Circulars

General Information Circulars
No circulars to show.
Regulatory Information Circulars
document
Establishment of the CMRWG
04/08/2020
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File number: RIC-2020-01
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document
Notice of Rule Filing to Continue Suspending the Application of Rule 11.190(f)(1) Until October 8, 2020
09/08/2020
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File number: RIC-2020-08
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Temporarily suspending the application of the order price collars in Rule 11.190(f)(1)
08/27/2020
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File number: RIC-2020-07
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Amendment to CAT Compliance Rule Regarding Requirements for Firm Designated IDs
08/13/2020
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File number: RIC-2020-06
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Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
07/31/2020
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File number: RIC-2020-05
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Industry Presentation by CMRWG on CAT Compliance Rules
07/17/2020
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File number: RIC-2020-04
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Regulatory Coordination Concerning CAT Reporting Compliance
07/08/2020
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File number: RIC-2020-03
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Waiver of 2020 Annual Membership Fees
04/14/2020
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File number: RIC-2020-02
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Product Information Circulars

File Nr.Product nameDate
PIC-2020-0001Perth Mint Physical Gold ETFSeptember 8, 2020
PIC-2020-0002AdvisorShares Dorsey Wright ADR ETFSeptember 8, 2020
PIC-2020-0003iShares MSCI All Country Asia ex Japan ETFSeptember 8, 2020
PIC-2020-0004Absolute Core Strategy ETFSeptember 8, 2020
PIC-2020-0005ALPS Clean Energy ETFSeptember 8, 2020
PIC-2020-0006Aptus Collared Income Opportunity ETFSeptember 8, 2020
PIC-2020-0007Xtrackers MSCI ACWI ex USA ESG Leaders Equity ETFSeptember 8, 2020
PIC-2020-0008American Customer Satisfaction ETFSeptember 8, 2020
PIC-2020-0009AdvisorShares Vice ETFSeptember 8, 2020
PIC-2020-0010iShares MSCI Global Multifactor ETFSeptember 8, 2020