|
|
 |
CHX Rulemaking
We encourage the public to submit comments on the following Chicago Stock Exchange, Inc. (CHX) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
 Chronological List
File Number List
| Release No. |
Date |
Details |
SR-CHX-2004-36 |
| 34-50590 |
Oct. 26, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Pilot Rule Change Relating to Transactions in Certain Exchange-Traded Funds
Comments due: 21 days after publication in the Federal Register
Click to submit comments on SR-CHX-2004-36
|
SR-CHX-2004-33 |
| 34-50528 |
Oct. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Floor Broker Network and Connectivity Charges
Comments due: November 12, 2004
Click to submit comments on SR-CHX-2004-33
|
SR-CHX-2004-32 |
| 34-50521 |
Oct. 13, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Membership Dues and Fees Applicable to Orders Sent for Execution Through the Exchange’s CHXpress Functionality
Comments due: November 9, 2004
Click to submit comments on SR-CHX-2004-32
|
SR-CHX-2004-12 |
| 34-50481 |
Sep. 30, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendments No. 2 and 3 to the Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Implementation of a Fully-Automated Functionality for the Handling of Particular Orders Called CHXpress
Comments due: 21 days after publication in the Federal Register
Click to submit comments on SR-CHX-2004-12
|
SR-CHX-2003-07 |
| 34-50417 |
Sep. 21, 2004 |
Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Out-of-Range Execution Rules
Comments due: October 20, 2004
Click to submit comments on SR-CHX-2003-07 |
SR-CHX-2003-15 |
| 34-48447 |
Sep. 4, 2004 |
Order Granting Approval to Proposed Rule Change to Amend the CHX Membership Dues and Fees Schedule to Increase the Specialist Tape Credits for Certain Trades in Tape A and Tape B Securities
Comments received electronically are available for this notice.
|
SR-CHX-2004-14 |
| 34-50215 |
Aug. 18, 2004 |
Order Granting Approval of Proposed Rule Change Relating to the Handling of Preopening Orders in Nasdaq/NM Securities |
SR-CHX-2004-21 |
| 34-50201 |
Aug. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Transfer of CHX Memberships
Comments due: September 13, 2004
Click to submit comments on SR-CHX-2004-21
|
SR-CHX-2004-04 |
| 34-50089 |
Jul. 26, 2004 |
Order Approving Proposed Rule Change to Revise CHX Article VI, Rule 5 to Correct a Reference to the Form Used for the Registration of New Branch Offices
|
SR-CHX-2004-18 |
| 34-50072 |
Jul. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Dues and Fees
Comments due: August 20, 2004
Click to submit comments on SR-CHX-2004-18
|
SR-CHX-2004-10 |
| 34-50024 |
Jul. 15, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Co-Specialist Assignments and Evaluations
|
SR-CHX-2004-02 |
| 34-50013 |
Jul. 14, 2004 |
Order Approving Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Minimum Automatic Execution Threshold Size
|
SR-CHX-2004-11 |
| 34-50002 |
Jul. 12, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Implementation of a Fully-Automated Electronic Book for the Display and Execution of Orders in Securities That are Not Assigned to a Specialist
Comments due: August 9, 2004
Click to submit comments on SR-CHX-2004-11
|
SR-CHX-2004-20 |
| 34-49994 |
Jul. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reinstate and Extend a Pilot Rule Interpretation Relating to Trading of Nasdaq/National Market Securities in Subpenny Increments
Comments due: August 5, 2004
Click to submit comments on SR-CHX-2004-20
|
SR-CHX-2004-08 |
| 34-49981 |
Jul. 7, 2004 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 to Amend the CHX Membership Dues and Fees Schedule to Provide a Tape Credit of 50% to Specialists Trading Tape A and Tape B Securities
|
SR-CHX-2004-14 |
| 34-49978 |
Jul. 7, 2004 |
Notice of Filing of Proposed Rule Change Relating to the Handling of Preopening Orders in Nasdaq/NM Securities
