
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 | 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 |
02/01/2023 | 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 |
02/02/2023 | 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 |
03/31/2023 | SGLC | The RBB Fund, Inc. | SGI U.S. Large Cap Core ETF | NYSE Arca |
04/03/2023 | APRD | Innovator ETFs Trust | Innovator Premium Income 10 Barrier ETF - April | BATS BZX Exchange |
04/03/2023 | APRH | Innovator ETFs Trust | Innovator Premium Income 20 Barrier ETF - April | BATS BZX Exchange |
04/03/2023 | APRJ | Innovator ETFs Trust | Innovator Premium Income 30 Barrier ETF - April | BATS BZX Exchange |
04/03/2023 | APRQ | Innovator ETFs Trust | Innovator Premium Income 40 Barrier ETF - April | BATS BZX Exchange |
04/04/2023 | DCMB | DoubleLine ETF Trust | DoubleLine Commercial Real Estate ETF | NYSE Arca |
04/04/2023 | DMBS | DoubleLine ETF Trust | DoubleLine Mortgage ETF | NYSE Arca |
04/04/2023 | USCA | DBX ETF Trust | Xtrackers MSCI USA Climate Action Equity ETF | NYSE Arca |
04/05/2023 | OAIB | Listed Funds Trust | Teucrium AiLA Long/Short Base Metals Strategy ETF | NYSE Arca |
04/06/2023 | IBOT | VanEck ETF Trust | VanEck Robotics ETF | NASDAQ Global Market |
04/11/2023 | BIGT | Listed Funds Trust | Roundhill BIG Tech ETF | NASDAQ Global Market |
04/11/2023 | LZRD | Spinnaker ETF Series | Parabla Innovation ETF | NASDAQ Global Market |
04/12/2023 | MKAM | EA Series Trust | MKAM ETF | NASDAQ Global Market |
04/13/2023 | HAPS | Harbor ETF Trust | Harbor Corporate Culture Small Cap ETF | NYSE Arca |
04/13/2023 | PTEC | Global X Funds | Global X PropTech ETF | NASDAQ Global Market |
04/18/2023 | APLY | Tidal ETF Trust II | YieldMax AAPL Option Income Strategy ETF | NYSE Arca |
04/18/2023 | BSR | Northern Lights Fund Trust II | Beacon Selective Risk ETF | NYSE Arca |
04/18/2023 | BTR | Northern Lights Fund Trust II | Beacon Tactical Risk ETF | NYSE Arca |
04/19/2023 | ZIVB | -1x Short VIX Mid-Term Futures Strategy ETF | -1x Short VIX Mid-Term Futures Strategy ETF | BATS BZX Exchange |
04/20/2023 | BBIB | J.P. Morgan Exchange-Traded Fund Trust | JPMorgan BetaBuilders U.S. Treasury Bond 3-10 Year ETF | BATS BZX Exchange |
04/20/2023 | BBLB | J.P. Morgan Exchange-Traded Fund Trust | JPMorgan BetaBuilders U.S. Treasury Bond 20+ Year ETF | BATS BZX Exchange |
04/20/2023 | BBSB | J.P. Morgan Exchange-Traded Fund Trust | JPMorgan BetaBuilders U.S. Treasury Bond 1-3 Year ETF | BATS BZX Exchange |
04/20/2023 | FDAT | Return Stacked Bonds & Managed Futures ETF | Tactical Advantage ETF | NYSE Arca |
04/24/2023 | GAPR | First Trust Exchange-Traded Fund VIII | FT Cboe Vest U.S. Equity Moderate Buffer ETF - April | BATS BZX Exchange |
04/25/2023 | CETF | DriveWealth ETF Trust | DriveWealth ICE 100 Index ETF | NYSE Arca |
04/26/2023 | CRED | Columbia ETF Trust I | Columbia Research Enhanced Real Estate ETF | NYSE Arca |
04/26/2023 | MDLV | EA Series Trust | Morgan Dempsey Large Cap Value ETF | BATS BZX Exchange |
04/27/2023 | DOGG | First Trust Exchange-Traded Fund IV | FT Cboe Vest DJIA Dogs 10 Target Income ETF | BATS BZX Exchange |
04/27/2023 | QWST | Harbor ETF Trust | Harbor Small Cap Explorer ETF | NYSE Arca |
05/01/2023 | MAYT | AIM ETF Products Trust | AllianzIM U.S. Large Cap Buffer10 May ETF | NYSE Arca |
05/01/2023 | MAYW | AIM ETF Products Trust | AllianzIM U.S. Large Cap Buffer20 May ETF | NYSE Arca |
05/02/2023 | CAFG | Pacer Funds Trust | Pacer US Small Cap Cash Cows Growth Leaders ETF | NASDAQ Global Market |
