General Circulars
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
2016-08-11
Collection of Exchange fees and other claims and billing policy
August 11, 2016
Q3
2016
2016-08-02
Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch
August 2, 2016
Q3
2016
2016-07-13
Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors
July 13, 2016
Q3
2016
No results found.
There are no results with this criteria. Try changing your search.
Regulatory Circulars
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
2025-11-07
Round Lot Definition Change and Market Makers’ Two-Sided Quote Obligations
November 7, 2025
Q4
2025
2025-08-13
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
August 13, 2025
Q3
2025
2025-01-10
Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms
January 10, 2025
Q1
2025
2025-01-08
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 8, 2025
Q1
2025
2025-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 8, 2025
Q1
2025
2024-04-17
Enhancements to FINRA Firm Gateway and Regulatory Notifications
April 17, 2024
Q2
2024
2024-01-03
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 3, 2024
Q1
2024
2024-01-03
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 3, 2024
Q1
2024
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
January 4, 2023
Q1
2023
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
January 4, 2023
Q1
2023
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
September 15, 2022
Q3
2022
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 5, 2022
Q1
2022
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 8, 2021
Q1
2021
2020-07-30
Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules
July 30, 2020
Q3
2020
2020-01-07
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
January 7, 2020
Q1
2020
No results found.
There are no results with this criteria. Try changing your search.
Product Circulars
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
File No.
Date
Description
2025-09-19
FT Vest U.S. Equity Dual Directional Buffer ETF – August
September 19, 2025
Q3
2025
No results found.
There are no results with this criteria. Try changing your search.