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Information Circulars 2023

Overview

The Nasdaq Stock Market, Nasdaq BX, and PSX will be providing additional information about trading certain structured products, which present special characteristics and risks associated with their trading.

This additional information for both exchanges is being presented in Information Circulars, whose purpose is to describe some of the characteristics and risks of these securities, alert members to possible prospectus delivery requirements and remind them of Nasdaq Rule 2310, BX Rule 2310 and PSX Rule763 which require members to determine the suitability of investments recommended to customers.

 

Trade Date Symbol(s) Issuer Exchange Traded Product Listing Market
01/04/2023 GCAD Gabelli ETFs Trust Gabelli Equity Income ETF NYSE Arca
01/09/2023 WCEO Affinity World Leaders Equity ETF Hypatia Women CEO ETF NYSE Arca
01/11/2023 MEMX Matthews International Funds Matthews Emerging Markets ex China Active ETF NYSE Arca
01/11/2023 SNAV Collaborative Investment Series Trust Mohr Sector Nav ETF BATS BZX Exchange
01/11/2023 ZSB USCF ETF Trust USCF Sustainable Battery Metals Strategy Fund NYSE Arca
01/12/2023 CLOA BlackRock ETF Trust II BlackRock AAA CLO ETF NASDAQ Global Market
01/12/2023 KLIP KraneShares Trust KraneShares China Internet and Covered Call Strategy ETF NYSE Arca
01/19/2023 PRFD PIMCO U.S. Treasury Index Fund PIMCO Preferred and Capital Securities Active Exchange-Traded Fund NYSE Arca
01/20/2023 PCRB Putnam ETF Trust Putnam ESG Core Bond ETF NYSE Arca
01/20/2023 PHYD Putnam ETF Trust Putnam ESG High Yield ETF NYSE Arca
01/20/2023 PPEM Putnam ETF Trust Putnam PanAgora ESG Emerging Markets Equity ETF NYSE Arca
01/20/2023 PPIE Putnam ETF Trust Putnam PanAgora ESG International Equity ETF NYSE Arca
01/20/2023 PULT Putnam ETF Trust Putnam ESG Ultra Short ETF NYSE Arca
01/23/2023 GDEF Goldman Sachs ETF Trust Goldman Sachs Defensive Equity ETF NYSE Arca
01/23/2023 GJAN First Trust Exchange-Traded Fund VIII FT Cboe Vest U.S. Equity Moderate Buffer ETF - January BATS BZX Exchange
01/24/2023 CLOZ Series Portfolios Trust Panagram BBB-B CLO ETF NYSE Arca
01/25/2023 TPMN The Timothy Plan Timothy Plan Market Neutral ETF NYSE Arca
01/26/2023 FTBD Fidelity Merrimack Street Trust Fidelity Tactical Bond ETF NYSE Arca
01/30/2023 MEDX Listed Funds Trust Horizon Kinetics Medical ETF NASDAQ Global Market
01/30/2023 SPAQ Listed Funds Trust Horizon Kinetics SPAC Active ETF NASDAQ Global Market
01/31/2023 STXE EA Series Trust Strive Emerging Markets Ex-China ETF NYSE Arca
02/01/2023 CDEI Morgan Stanley ETF Trust Calvert US Large-Cap Diversity, Equity and Inclusion Index ETF NYSE Arca
02/01/2023 CVIE Morgan Stanley ETF Trust Calvert International Responsible Index ETF NYSE Arca
02/01/2023 CVLC Morgan Stanley ETF Trust Calvert US Large-Cap Core Responsible Index ETF NYSE Arca
02/01/2023 CVMC Morgan Stanley ETF Trust Calvert US Mid-Cap Core Responsible Index ETF NYSE Arca
