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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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Product Circulars

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File No.
Date
Description
PC-2024-0315
2024-08-16
First Trust Exchange-Traded Fund VIII
August 16, 2024
Q3
2024
PC-2024-0314
2024-08-14
TappAlpha SPY Growth & Daily Income ETF
August 14, 2024
Q3
2024
PC-2024-0313
2024-08-14
Defiance Daily Target 1.75x Long MSTR ETF
August 14, 2024
Q3
2024
PC-2024-0312
2024-08-14
YieldMax N100 Short Option Income Strategy ETF
August 14, 2024
Q3
2024
PC-2024-0311
2024-08-13
Janus Henderson Emerging Markets Debt Hard Currency ETF
August 13, 2024
Q3
2024
PC-2024-0310
2024-08-12
Jensen Quality Growth ETF
August 12, 2024
Q3
2024
PC-2024-0309
2024-08-12
Rockefeller New York Municipal Bond ETF
August 12, 2024
Q3
2024
PC-2024-0308
2024-08-12
Rockefeller California Municipal Bond ETF
August 12, 2024
Q3
2024
PC-2024-0307
2024-08-12
Rockefeller Opportunistic Municipal Bond ETF
August 12, 2024
Q3
2024
PC-2024-0306
2024-08-12
Schwab Ultra-Short Income ETF
August 12, 2024
Q3
2024
PC-2024-0305
2024-08-12
Simplify Gamma Emerging Market Bond ETF
August 12, 2024
Q3
2024
PC-2024-0304
2024-08-07
JPMorgan Fundamental Data Science Large Core ETF
August 7, 2024
Q3
2024
PC-2024-0303
2024-08-07
JPMorgan Fundamental Data Science Mid Core ETF
August 7, 2024
Q3
2024
PC-2024-0302
2024-08-07
JPMorgan Fundamental Data Science Small Core ETF
August 7, 2024
Q3
2024
PC-2024-0301
2024-08-07
YieldMax BABA Option Income Strategy ETF
August 7, 2024
Q3
2024
PC-2024-0300
2024-08-07
Defiance Daily Target 2X Long LLY ETF
August 7, 2024
Q3
2024
PC-2024-0299
2024-08-01
Xtrackers Artificial Intelligence and Big Data ETF
August 1, 2024
Q3
2024
PC-2024-0298
2024-07-31
Octane All-Cap Value Energy ETF
July 31, 2024
Q3
2024
PC-2024-0297
2024-07-31
Goldman Sachs Access U.S. Preferred Stock and Hybrid Securities ETF
July 31, 2024
Q3
2024
PC-2024-0296
2024-07-31
Neuberger Berman Core Equity ETF
July 31, 2024
Q3
2024
PC-2024-0295
2024-07-31
Innovator International Developed Power Buffer ETF — August
July 31, 2024
Q3
2024
PC-2024-0294
2024-07-31
Calamos S&P 500 Structured Alt Protection ETF – August
July 31, 2024
Q3
2024
PC-2024-0293
2024-07-31
Innovator ETFs Trust
July 31, 2024
Q3
2024
PC-2024-0292
2024-07-31
AllianzIM U.S. Equity Buffer15 Uncapped Aug ETF
July 31, 2024
Q3
2024
PC-2024-0291
2024-07-30
Grayscale Bitcoin Mini Trust
July 30, 2024
Q3
2024
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