clock Synchronization Study

2017-03-09

Consolidated Audit Trail ("CAT") Clock Synchronization Requirements

2017-01-10

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI – 2017 update

2017-01-06

Notice Regarding Filing of Annual Audited Reports

2016-08-29

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2016-08-31

First Trust Senior Loan Fund

2016-08-31

First Trust SSI Strategic Convertible Securities ETF

2016-08-31

First Trust Value Line 100 Exchange-Traded Fund

2016-08-31

FlexShares Ready Access Variable Income Fund

2016-08-31

FlexShares Real Assets Allocation Index Fund

2016-08-31

Forensic Accounting ETF

2016-08-31

Global X | JPMorgan Efficiente Index and Global X | JPMorgan US Sector Rotator Index ETFs

2016-08-31

Global X S&P 500 Catholic Values ETF

2016-08-31

Global X SuperDividend U.S. ETF

2016-08-31

Global X Top Guru Holdings Index ETF

2016-08-31

Goldman Sachs ActiveBeta U.S. Large Cap Equity ETF

2016-08-31

Grail Advisors ETF Trust

2016-08-31

Guggenheim BulletShares High Yield Corporate Bond ETF

2016-08-31

Guggenheim BulletShares 2018, 2019, and 2020 Corporate Bond ETFs

2016-08-31

Claymore ETF Trust

2016-08-31

Claymore ETF Trust

2016-08-31

Guggenheim BulletShares Corporate Bond ETFs

2016-08-31

Guggenheim Dow Jones Industrial Average Dividend ETF

2016-08-31

Guggenheim S&P 500 Equal Weight Real Estate ETF

2016-08-31

Guggenheim Total Return Bond ETF

2016-08-31

Horizons S&P 500 Covered Call ETF

2016-08-31

HSBC USA Inc. ELEMENTS

2016-08-31

Hull Tactical US ETF

2016-08-31

Huntington EcoLogical Strategy ETF

2016-08-31

Huntington US Equity Rotation Strategy ETF