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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
Second Quarter | First Quarter
CHX File Number List for 2013
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
| Release No. |
Date |
Details |
| Second Quarter |
SR-CHX-2013-09 |
| 34-69552 |
May 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule Governing the Anti-Money Laundering Compliance Program
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-CHX-2013-09
|
SR-CHX-2013-10 |
| 34-69538 |
May 8, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms Under One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-CHX-2013-10
|
SR-CHX-2013-08 |
| 34-69319 |
Apr. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt and Amend Exchange Rules in Connection with Limit Up-Limit Down Plan
Comments due: May 2, 2013
Additional Materials: Exhibit 5
Submit comments on SR-CHX-2013-08
|
| First Quarter |
SR-CHX-2013-07 |
| 34-69075 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) to Modify the Operation of the CHX Only Order Type and Post Only Order Modifier
Comments due: April 4, 2013
Additional Materials: Exhibit 5
Submit comments on SR-CHX-2013-07
|
SR-CHX-2013-05 |
| 34-68908 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 8, Rule 13, which, Among Other Things, Prohibits Deceptive and Other Abusive Telemarketing Acts or Practices, to Correct a Citation Error
Comments due: March 22, 2013
|
SR-CHX-2013-06 |
| 34-68894 |
Feb. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Circumstances Under Which Liquidity Providing Credits are Paid to Institutional Brokers
Comments due: March 8, 2013
Additional Materials: Exhibit 5
|
SR-CHX-2013-03 |
| 34-68853 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 2, which Provides for, Among Other Things, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: March 5, 2013
Additional Materials: Exhibit 5
|
SR-CHX-2013-04 |
| 34-68802 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 10 to Extend the Effective Date of Certain Clearly Erroneous Transactions Provisions Operating under a Pilot until September 30, 2013 and to Establish Guidelines for the Handling of Clearly Erroneous Transactions in Connection with the Plan to Address Extraordinary Market Volatility
Comments due: February 28, 2013
Additional Materials: Exhibit 5
|
SR-CHX-2013-02 |
| 34-68777 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of a Rule Change to CHX Article 20, Rule 2, Which Provides, Among Other Things, Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility From the Date of February 4, 2013 Until April 8, 2013
Comments due: February 27, 2013
|
SR-CHX-2012-19 |
| 34-68657 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter Fee Schedule Relating to Port Charges
Comments due: February 8, 2013
Additional Materials: Exhibit 5
|
SR-CHX-2012-13 |
| 34-68653 |
Jan. 14, 2013 |
Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, to Amend the Listing Rules for Compensation Committees to Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes
Comments due: February 13, 2013
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-68311, Notice: Rel. No. 34-68033
|
SR-CHX-2013-01 |
| 34-68647 |
Jan. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Its Price With Respect to Regulatory Fees Related to the Continuing Education Regulatory Element, Certain Examinations and Central Registration Depository, Which Are Collected By the Financial Industry Regulatory Authority, Inc.
Comments due: February 12, 2013
Additional Materials: Exhibit 5
|
SR-CHX-2012-20 |
| 34-68620 |
Jan. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter Exchange Rules and Fee Schedule Relating to Annual Listing Maintenance Fees
Comments due: February 6, 2013
Additional Materials: Exhibit 5
|
| CHX File Number List for 2012 |
| Release No. |
Date |
Details |
SR-CHX-2013-10 |
| 34-69538 |
May 8, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms Under One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-CHX-2013-10
|
SR-CHX-2013-09 |
| 34-69552 |
May 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule Governing the Anti-Money Laundering Compliance Program
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-CHX-2013-09
|
SR-CHX-2013-08 |
| 34-69319 |
Apr. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt and Amend Exchange Rules in Connection with Limit Up-Limit Down Plan
Comments due: May 2, 2013
Additional Materials: Exhibit 5
Submit comments on SR-CHX-2013-08
|
SR-CHX-2013-07 |
| 34-69075 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) to Modify the Operation of the CHX Only Order Type and Post Only Order Modifier
Comments due: April 4, 2013
Additional Materials: Exhibit 5
Submit comments on SR-CHX-2013-07
|
SR-CHX-2013-06 |
| 34-68894 |
Feb. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Circumstances Under Which Liquidity Providing Credits are Paid to Institutional Brokers
Comments due: March 8, 2013
Additional Materials: Exhibit 5
|
SR-CHX-2013-05 |
| 34-68908 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 8, Rule 13, which, Among Other Things, Prohibits Deceptive and Other Abusive Telemarketing Acts or Practices, to Correct a Citation Error
Comments due: March 22, 2013
|
SR-CHX-2013-04 |
| 34-68802 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 10 to Extend the Effective Date of Certain Clearly Erroneous Transactions Provisions Operating under a Pilot until September 30, 2013 and to Establish Guidelines for the Handling of Clearly Erroneous Transactions in Connection with the Plan to Address Extraordinary Market Volatility
Comments due: February 28, 2013
Additional Materials: Exhibit 5
|
SR-CHX-2013-03 |
| 34-68853 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 2, which Provides for, Among Other Things, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: March 5, 2013
Additional Materials: Exhibit 5
|
SR-CHX-2013-02 |
| 34-68777 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of a Rule Change to CHX Article 20, Rule 2, Which Provides, Among Other Things, Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility From the Date of February 4, 2013 Until April 8, 2013
Comments due: February 27, 2013
|
SR-CHX-2013-01 |
| 34-68647 |
Jan. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Its Price With Respect to Regulatory Fees Related to the Continuing Education Regulatory Element, Certain Examinations and Central Registration Depository, Which Are Collected By the Financial Industry Regulatory Authority, Inc.
Comments due: February 12, 2013
Additional Materials: Exhibit 5
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http://www.sec.gov/rules/sro/chx.shtml
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