Information Circulars

General Circulars

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Year
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File No.
Date
Description
2025-04-09
SEC Section 31 Fee Rate Advisory
April 9, 2025
Q2
2025
2024-04-17
SEC Section 31 Fee Rate Advisory
April 17, 2024
Q2
2024
2023-03-02
SEC Section 31 Fee Rate Advisory
March 2, 2023
Q1
2023
2022-04-20
SEC Section 31 Fee Rate Advisory
April 20, 2022
Q2
2022
2021-01-19
SEC Section 31 Fee Rate Advisory
January 19, 2021
Q1
2021
2020-01-14
SEC Section 31 Fee Rate Advisory
January 14, 2020
Q1
2020
2019-04-03
SEC Section 31 Fee Rate Advisory
April 3, 2019
Q2
2019
2018-05-30
SEC Section 31 Fee Rate Advisory
May 30, 2018
Q2
2018
2017-06-05
SEC Section 31 Fee Rate Advisory
June 5, 2017
Q2
2017
2016-08-11
Collection of Exchange fees and other claims and billing policy
August 11, 2016
Q3
2016
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
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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Year
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File No.
Date
Description
2016-08-31
First Trust ISE Global Wind Energy Index Fund
August 31, 2016
Q3
2016
2016-08-31
First Trust Morningstar Managed Futures Strategy Fund
August 31, 2016
Q3
2016
2016-08-31
First Trust NASDAQ ABA Community Bank Index Fund
August 31, 2016
Q3
2016
2016-08-31
First Trust NASDAQ CEA Cybersecurity ETF
August 31, 2016
Q3
2016
2016-08-31
SPDR Series Trust
August 31, 2016
Q3
2016
2016-08-31
First Trust NASDAQ Global Auto Index Fund
August 31, 2016
Q3
2016
2016-08-31
First Trust NASDAQ Rising Dividend Achievers ETF
August 31, 2016
Q3
2016
2016-08-31
First Trust NASDAQ-100 Equal Weight Index Fund
August 31, 2016
Q3
2016
2016-08-31
First Trust Funds
August 31, 2016
Q3
2016
2016-08-31
First Trust NASDAQ-100 Technology Index Fund
August 31, 2016
Q3
2016
2016-08-31
First Trust North American Energy Infrastructure Fund
August 31, 2016
Q3
2016
2016-08-31
First Trust RBA American Industrial Renaissance ETF
August 31, 2016
Q3
2016
2016-08-31
First Trust RiverFront Dynamic Emerging Markets ETF
August 31, 2016
Q3
2016
2016-08-31
First Trust RiverFront Dynamic ETFs
August 31, 2016
Q3
2016
2016-08-31
First Trust Strategic Income ETF
August 31, 2016
Q3
2016
2016-08-31
First Trust Total US Market AlphaDEX ETF
August 31, 2016
Q3
2016
2016-08-31
FlexShares Credit-Scored US Long Corporate Bond Index Fund
August 31, 2016
Q3
2016
2016-08-31
FlexShares Disciplined Duration MBS Index Fund
August 31, 2016
Q3
2016
2016-08-31
FlexShares Global Quality Real Estate Index Fund
August 31, 2016
Q3
2016
2016-08-31
FlexShares Morningstar US Market Factors Tilt, and iBoxx 3 and 5-Year Target Duration TIPS Index Funds
August 31, 2016
Q3
2016
2016-08-31
FlexShares Morningstar Developed Markets ex-US and Emerging Markets Factor Tilt Index Fund
August 31, 2016
Q3
2016
2016-08-31
FlexShares Trust
August 31, 2016
Q3
2016
2016-08-31
FlexShares STOXX ESG Impact Index Funds
August 31, 2016
Q3
2016
2016-08-31
FlexShares STOXX Global Broad Infrastructure Index Fund
August 31, 2016
Q3
2016
2016-08-31
FlexShares Trust
August 31, 2016
Q3
2016
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