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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-2020-0001
2020-01-10
AdvisorShares Trust
January 10, 2020
Q1
2020
PC-2019-0136
2019-12-05
SmartETFs Smart Transportation & Technology ETF
December 5, 2019
Q4
2019
PC-2019-0135
2019-12-05
WisdomTree Mortgage Plus Bond Fund
December 5, 2019
Q4
2019
PC-2019-0134
2019-12-05
UBS Notes
December 5, 2019
Q4
2019
PC-2019-0133
2019-12-05
Timothy Plan
December 5, 2019
Q4
2019
PC-2019-0132
2019-12-05
Strategy Shares Newfound ReSolve Robust Momentum ETF
December 5, 2019
Q4
2019
PC-2019-0131
2019-12-05
ProShares Trust
December 5, 2019
Q4
2019
PC-2019-0130
2019-12-05
Pacific Global ETF Trust
December 5, 2019
Q4
2019
PC-2019-0129
2019-12-05
Pacer Trendpilot US Bond ETF
December 5, 2019
Q4
2019
PC-2019-0128
2019-12-05
North Shore Global Uranium Mining ETF
December 5, 2019
Q4
2019
PC-2019-0127
2019-12-05
MicroSectors FANG Exchange Traded Notes
December 5, 2019
Q4
2019
PC-2019-0126
2019-12-05
Merlyn.AI Bull-Rider Bear-Fighter ETF
December 5, 2019
Q4
2019
PC-2019-0125
2019-12-05
Innovator ETFs Trust
December 5, 2019
Q4
2019
PC-2019-0124
2019-12-05
Innovator ETFs Trust
December 5, 2019
Q4
2019
PC-2019-0123
2019-12-05
Global X Funds
December 5, 2019
Q4
2019
PC-2019-0122
2019-12-05
First Trust Exchange-Traded Funds VIII
December 5, 2019
Q4
2019
PC-2019-0121
2019-12-05
First Trust Exchange-Traded Fund VIII
December 5, 2019
Q4
2019
PC-2019-0120
2019-12-05
First Trust Exchange-Traded Fund VIII
December 5, 2019
Q4
2019
PC-2019-0119
2019-12-05
Fidelity Stocks for Inflation ETF
December 5, 2019
Q4
2019
PC-2019-0118
2019-12-05
Direxion Shares ETF Trust
December 5, 2019
Q4
2019
PC-2019-0117
2019-12-05
Defiance Next Gen Food & Agriculture ETF
December 5, 2019
Q4
2019
PC-2019-0116
2019-12-05
AAM Low Duration Preferred and Income Securities ETF
December 5, 2019
Q4
2019
PC-2019-0115
2019-10-24
SPDR Portfolio Europe ETF
October 24, 2019
Q4
2019
PC-2019-0114
2019-10-24
Schwab Strategic Trust
October 24, 2019
Q4
2019
PC-2019-0113
2019-10-24
Northern Lights Fund Trust III
October 24, 2019
Q4
2019
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