05/02/2023 | HEAT | Touchstone ETF Trust | Touchstone Climate Transition ETF | BATS BZX Exchange |
05/03/2023 | APCB | Trust for Professional Managers | ActivePassive Core Bond ETF | NYSE Arca |
05/03/2023 | APIE | Trust for Professional Managers | ActivePassive International Equity ETF | NYSE Arca |
05/03/2023 | APMU | Trust for Professional Managers | ActivePassive Intermediate Municipal Bond ETF | NYSE Arca |
05/03/2023 | APUE | Trust for Professional Managers | ActivePassive U.S. Equity ETF | NYSE Arca |
05/03/2023 | BWET | ETF Managers Group Commodity Trust I | Breakwave Tanker Shipping ETF | NYSE Arca |
05/04/2023 | USE | USCF ETF Trust | USCF Energy Commodity Strategy Absolute Return Fund | NYSE Arca |
05/09/2023 | CLIA | Return Stacked Bonds & Managed Futures ETF | Veridien Climate Action ETF | NYSE Arca |
05/10/2023 | CMDT | PIMCO U.S. Treasury Index Fund | PIMCO Commodity Strategy Active Exchange-Traded Fund | NYSE Arca |
05/10/2023 | IQRA | IQ MacKay Municipal Insured ETF | IQ CBRE Real Assets ETF | NYSE Arca |
05/11/2023 | BBEM | J.P. Morgan Exchange-Traded Fund Trust | JPMorgan BetaBuilders Emerging Markets Equity ETF | BATS BZX Exchange |
05/11/2023 | BBIP | J.P. Morgan Exchange-Traded Fund Trust | JPMorgan BetaBuilders U.S. TIPS 0-5 Year ETF | BATS BZX Exchange |
05/11/2023 | BDGS | EA Series Trust | Bridges Capital Tactical ETF | NASDAQ Global Market |
05/11/2023 | IBMR | iShares Trust | iShares iBonds Dec 2029 Term Muni Bond ETF | BATS BZX Exchange |
05/11/2023 | LUX | Tema ETF Trust | Tema Luxury ETF | NYSE Arca |
05/11/2023 | NVDY | Tidal ETF Trust II | YieldMax NVDA Option Income Strategy ETF | NYSE Arca |
05/11/2023 | RSHO | Tema ETF Trust | Tema American Reshoring ETF | NYSE Arca |
05/11/2023 | TOLL | Tema ETF Trust | Tema Monopolies and Oligopolies ETF | BATS BZX Exchange |
05/15/2023 | EMC | Global X Funds | Global X Emerging Markets Great Consumer ETF | NYSE Arca |
05/15/2023 | EMM | Global X Funds | Global X Emerging Markets ETF | NYSE Arca |
05/15/2023 | HYFI | AB Active ETFs, Inc. | AB High Yield ETF | NYSE Arca |
05/17/2023 | BKIV | BNY Mellon ETF Trust | BNY Mellon Innovators ETF | NASDAQ Global Market |
05/17/2023 | BKWO | BNY Mellon ETF Trust | BNY Mellon Women's Opportunities ETF | NASDAQ Global Market |
05/18/2023 | CHAT | Return Stacked Bonds & Managed Futures ETF | Roundhill Generative AI & Technology ETF | NYSE Arca |
05/18/2023 | ECML | EA Series Trust | Euclidean Fundamental Value ETF | NYSE Arca |
05/18/2023 | PEMX | Putnam ETF Trust | Putnam Emerging Markets ex-China ETF | NYSE Arca |
05/19/2023 | AMPD | Return Stacked Bonds & Managed Futures ETF | CNIC ICE U.S. Carbon Neutral Power Futures Index ETF | NYSE Arca |
05/19/2023 | ZTAX | X-Square Series Trust | X-Square Municipal Income Tax Free ETF | NYSE Arca |
05/22/2023 | GMAY | First Trust Exchange-Traded Fund VIII | FT Cboe Vest U.S. Equity Moderate Buffer ETF - May | BATS BZX Exchange |
05/22/2023 | SMAY | First Trust Exchange-Traded Fund VIII | FT Cboe Vest U.S. Small Cap Moderate Buffer ETF - May | BATS BZX Exchange |
05/23/2023 | BINC | BlackRock ETF Trust II | BlackRock Flexible Income ETF | NYSE Arca |
05/23/2023 | BLCV | BlackRock ETF Trust | BlackRock Large Cap Value ETF | NYSE Arca |
05/24/2023 | AIDB | Exchange Listed Funds Trust | QRAFT AI-Pilot U.S. Large Cap Dynamic Beta and Income ETF | NYSE Arca |
05/25/2023 | NTRL | Global X Funds | Global X Carbon Credits Strategy ETF | NYSE Arca |
Related Files
Contact Information
- Nasdaq Listing Qualifications at
+1 301 978 8008.