Comments due: August 4, 2004
Click to submit comments on SR-CHX-2004-14
|
SR-CHX-2003-19 |
| 34-49911 |
Jun. 24, 2004 |
Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 to the Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Governance of Issuers on the Exchange
Comments due: July 22, 2004
Click to submit comments on SR-CHX-2003-19
|
SR-CHX-2003-15 |
| 34-48076 |
Jun. 23, 2004 |
Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated To Amend the Membership Dues and Fees Schedule To Increase the Specialist Tape Credits for Certain Trades in Tape A and Tape B Securities
|
SR-CHX-2004-16 |
| 34-49900 |
Jun. 22, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Inc. Thereto Relating to Minimum Price Variation for Issues Customarily Trading at a Per Share Price of $100,000 or Greater
Comments due: July 21, 2004
Click to submit comments on SR-CHX-2004-16
|
SR-CHX-2004-02 |
| 34-49793 |
Jun. 2, 2004 |
Notice of Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Minimum Automatic Execution Threshold
Comments due: July 1, 2004
Click to submit comments on SR-CHX-2004-02
|
SR-CHX-2003-24 |
| 34-49774 |
May 26, 2004 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Stock Exchange, Inc. Relating to the Definition of Primary Market
|
SR-CHX-2004-08 |
| 34-49772 |
May 26, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend the CHX Membership Dues and Fees Schedule to Provide a Tape Credit of 50% to Specialists Trading Tape A and Tape B Securities
Comments due: June 23, 2004
|
SR-CHX-2003-21 |
| 34-49736 |
May 19, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 by the Chicago Stock Exchange, Inc., Relating to the Price Improvement of Orders Executed Automatically on the Exchange
|
SR-CHX-2004-15 |
| 34-49728 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Set Fees for Member Firms for Computer Hardware Stored on the Exchange Premises and for the Connection of that Hardware to the CHX System
Comments due: June 16, 2004
Click to submit comments on SR-CHX-2004-15
|
SR-CHX-2004-10 |
| 34-49721 |
May 18, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to Co-Specialist Assignments and Evaluations
Comments due: June 14, 2004
Click to submit comments on SR-CHX-2004-10
|
SR-CHX-2004-13 |
| 34-49658 |
May 6, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Set Fees for Member Firms’ Use of Enhanced Electronic Communications Retention System
Comments due: June 3, 2004
Click to submit comments on SR-CHX-2004-13
|
SR-CHX-2004-12 |
| 34-49567 |
Apr. 15, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Implementation of an Automated Functionality for the Handing of Unconditional Round-Lot Limit Orders Called CHXpress
Comments due: May 12, 2004
Click to submit comments on SR-CHX-2004-12
|
SR-CHX-2003-21 |
| 34-49530 |
Apr. 6, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Inc., Relating to the Price Improvement of Orders Executed Automatically on the Exchange
Comments due: June 16, 2004
|
SR-CHX-2004-04 |
| 34-49529 |
Apr. 6, 2004 |
Notice of Filing of Proposed Rule to Revise its Article VI, Rule 5 to Correct a Reference to the Form Used for the Registration of New Branch Offices
Comments due: May 4, 2004
Click to submit comments on SR-CHX-2004-04
|
SR-CHX-2003-25 |
| 34-49496 |
Mar. 29, 2004 |
Order Granting Approval to Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Stop Order Handling Rules
|
SR-CHX-2003-24 |
| 34-49437 |
Mar. 17, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Incorporated Relating to the Definition of Primary Market
Comments due: April 14, 2004
|
SR-CHX-2003-31 |
| 34-48734 |
Oct. 31, 2003 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies
|
SR-CHX-99-24 |
| 34-42565 |
Mar. 22, 2000 |
Order Granting Accelerated Approval and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Price Improvement for Securities that Trade in Minimum Variations of 1/64th of $1.00 |
SR-CHX-99-16 |
| 34-42004 |
