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
2023-12-18
Northern Lights Fund Trust II
December 18, 2023
Q4
2023
2023-12-18
PGIM Jennison International Opportunities ETF
December 18, 2023
Q4
2023
2023-12-18
PGIM ETF Trust
December 18, 2023
Q4
2023
2023-12-18
First Trust Exchange-Traded Fund VIII
December 18, 2023
Q4
2023
2023-12-15
Themes ETF Trust
December 15, 2023
Q4
2023
2023-12-15
Alpha Blue Capital US Small-Mid Cap Dynamic ETF
December 15, 2023
Q4
2023
2023-12-14
Themes US Small Cap Cash Flow Champions ETF
December 14, 2023
Q4
2023
2023-12-14
Themes Natural Monopoly ETF
December 14, 2023
Q4
2023
2023-12-14
Themes Gold Miners ETF
December 14, 2023
Q4
2023
2023-12-14
Themes US R&D Champions ETF
December 14, 2023
Q4
2023
2023-12-14
Themes US Cash Flow Champions ETF
December 14, 2023
Q4
2023
2023-12-13
Vanguard Core Bond ETF Shares
December 13, 2023
Q4
2023
2023-12-13
Xtrackers California Municipal Bond ETF
December 13, 2023
Q4
2023
2023-12-13
BlackRock Total Return ETF
December 13, 2023
Q4
2023
2023-12-12
AB Active ETFs, Inc.
December 12, 2023
Q4
2023
2023-12-12
AB Active ETFs, Inc.
December 12, 2023
Q4
2023
2023-12-12
Defiance Israel Bond ETF
December 12, 2023
Q4
2023
2023-12-12
Natixis Gateway Quality Income ETF
December 12, 2023
Q4
2023
2023-12-11
InfraCap Small Cap Income ETF
December 11, 2023
Q4
2023
2023-12-11
Touchstone Dynamic International ETF
December 11, 2023
Q4
2023
2023-12-08
Themes ETF Trust
December 8, 2023
Q4
2023
2023-12-07
Vanguard Core Plus Bond ETF
December 7, 2023
Q4
2023
2023-12-07
National Security Emerging Markets Index ETF
December 7, 2023
Q4
2023
2023-12-06
CastleArk Large Growth ETF
December 6, 2023
Q4
2023
2023-12-06
Invesco Nasdaq Free Cash Flow Achievers ETF
December 6, 2023
Q4
2023
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