Information Circulars

General Circulars

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Year
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File No.
Date
Description
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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Year
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File No.
Date
Description
2024-04-17
Enhancements to FINRA Firm Gateway and Regulatory Notifications
April 17, 2024
Q2
2024
2024-01-03
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 3, 2024
Q1
2024
2024-01-03
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 3, 2024
Q1
2024
2024-01-03
Notice Regarding Filing of Annual Audited Reports
January 3, 2024
Q1
2024
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 4, 2023
Q1
2023
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 4, 2023
Q1
2023
2023-01-04
Notice Regarding Filing of Annual Audited Reports
January 4, 2023
Q1
2023
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
September 15, 2022
Q3
2022
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 5, 2022
Q1
2022
2022-01-05
Notice Regarding Filing of Annual Audited Reports
January 5, 2022
Q1
2022
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 8, 2021
Q1
2021
2021-01-05
Notice Regarding Filing of Annual Audited Reports
January 5, 2021
Q1
2021
2020-07-30
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
July 30, 2020
Q3
2020
2020-07-17
Industry Presentation by CMRWG on CAT Compliance Rules
July 17, 2020
Q3
2020
2020-07-07
Regulatory Coordination Concerning CAT Reporting Compliance
July 7, 2020
Q3
2020
2020-04-08
Establishment of the CMRWG
April 8, 2020
Q2
2020
2020-03-17
SEC No-Action Relief regarding CAT Reporting
March 17, 2020
Q1
2020
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 7, 2020
Q1
2020
2020-01-07
Notice Regarding Filing of Annual Audited Reports
January 7, 2020
Q1
2020
2019-09-24
Market Quality Incentive Programs
September 24, 2019
Q3
2019
2019-07-23
Chief Compliance Officer examination and registration requirements
July 23, 2019
Q3
2019
2019-02-01
Consolidated Audit Trail (CAT) Update
February 1, 2019
Q1
2019
2019-01-10
Active Military Leave Guidance
January 10, 2019
Q1
2019
2019-01-10
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 10, 2019
Q1
2019
2019-01-10
Notice Regarding Filing of Annual Audited Reports
January 10, 2019
Q1
2019
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Product Circulars

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Year
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File No.
Date
Description
2024-04-30
PGIM Rock ETF Trust
April 30, 2024
Q2
2024
2024-04-30
Westwood Salient Enhanced Energy Income ETF
April 30, 2024
Q2
2024
2024-04-30
TrueShares Active Yield ETF
April 30, 2024
Q2
2024
2024-04-29
PeakShares Sector Rotation ETF
April 29, 2024
Q2
2024
2024-04-22
Optimize Strategy Index ETF
April 22, 2024
Q2
2024
2024-04-22
YieldMax Bitcoin Option Income Strategy ETF
April 22, 2024
Q2
2024
2024-04-22
First Trust Exchange-Traded Fund VIII
April 22, 2024
Q2
2024
2024-04-22
Themes Robotics & Automation ETF
April 22, 2024
Q2
2024
2024-04-15
Simplify Exchange Traded Funds
April 15, 2024
Q2
2024
2024-04-11
StockSnips AI-Powered Sentiment US All Cap ETF
April 11, 2024
Q2
2024
2024-04-11
Carbon Collective Short Duration Green Bond ETF
April 11, 2024
Q2
2024
2024-04-10
Strive Mid-Cap ETF
April 10, 2024
Q2
2024
2024-04-10
Fidelity Greenwood Street Trust
April 10, 2024
Q2
2024
2024-04-09
Spinnaker ETF Series
April 9, 2024
Q2
2024
2024-04-08
Westwood Salient Enhanced Midstream Income ETF
April 8, 2024
Q2
2024
2024-04-08
Performance Trust Short Term Bond ETF
April 8, 2024
Q2
2024
2024-04-04
Alger ETF Trust
April 4, 2024
Q2
2024
2024-04-04
Strategas Macro Momentum ETF
April 4, 2024
Q2
2024
2024-04-04
Rayliant SMDAM Japan Equity ETF
April 4, 2024
Q2
2024
2024-04-02
Trenchless Fund ETF
April 2, 2024
Q2
2024
2024-04-02
Even Herd Long Short ETF
April 2, 2024
Q2
2024
2024-04-01
North Shore Equity Rotation ETF
April 1, 2024
Q2
2024
2024-04-01
ProShares Trust
April 1, 2024
Q2
2024
2024-03-28
AllianzIM U.S. Equity 6 Month Floor5 Apr-Oct ETF
March 28, 2024
Q1
2024
2024-04-01
PGIM Rock ETF Trust
April 1, 2024
Q2
2024
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