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

2019-12-05

Innovator ETFs Trust

2019-12-05

Global X Funds

2019-12-05

First Trust Exchange-Traded Funds VIII

2019-12-05

First Trust Exchange-Traded Fund VIII

2019-12-05

First Trust Exchange-Traded Fund VIII

2019-12-05

Fidelity Stocks for Inflation ETF

2019-12-05

Direxion Shares ETF Trust

2019-12-05

Defiance Next Gen Food & Agriculture ETF

2019-12-05

AAM Low Duration Preferred and Income Securities ETF

2019-10-24

SPDR Portfolio Europe ETF

2019-10-24

Schwab Strategic Trust

2019-10-24

Northern Lights Fund Trust III

2019-10-24

Listed Funds Trust

2019-10-24

iPath Notes

2019-10-24

Inspire International ESG ETF

2019-10-24

Innovator ETFs Trust

2019-10-24

GraniteShares XOUT U.S. Large Cap ETF

2019-10-24

ETFMG Sit Ultra Short ETF

2019-10-02

US Vegan Climate ETF

2019-10-02

Nuveen ESG High Yield Corporate Bond ETF

2019-10-02

iShares iBonds Dec 2029 Term Corporate ETF

2019-10-02

Invesco Exchange-Traded Self-Indexed Fund Trust

2019-10-02

Invesco Exchange-Traded Self-Indexed Fund Trust

2019-10-02

Global X Cannabis ETF

2019-10-02

Franklin Liberty U.S. Core Bond ETF