Information Circulars

General Circulars

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Year
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File No.
Date
Description
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
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
2018-09-28
Amendments to Membership Registration and Qualification Requirements
September 28, 2018
Q3
2018
2018-03-05
Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
March 5, 2018
Q1
2018
2018-01-09
Notice Regarding Filing of Annual Audited Reports
January 9, 2018
Q1
2018
2018-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 8, 2018
Q1
2018
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Product Circulars

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Year
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File No.
Date
Description
2023-09-13
Direxion Daily NVDA Bear 1X Shares
September 13, 2023
Q3
2023
2023-09-13
Global X Defense Tech ETF
September 13, 2023
Q3
2023
2023-09-13
Dimensional US Core Equity 1 ETF
September 13, 2023
Q3
2023
2023-09-12
Amplify Cash Flow Dividend Leaders ETF
September 12, 2023
Q3
2023
2023-09-11
SPDR Portfolio S&P Sector Neutral Dividend ETF
September 11, 2023
Q3
2023
2023-09-11
KraneShares Rockefeller Ocean Engagement ETF
September 11, 2023
Q3
2023
2023-09-11
YieldMax JPM Option Income Strategy ETF
September 11, 2023
Q3
2023
2023-09-07
KraneShares Global Luxury Index ETF
September 7, 2023
Q3
2023
2023-09-06
F/m Opportunistic Income ETF
September 6, 2023
Q3
2023
2023-09-05
Madison Short-Term Strategic Income ETF
September 5, 2023
Q3
2023
2023-09-05
Return Stacked U.S. Stocks & Managed Futures ETF
September 5, 2023
Q3
2023
2023-08-31
AIM ETF Products Trust
August 31, 2023
Q3
2023
2023-08-31
Innovator International Developed Power Buffer ETF — September
August 31, 2023
Q3
2023
2023-08-30
YieldMax XOM Option Income Strategy ETF
August 30, 2023
Q3
2023
2023-08-30
Strive FAANG 2.0 ETF
August 30, 2023
Q3
2023
2023-08-30
American Beacon Select Funds
August 30, 2023
Q3
2023
2023-08-29
Segall Bryant & Hamill Select Equity ETF
August 29, 2023
Q3
2023
2023-08-29
Polen Capital Global Growth ETF
August 29, 2023
Q3
2023
2023-08-28
Madison Aggregate Bond ETF
August 28, 2023
Q3
2023
2023-08-28
Grizzle Growth ETF
August 28, 2023
Q3
2023
2023-08-28
YieldMax DIS Option Income Strategy ETF
August 28, 2023
Q3
2023
2023-08-25
YieldMax MSFT Option Income Strategy ETF
August 25, 2023
Q3
2023
2023-08-23
First Trust S&P 500 Diversified Free Cash Flow ETF
August 23, 2023
Q3
2023
2023-08-23
KraneShares Dynamic Emerging Markets Strategy ETF
August 23, 2023
Q3
2023
2023-08-23
Level Four Large Cap Growth Active ETF
August 23, 2023
Q3
2023
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