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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-2016-0233
2016-08-31
AlphaMark Actively Managed Small Cap ETF
August 31, 2016
Q3
2016
PC-2016-0232
2016-08-31
ALPS Barron's 400 ETF
August 31, 2016
Q3
2016
PC-2016-0231
2016-08-31
ALPS Equal Sector Weight ETF
August 31, 2016
Q3
2016
PC-2016-0230
2016-08-31
Arrow DWA Tactical ETF
August 31, 2016
Q3
2016
PC-2016-0229
2016-08-31
Barclays Bank PLC iPath Exchange-Traded Notes
August 31, 2016
Q3
2016
PC-2016-0228
2016-08-31
Barclays ETN+ S&P 500 Dynamic VEQTOR ETNs
August 31, 2016
Q3
2016
PC-2016-0227
2016-08-31
Barclays ETN+ Select MLP Exchange Traded Notes
August 31, 2016
Q3
2016
PC-2016-0226
2016-08-31
Barclays ETN+ Shiller CAPE Exchange Traded Notes
August 31, 2016
Q3
2016
PC-2016-0225
2016-08-31
Barclays Inverse US Treasury Composite ETN
August 31, 2016
Q3
2016
PC-2016-0224
2016-08-31
Barclays Return on Disability ETN
August 31, 2016
Q3
2016
PC-2016-0223
2016-08-31
BDC Income Fund
August 31, 2016
Q3
2016
PC-2016-0222
2016-08-31
BioShares Biotechnology Funds
August 31, 2016
Q3
2016
PC-2016-0221
2016-08-31
C-Tracks ETNs Miller/Howard Strategic Dividend Reinvestor
August 31, 2016
Q3
2016
PC-2016-0220
2016-08-31
Calamos Focus Growth ETF
August 31, 2016
Q3
2016
PC-2016-0219
2016-08-31
Cambria Global Momentum ETF
August 31, 2016
Q3
2016
PC-2016-0218
2016-08-31
Cambria Shareholder Yield ETF
August 31, 2016
Q3
2016
PC-2016-0217
2016-08-31
Cambria Sovereign High Yield Bond ETF
August 31, 2016
Q3
2016
PC-2016-0216
2016-08-31
Cambria Value and Momentum ETF
August 31, 2016
Q3
2016
PC-2016-0215
2016-08-31
Citigroup Inc. ETNs
August 31, 2016
Q3
2016
PC-2016-0214
2016-08-31
Claymore Exchange Traded Fund Trust
August 31, 2016
Q3
2016
PC-2016-0213
2016-08-31
Claymore Exchange-Traded Fund Trust ETFs
August 31, 2016
Q3
2016
PC-2016-0212
2016-08-31
Claymore Exchange-Traded Funds
August 31, 2016
Q3
2016
PC-2016-0211
2016-08-31
Claymore Wilshire Micro-Cap ETF (WMCR)
August 31, 2016
Q3
2016
PC-2016-0210
2016-08-31
Claymore Wilshire US REIT ETF
August 31, 2016
Q3
2016
PC-2016-0209
2016-08-31
Claymore Exchange-Traded Funds
August 31, 2016
Q3
2016
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