02/01/2023 CVSB Morgan Stanley ETF Trust Calvert Ultra-Short Investment Grade ETF NYSE Arca
02/01/2023 CVSE Morgan Stanley ETF Trust Calvert US Select Equity ETF NYSE Arca
02/01/2023 FEBT AIM ETF Products Trust AllianzIM U.S. Large Cap Buffer10 Feb ETF NYSE Arca
02/01/2023 FEBW AIM ETF Products Trust AllianzIM U.S. Large Cap Buffer20 Feb ETF NYSE Arca
02/01/2023 LALT First Trust Exchange-Traded Fund VIII First Trust Multi-Strategy Alternative ETF NYSE Arca
02/01/2023 MORE ASYMmetric ETFs Trust ASYMmetric Smart Income ETF NYSE Arca
02/01/2023 ZSPY ASYMmetric ETFs Trust ASYMmetric Smart Alpha S&P 500 ETF NYSE Arca
02/02/2023 COPJ Sprott Funds Trust Sprott Junior Copper Miners ETF NASDAQ Global Market
02/02/2023 EGUS iShares Trust iShares ESG Aware MSCI USA Growth ETF BATS BZX Exchange
02/02/2023 EVUS iShares Trust iShares ESG Aware MSCI USA Value ETF BATS BZX Exchange
02/02/2023 LITP Sprott Funds Trust Sprott Lithium Miners ETF NASDAQ Global Market
02/02/2023 SETM Sprott Funds Trust Sprott Energy Transition Materials ETF NASDAQ Global Market
02/02/2023 URNJ Sprott Funds Trust Sprott Junior Uranium Miners ETF NASDAQ Global Market
02/03/2023 RYSE ETF Series Solutions Cboe Vest 10 Year Interest Rate Hedge ETF BATS BZX Exchange
02/06/2023 SROI Calamos ETF Trust Calamos Antetokounmpo Global Sustainable Equities ETF NYSE Arca
02/07/2023 KRUZ Series Portfolios Trust Unusual Whales Subversive Republican Trading ETF BATS BZX Exchange
02/07/2023 NANC Series Portfolios Trust Unusual Whales Subversive Democratic Trading ETF BATS BZX Exchange
02/07/2023 UNIY WisdomTree Trust WisdomTree Voya Yield Enhanced USD Universal Bond Fund NASDAQ Global Market
02/08/2023 RSBT Return Stacked Bonds & Managed Futures ETF Return Stacked Bonds & Managed Futures ETF BATS BZX Exchange
02/08/2023 SURI Simplify Exchange Traded Funds Simplify Propel Opportunities ETF NYSE Arca
02/13/2023 CAMX The Advisors? Inner Circle Fund Cambiar Aggressive Value ETF NYSE Arca
02/15/2023 SUPP Engine No. 1 ETF Trust Engine No. 1 Transform Supply Chain ETF BATS BZX Exchange
02/15/2023 WTID Bank Of Montreal MicroSectors Energy 3X Inverse Leveraged ETNs NYSE Arca
02/15/2023 WTIU Bank Of Montreal MicroSectors Energy 3X Leveraged ETNs NYSE Arca
02/16/2023 IVRS iShares Trust iShares Future Metaverse Tech and Communications ETF NYSE Arca
02/21/2023 GFEB First Trust Exchange-Traded Fund VIII FT Cboe Vest U.S. Equity Moderate Buffer ETF - February BATS BZX Exchange
02/22/2023 DULL Bank Of Montreal MicroSectors Gold -3X Inverse Leveraged ETNs due January 29, 2043 NYSE Arca
02/22/2023 NVIR Listed Funds Trust Horizon Kinetics Energy and Remediation ETF NYSE Arca
02/22/2023 QYLE Global X Funds Global X Nasdaq 100 ESG Covered Call ETF NASDAQ Global Market
02/22/2023 SHNY Bank Of Montreal MicroSectors Gold 3X Leveraged ETNs due January 29, 2043 NYSE Arca
02/22/2023 XYLE Global X Funds Global X S&P 500 ESG Covered Call ETF NYSE Arca
02/24/2023 BEMB iShares Trust iShares J.P. Morgan Broad USD Emerging Markets Bond ETF BATS BZX Exchange
