Circulars

General Information Circulars
No circulars to show.
Regulatory Information Circulars
document
Notice for Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
12/29/2020
dot
File number: RIC-2020-12
DOWNLOAD
document
Notice Regarding Implementation of Order Price Collars Pursuant to Rule 11.190(f)
12/07/2020
dot
File number: RIC-2020-11
DOWNLOAD
document
Notice of Rule Filing to Continue Suspending the Application of Rule 11.190(f)(1) Until December 8, 2020
10/07/2020
dot
File number: RIC-2020-10
DOWNLOAD
document
Notice of Rule Change to Update the Exchange’s Source of Data Feeds to Include Data Regarding MEMX LLC and MIAX PEARL, LLC
09/21/2020
dot
File number: RIC-2020-09
DOWNLOAD
document
Establishment of the CMRWG
04/08/2020
dot
File number: RIC-2020-01
DOWNLOAD
document
Notice of Rule Filing to Continue Suspending the Application of Rule 11.190(f)(1) Until October 8, 2020
09/08/2020
dot
File number: RIC-2020-08
DOWNLOAD
document
Temporarily suspending the application of the order price collars in Rule 11.190(f)(1)
08/27/2020
dot
File number: RIC-2020-07
DOWNLOAD
document
Amendment to CAT Compliance Rule Regarding Requirements for Firm Designated IDs
08/13/2020
dot
File number: RIC-2020-06
DOWNLOAD
document
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
07/31/2020
dot
File number: RIC-2020-05
DOWNLOAD
document
Industry Presentation by CMRWG on CAT Compliance Rules
07/17/2020
dot
File number: RIC-2020-04
DOWNLOAD
document
Regulatory Coordination Concerning CAT Reporting Compliance
07/08/2020
dot
File number: RIC-2020-03
DOWNLOAD
document
Waiver of 2020 Annual Membership Fees
04/14/2020
dot
File number: RIC-2020-02
DOWNLOAD

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