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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-2019-0022
2019-03-12
Xtrackers MSCI USA ESG Leaders Equity ETF
March 12, 2019
Q1
2019
PC-2019-0021
2019-03-12
Western Asset Short Duration Income ETF
March 12, 2019
Q1
2019
PC-2019-0020
2019-03-12
iShares Trust
March 12, 2019
Q1
2019
PC-2019-0019
2019-03-12
Goldman Sachs ETF Trust
March 12, 2019
Q1
2019
PC-2019-0018
2019-03-12
Fidelity Small-Mid Factor ETF
March 12, 2019
Q1
2019
PC-2019-0017
2019-03-12
Fidelity Covington Trust
March 12, 2019
Q1
2019
PC-2019-0016
2019-03-12
ETFis Series Trust I
March 12, 2019
Q1
2019
PC-2019-0015
2019-03-12
Defiance Next Gen Connectivity ETF
March 12, 2019
Q1
2019
PC-2019-0014
2019-02-08
Managed Portfolio Series
February 8, 2019
Q1
2019
PC-2019-0013
2019-02-08
JPMorgan Core Plus Bond ETF
February 8, 2019
Q1
2019
PC-2019-0012
2019-02-08
First Trust Long Duration Opportunities ETF
February 8, 2019
Q1
2019
PC-2019-0011
2019-02-08
Direxion Shares ETF Trust
February 8, 2019
Q1
2019
PC-2019-0010
2019-02-08
Aware Ultra-Short Duration Enhanced Income ETF
February 8, 2019
Q1
2019
PC-2019-0009
2019-02-08
ARK Fintech Innovation ETF
February 8, 2019
Q1
2019
PC-2019-0008
2019-02-08
Amplify International Online Retail ETF
February 8, 2019
Q1
2019
PC-2019-0007
2019-02-08
AdvisorShares Sabretooth ETF
February 8, 2019
Q1
2019
PC-2019-0006
2019-01-25
Syntax Stratified LargeCap ETF
January 25, 2019
Q1
2019
PC-2019-0005
2019-01-25
ProShares Trust
January 25, 2019
Q1
2019
PC-2019-0004
2019-01-25
Innovator ETFs Trust
January 25, 2019
Q1
2019
PC-2019-0003
2019-01-25
First Trust Low Duration Strategic Focus ETF
January 25, 2019
Q1
2019
PC-2019-0002
2019-01-25
ERShares Non-US Small Cap ETF
January 25, 2019
Q1
2019
PC-2019-0001
2019-01-25
Direxion Shares ETF Trust
January 25, 2019
Q1
2019
PC-2018-0196
2018-12-31
WisdomTree Yield Enhanced Global Aggregate Bond Fund
December 31, 2018
Q4
2018
PC-2018-0195
2018-12-31
J.P. Morgan Exchange-Traded Fund Trust
December 31, 2018
Q4
2018
PC-2018-0194
2018-12-31
IQ Short Duration Enhanced Core Bond U.S. ETF
December 31, 2018
Q4
2018
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