03/01/2023 BSMW Invesco Exchange-Traded Self-Indexed Fund Trust Invesco BulletShares 2032 Municipal Bond ETF NASDAQ Global Market
03/01/2023 MART AIM ETF Products Trust AllianzIM U.S. Large Cap Buffer10 Mar ETF NYSE Arca
03/01/2023 MARW AIM ETF Products Trust AllianzIM U.S. Large Cap Buffer20 Mar ETF NYSE Arca
03/02/2023 LJIM Northern Lights Fund Trust IV Long Cramer Tracker ETF BATS BZX Exchange
03/02/2023 SJIM Northern Lights Fund Trust IV Inverse Cramer Tracker ETF BATS BZX Exchange
03/03/2023 EMDM First Trust Exchange-Traded Fund II First Trust Bloomberg Emerging Market Democracies ETF NYSE Arca
03/06/2023 CAOS EA Series Trust Alpha Architect Tail Risk ETF BATS BZX Exchange
03/07/2023 AWEG The Alger ETF Trust Alger Weatherbie Enduring Growth ETF NYSE Arca
03/07/2023 XBIL The RBB Fund, Inc. US Treasury 6 Month Bill ETF NASDAQ Global Market
03/08/2023 JPSV J.P. Morgan Exchange-Traded Fund Trust JPMorgan Active Small Cap Value ETF NYSE Arca
03/09/2023 GMUN Goldman Sachs ETF Trust Goldman Sachs Community Municipal Bond ETF NYSE Arca
03/09/2023 VTES Vanguard Wellington Fund Vanguard Short-Term Tax Exempt Bond ETF NYSE Arca
03/13/2023 BSVO EA Series Trust EA Bridgeway Omni Small-Cap Value ETF NASDAQ Global Market
03/14/2023 FTIF First Trust Exchange-Traded Fund First Trust Bloomberg Inflation Sensitive Equity ETF NYSE Arca
03/16/2023 FUSI American Century ETF Trust American Century Multisector Floating Income ETF NYSE Arca
03/16/2023 JCHI J.P. Morgan Exchange-Traded Fund Trust JPMorgan Active China ETF NYSE Arca
03/20/2023 GMAR First Trust Exchange-Traded Fund VIII FT Cboe Vest U.S. Equity Moderate Buffer ETF - March BATS BZX Exchange
03/20/2023 XMAR First Trust Exchange-Traded Fund VIII FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF - March BATS BZX Exchange
03/21/2023 BIGB Listed Funds Trust Roundhill BIG Bank ETF NASDAQ Global Market
03/21/2023 BITC Bitwise Funds Trust Bitwise Bitcoin Strategy Optimum Roll ETF NYSE Arca
03/22/2023 FWD AB Active ETFs, Inc. AB Disruptors ETF NYSE Arca
03/22/2023 HIDV AB Active ETFs, Inc. AB US High Dividend ETF NYSE Arca
03/22/2023 LOWV AB Active ETFs, Inc. AB US Low Volatility Equity ETF NYSE Arca
03/22/2023 NIKL Sprott Funds Trust Sprott Nickel Miners ETF NASDAQ Global Market
03/28/2023 HARD Simplify Exchange Traded Funds Simplify Commodities Strategy No K-1 ETF NYSE Arca
03/28/2023 UFIV The RBB Fund, Inc. US Treasury 5 Year Note ETF NASDAQ Global Market
03/28/2023 USVN The RBB Fund, Inc. US Treasury 7 Year Note ETF NASDAQ Global Market
03/28/2023 UTHY The RBB Fund, Inc. US Treasury 30 Year Bond ETF NASDAQ Global Market
03/28/2023 UTRE The RBB Fund, Inc. US Treasury 3 Year Note ETF NASDAQ Global Market
03/28/2023 UTWY The RBB Fund, Inc. US Treasury 20 Year Bond ETF NASDAQ Global Market
03/30/2023 DYTA The RBB Fund, Inc. SGI Dynamic Tactical ETF NASDAQ Global Market
03/30/2023 ETEC iShares Trust iShares Breakthrough Environmental Solutions ETF NASDAQ Global Market