Oct. 13, 1999 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rules Change and Amendment Nos. 1 and 2 Relating to the Implementation of an Extended Hours Trading Session
|
| Release No. |
Date |
Details |
SR-CHX-2004-36 |
| 34-50590 |
Oct. 26, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Pilot Rule Change Relating to Transactions in Certain Exchange-Traded Funds
Comments due: 21 days after publication in the Federal Register
Click to submit comments on SR-CHX-2004-36
|
SR-CHX-2004-33 |
| 34-50528 |
Oct. 13, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Floor Broker Network and Connectivity Charges
Comments due: November 12, 2004
Click to submit comments on SR-CHX-2004-33
|
SR-CHX-2004-32 |
| 34-50521 |
Oct. 13, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Membership Dues and Fees Applicable to Orders Sent for Execution Through the Exchange’s CHXpress Functionality
Comments due: November 9, 2004
Click to submit comments on SR-CHX-2004-32
|
SR-CHX-2004-21 |
| 34-50201 |
Aug. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Transfer of CHX Memberships
Comments due: September 13, 2004
Click to submit comments on SR-CHX-2004-21
|
SR-CHX-2004-20 |
| 34-49994 |
Jul. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reinstate and Extend a Pilot Rule Interpretation Relating to Trading of Nasdaq/National Market Securities in Subpenny Increments
Comments due: August 5, 2004
Click to submit comments on SR-CHX-2004-20
|
SR-CHX-2004-18 |
| 34-50072 |
Jul. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Dues and Fees
Comments due: August 20, 2004
Click to submit comments on SR-CHX-2004-18
|
SR-CHX-2004-16 |
| 34-49900 |
Jun. 22, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Inc. Thereto Relating to Minimum Price Variation for Issues Customarily Trading at a Per Share Price of $100,000 or Greater
Comments due: July 21, 2004
Click to submit comments on SR-CHX-2004-16
|
SR-CHX-2004-15 |
| 34-49728 |
May 19, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Set Fees for Member Firms for Computer Hardware Stored on the Exchange Premises and for the Connection of that Hardware to the CHX System
Comments due: June 16, 2004
Click to submit comments on SR-CHX-2004-15
|
SR-CHX-2004-14 |
| 34-50215 |
Aug. 18, 2004 |
Order Granting Approval of Proposed Rule Change Relating to the Handling of Preopening Orders in Nasdaq/NM Securities |
| 34-49978 |
Jul. 7, 2004 |
Notice of Filing of Proposed Rule Change Relating to the Handling of Preopening Orders in Nasdaq/NM Securities
Comments due: August 4, 2004
Click to submit comments on SR-CHX-2004-14
|
SR-CHX-2004-13 |
| 34-49658 |
May 6, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Set Fees for Member Firms’ Use of Enhanced Electronic Communications Retention System
Comments due: June 3, 2004
Click to submit comments on SR-CHX-2004-13
|
SR-CHX-2004-12 |
| 34-50481 |
Sep. 30, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendments No. 2 and 3 to the Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Implementation of a Fully-Automated Functionality for the Handling of Particular Orders Called CHXpress
Comments due: October 28, 2004
Click to submit comments on SR-CHX-2004-12
|
| 34-49567 |
Apr. 15, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Implementation of an Automated Functionality for the Handing of Unconditional Round-Lot Limit Orders Called CHXpress
Comments due: May 12, 2004
Click to submit comments on SR-CHX-2004-12
|
SR-CHX-2004-11 |
| 34-50002 |
Jul. 12, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Implementation of a Fully-Automated Electronic Book for the Display and Execution of Orders in Securities That are Not Assigned to a Specialist
Comments due: August 9, 2004
Click to submit comments on SR-CHX-2004-11
|
SR-CHX-2004-10 |
| 34-50024 |
Jul. 15, 2004 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Co-Specialist Assignments and Evaluations
|
| 34-49721 |
