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
Barclays ETN+ Inverse S&P 500® VIX Short-Term Futures™ ETN
August 31, 2016
Q3
2016
2016-08-31
Barclays GEMS Index ETN
August 31, 2016
Q3
2016
2016-08-31
BullMark LatAm Select Leaders ETF
August 31, 2016
Q3
2016
2016-08-31
Cambria Emerging Shareholder Yield ETF
August 31, 2016
Q3
2016
2016-08-31
Cambria Foreign Shareholder Yield ETF
August 31, 2016
Q3
2016
2016-08-31
Cambria Global Asset Allocation ETF
August 31, 2016
Q3
2016
2016-08-31
Citigroup Global Markets Holdings Inc.
August 31, 2016
Q3
2016
2016-08-31
Claymore/BNY Mellon Frontier Markets ETF
August 31, 2016
Q3
2016
2016-08-31
Claymore China Technology ETF
August 31, 2016
Q3
2016
2016-08-31
Claymore/Clear Global Timber Index ETF
August 31, 2016
Q3
2016
2016-08-31
Claymore S&P Global Water Index ETF
August 31, 2016
Q3
2016
2016-08-31
Claymore Exchange Traded Funds
August 31, 2016
Q3
2016
2016-08-31
Columbia Sustainable Income ETF
August 31, 2016
Q3
2016
2016-08-31
Compass EMP Developed 500 Enhanced Volatility Weighted Index ETF
August 31, 2016
Q3
2016
2016-08-31
Credit Suisse Commodity Rotation ETN
August 31, 2016
Q3
2016
2016-08-31
Credit Suisse FI Enhanced Europe 50 ETNs
August 31, 2016
Q3
2016
2016-08-31
Credit Suisse Long/Short Liquid Index Exchange Traded Notes
August 31, 2016
Q3
2016
2016-08-31
CSOP ETF Trust
August 31, 2016
Q3
2016
2016-08-31
CSOP ETF Trust
August 31, 2016
Q3
2016
2016-08-31
Deutsche Bank AG ETNs
August 31, 2016
Q3
2016
2016-08-31
db X-trackers Harvest CSI 300 China A-Shares Fund
August 31, 2016
Q3
2016
2016-08-31
DBX ETF Trust
August 31, 2016
Q3
2016
2016-08-31
db X-trackers Harvest MSCI All China Equity Fund
August 31, 2016
Q3
2016
2016-08-31
DBX ETF Trust
August 31, 2016
Q3
2016
2016-08-31
db X-trackers Municipal Infrastructure Revenue Bond Fund
August 31, 2016
Q3
2016
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