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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-2018-0168
2018-11-09
VanEck Vectors ETF Trust
November 9, 2018
Q4
2018
PC-2018-0167
2018-11-09
SPDR Series Trust
November 9, 2018
Q4
2018
PC-2018-0166
2018-11-09
Reality Shares Fundstrat DQM Long ETF
November 9, 2018
Q4
2018
PC-2018-0165
2018-11-09
PGIM QMA Strategic Alpha Large-Cap Core ETF
November 9, 2018
Q4
2018
PC-2018-0164
2018-11-09
Motley Fool Small-Cap Growth ETF
November 9, 2018
Q4
2018
PC-2018-0163
2018-11-09
JPMorgan Ultra-Short Municipal ETF
November 9, 2018
Q4
2018
PC-2018-0162
2018-11-09
JPMorgan Municipal ETF
November 9, 2018
Q4
2018
PC-2018-0161
2018-11-09
iShares ESG U.S. Aggregate Bond ETF
November 9, 2018
Q4
2018
PC-2018-0160
2018-11-09
First Trust IPOX Europe Equity Opportunities ETF
November 9, 2018
Q4
2018
PC-2018-0159
2018-11-09
First Trust Exchange-Traded Fund III
November 9, 2018
Q4
2018
PC-2018-0158
2018-11-09
Distillate U.S. Fundamental Stability & Value ETF
November 9, 2018
Q4
2018
PC-2018-0157
2018-10-12
Western Asset Total Return ETF
October 12, 2018
Q4
2018
PC-2018-0156
2018-10-12
PGIM Active High Yield Bond ETF
October 12, 2018
Q4
2018
PC-2018-0155
2018-10-12
LeaderShares AlphaFactor US Core Equity ETF
October 12, 2018
Q4
2018
PC-2018-0154
2018-10-12
John Hancock Multifactor Emerging Markets ETF
October 12, 2018
Q4
2018
PC-2018-0153
2018-10-12
Invesco Exchange-Traded Self-Indexed Fund Trust
October 12, 2018
Q4
2018
PC-2018-0152
2018-10-12
Innovator ETFs Trust
October 12, 2018
Q4
2018
PC-2018-0151
2018-10-12
Goldman Sachs Access Inflation Protected USD Bond ETF
October 12, 2018
Q4
2018
PC-2018-0150
2018-10-12
ETRACS 2xMonthly Pay Leveraged Preferred Stock Index ETN due September 25, 2048
October 12, 2018
Q4
2018
PC-2018-0149
2018-09-28
Xtrackers MSCI EAFE ESG Leaders Equity ETF
September 28, 2018
Q3
2018
PC-2018-0148
2018-09-28
Vesper U.S. Large Cap Short-Term Reversal Strategy ETF
September 28, 2018
Q3
2018
PC-2018-0147
2018-09-28
Vanguard World Fund
September 28, 2018
Q3
2018
PC-2018-0146
2018-09-28
Vanguard Total World Bond ETF
September 28, 2018
Q3
2018
PC-2018-0145
2018-09-28
PowerShares Exchange-Traded Self-Indexed Fund Trust
September 28, 2018
Q3
2018
PC-2018-0144
2018-09-28
KraneShares Emerging Markets Healthcare Index ETF
September 28, 2018
Q3
2018
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