May 18, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto Relating to Co-Specialist Assignments and Evaluations
Comments due: June 14, 2004
Click to submit comments on SR-CHX-2004-10
|
SR-CHX-2004-08 |
| 34-49981 |
Jul. 7, 2004 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 to Amend the CHX Membership Dues and Fees Schedule to Provide a Tape Credit of 50% to Specialists Trading Tape A and Tape B Securities
|
| 34-49772 |
May 26, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend the CHX Membership Dues and Fees Schedule to Provide a Tape Credit of 50% to Specialists Trading Tape A and Tape B Securities
Comments due: June 23, 2004
|
SR-CHX-2004-04 |
| 34-50089 |
Jul. 26, 2004 |
Order Approving Proposed Rule Change to Revise CHX Article VI, Rule 5 to Correct a Reference to the Form Used for the Registration of New Branch Offices
|
| 34-49529 |
Apr. 6, 2004 |
Notice of Filing of Proposed Rule to Revise its Article VI, Rule 5 to Correct a Reference to the Form Used for the Registration of New Branch Offices
Comments due: May 4, 2004
Click to submit comments on SR-CHX-2004-04
|
SR-CHX-2004-02 |
| 34-50013 |
Jul. 14, 2004 |
Order Approving Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Minimum Automatic Execution Threshold Size
|
| 34-49793 |
Jun. 2, 2004 |
Notice of Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to the Minimum Automatic Execution Threshold
Comments due: July 1, 2004
Click to submit comments on SR-CHX-2004-02
|
SR-CHX-2003-31 |
| 34-48734 |
Oct. 31, 2003 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies
|
SR-CHX-2003-25 |
| 34-49496 |
Mar. 29, 2004 |
Order Granting Approval to Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Stop Order Handling Rules
|
SR-CHX-2003-24 |
| 34-49774 |
May 26, 2004 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Stock Exchange, Inc. Relating to the Definition of Primary Market
|
| 34-49437 |
Mar. 17, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Incorporated Relating to the Definition of Primary Market
Comments due: April 14, 2004
|
SR-CHX-2003-21 |
| 34-49736 |
May 19, 2004 |
Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 by the Chicago Stock Exchange, Inc., Relating to the Price Improvement of Orders Executed Automatically on the Exchange
| | 34-49530 |
Apr. 6, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Stock Exchange, Inc., Relating to the Price Improvement of Orders Executed Automatically on the Exchange
Comments due: June 16, 2004
|
SR-CHX-2003-19 |
| 34-49911 |
Jun. 24, 2004 |
Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 to the Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Governance of Issuers on the Exchange
Comments due: July 22, 2004
Click to submit comments on SR-CHX-2003-19
|
SR-CHX-2003-15 |
| 34-48076 |
Jun. 23, 2004 |
Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Incorporated To Amend the Membership Dues and Fees Schedule To Increase the Specialist Tape Credits for Certain Trades in Tape A and Tape B Securities
| | 34-48447 |
Sep. 4, 2004 |
Order Granting Approval to Proposed Rule Change to Amend the CHX Membership Dues and Fees Schedule to Increase the Specialist Tape Credits for Certain Trades in Tape A and Tape B Securities
Comments received are available for this notice.
|
SR-CHX-2003-07 |
| 34-50417 |
Sep. 21, 2004 |
Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Out-of-Range Execution Rules
Comments due: October 20, 2004
Click to submit comments on SR-CHX-2003-07 |
SR-CHX-99-24 |
| 34-42565 |
Mar. 22, 2000 |
Order Granting Accelerated Approval and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Price Improvement for Securities that Trade in Minimum Variations of 1/64th of $1.00 |
SR-CHX-99-16 |
| 34-42004 |
Oct. 13, 1999 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rules Change and Amendment Nos. 1 and 2 Relating to the Implementation of an Extended Hours Trading Session
|
http://www.sec.gov/rules/sro/chx.shtml
|
