Information Circulars

2025-04-09

SEC Section 31 Fee Rate Advisory

2024-04-17

SEC Section 31 Fee Rate Advisory

2023-03-02

SEC Section 31 Fee Rate Advisory

2022-04-20

SEC Section 31 Fee Rate Advisory

2021-01-19

SEC Section 31 Fee Rate Advisory

2020-01-14

SEC Section 31 Fee Rate Advisory

2019-04-03

SEC Section 31 Fee Rate Advisory

2018-05-30

SEC Section 31 Fee Rate Advisory

2017-06-05

SEC Section 31 Fee Rate Advisory

2016-08-11

Collection of Exchange fees and other claims and billing policy

2016-08-02

Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch

2016-07-13

Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors

2025-01-10

Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms

2025-01-08

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2025-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2025-01-02

Notice Regarding Filing of Annual Audited Reports

2024-07-01

Reminding SRO Members and Member Organizations of the CMRWG

2024-04-17

Enhancements to FINRA Firm Gateway and Regulatory Notifications

2024-01-03

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2024-01-03

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2024-01-03

Notice Regarding Filing of Annual Audited Reports

2023-01-04

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2023-01-04

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2023-01-04

Notice Regarding Filing of Annual Audited Reports

2022-09-15

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2022-01-05

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2022-01-05

Notice Regarding Filing of Annual Audited Reports

2021-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2021-01-05

Notice Regarding Filing of Annual Audited Reports

2020-07-30

Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules

2020-07-17

Industry Presentation by CMRWG on CAT Compliance Rules

2020-07-07

Regulatory Coordination Concerning CAT Reporting Compliance

2020-04-08

Establishment of the CMRWG

2020-03-17

SEC No-Action Relief regarding CAT Reporting

2020-01-07

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2020-01-07

Notice Regarding Filing of Annual Audited Reports

2019-09-24

Market Quality Incentive Programs

2022-03-14

LHA Market State Tactical Q ETF

2022-03-09

Home Appreciation U.S. REIT ETF

2022-03-09

VanEck Digital Assets Mining ETF

2022-03-09

iShares Trust

2022-03-07

Innovator ETFs Trust

2022-03-07

Simplify Managed Futures Strategy ETF

2022-03-04

Listed Funds Trust

2022-03-04

Convergence Long-Short Equity ETF

2022-03-04

Dimensional ETF Trust

2022-03-04

Capital Research and Management Company

2022-03-04

Harbor Corporate Culture Leaders ETF

2022-03-04

Global X Dow 30 Covered Call ETF

2022-02-24

BondBloxx ETF Trust

2022-02-24

WisdomTree Battery Value Chain and Innovation Fund

2022-02-24

SPDR Blackstone High Income ETF

2022-02-24

Goldman Sachs Access Emerging Markets USD Bond ETF

2022-02-24

Fidelity Sustainable High Yield ETF

2022-02-24

VanEck Digital India ETF

2022-02-24

Simplify Exchange Traded Funds

2022-02-24

iShares Paris-Aligned Climate MSCI USA ETF

2022-02-24

Xtrackers Risk Managed USD High Yield Strategy ETF

2022-02-24

Harbor All-Weather Inflation Focus ETF

2022-02-24

Goldman Sachs Bloomberg Clean Energy Equity ETF

2022-02-24

Innovator Laddered Allocation Buffer ETF

2022-02-24

Innovator Laddered Allocation Buffer ETF