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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-2020-0039
2020-03-06
QRAFT AI-Enhanced U.S. High Dividend ETF
March 6, 2020
Q1
2020
PC-2020-0038
2020-03-06
iShares Trust
March 6, 2020
Q1
2020
PC-2020-0037
2020-03-06
Franklin Templeton ETF Trust
March 6, 2020
Q1
2020
PC-2020-0036
2020-03-06
Merlyn.AI Tactical Growth & Income ETF
March 6, 2020
Q1
2020
PC-2020-0035
2020-03-06
First Trust Exchange-Traded Fund VIII
March 6, 2020
Q1
2020
PC-2020-0034
2020-03-06
Hartford Core Bond ETF
March 6, 2020
Q1
2020
PC-2020-0033
2020-03-06
iShares ESG MSCI EM Leaders ETF
March 6, 2020
Q1
2020
PC-2020-0032
2020-03-06
First Trust Merger Arbitrage ETF
March 6, 2020
Q1
2020
PC-2020-0031
2020-03-06
iPath Series B US Treasury 10-year Bear ETN
March 6, 2020
Q1
2020
PC-2020-0030
2020-03-06
Direxion Shares ETF Trust
March 6, 2020
Q1
2020
PC-2020-0029
2020-03-06
ETFMG Travel Tech ETF
March 6, 2020
Q1
2020
PC-2020-0028
2020-03-06
Armor US Equity Index ETF
March 6, 2020
Q1
2020
PC-2020-0027
2020-02-05
Syntax Stratified MidCap ETF
February 5, 2020
Q1
2020
PC-2020-0026
2020-02-05
iShares U.S. Tech Breakthrough Multisector ETF
February 5, 2020
Q1
2020
PC-2020-0025
2020-02-05
iShares Trust
February 5, 2020
Q1
2020
PC-2020-0024
2020-02-05
Innovator ETFs Trust
February 5, 2020
Q1
2020
PC-2020-0023
2020-02-05
Day Hagan/Ned Davis Research Smart Sector ETF
February 5, 2020
Q1
2020
PC-2020-0022
2020-02-05
CP High Yield Trend ETF
February 5, 2020
Q1
2020
PC-2020-0021
2020-02-05
Absolute Core Strategy ETF
February 5, 2020
Q1
2020
PC-2020-0020
2020-01-10
SP Funds S&P 500 Sharia Industry Exclusions ETF
January 10, 2020
Q1
2020
PC-2020-0019
2020-01-10
SP Funds Dow Jones Global Sukuk ETF
January 10, 2020
Q1
2020
PC-2020-0018
2020-01-10
Source Dividend Opportunity ETF
January 10, 2020
Q1
2020
PC-2020-0017
2020-01-10
RPAR Risk Parity ETF
January 10, 2020
Q1
2020
PC-2020-0016
2020-01-10
PIMCO RAFI ESG U.S. ETF
January 10, 2020
Q1
2020
PC-2020-0015
2020-01-10
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund
January 10, 2020
Q1
2020
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