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

2021-09-08

BlackRock Future Climate and Sustainable Economy ETF

2021-08-23

Virtus Duff & Phelps Clean Energy ETF

2021-08-23

Spear Alpha ETF

2021-08-23

SonicShares Global Shipping ETF

2021-08-23

BMO ETNs

2021-08-05

Timothy Plan

2021-08-05

RBB Fund Inc

2021-08-05

International Drawdown Managed Equity ETF

2021-08-05

Direxion Low Priced Stock ETF

2021-08-05

Formidable Fortress ETF

2021-08-05

Tidal ETF Trust

2021-08-05

ALPS Hillman Active Value ETF

2021-08-05

Goldman Sachs Future Planet Equity ETF

2021-08-05

FIS Knights of Columbus Global Belief ETF

2021-08-05

Defiance Next Gen Big Data ETF

2021-08-05

Pacer Funds Trust

2021-08-05

Exchange Listed Funds Trust

2021-08-05

iShares iBonds 2027 Term High Yield and Income ETF

2021-08-05

J.P. Morgan Exchange-Traded Fund Trust

2021-08-05

ETFMG 2X Daily Alternative Harvest ETF

2021-07-29

Direxion Daily Global Clean Energy Bull 2X Shares

2021-07-29

Impact Shares Affordable Housing MBS ETF

2021-07-29

Gavekal Asia Pacific Government Bond ETF

2021-07-29

Amplify Thematic All-Stars ETF

2021-07-29

Viridi Cleaner Energy Crypto-Mining & Semiconductor ETF