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CHX Rulemaking Archive: 2004
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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
CHX File Number List for 2004
Additional Archives
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-CHX-2004-42 |
| 34-50952 |
Dec. 30, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Sales of Securities
Comments due: January 28, 2005
|
SR-CHX-2004-44 |
| 34-50935 |
Dec. 27, 2004 |
Notice of Filing and Immediate Effectiveness of Extension of Pilot Rule Change Relating Transactions in Certain Exchange-Traded Funds
Comments due: January 25, 2005
|
SR-CHX-2004-26 |
| 34-50892 |
Dec. 20, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Demutualization
Comments due: January 18, 2005
See also: Order: Rel. No. 34-51149
Attachments:
|
SR-CHX-2004-03 |
| 34-50865 |
Dec. 16, 2004 |
Notice of Filing of Proposed Rule Change Relating to Manual Execution of Orders and Amendment No. 1 Thereto
See also: Order: Rel. No. 34-52062
|
SR-CHX-2004-34 |
| 34-50657 |
Nov. 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Dues and Fees
Comments due: December 9, 2004
|
SR-CHX-2004-35 |
| 34-50628 |
Nov. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Transfer of CHX Memberships
Comments due: December 1, 2004
|
SR-CHX-2004-37 |
| 34-50620 |
Nov. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading of Nasdaq/NM Securities
Comments due: November 30, 2004
|
SR-CHX-2003-07 |
| 34-50619 |
Nov. 2, 2004 |
Order Granting Approval of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Out-of-Range Execution Rules
See also: Notice: Rel. No. 34-50417 |
SR-CHX-2004-22 |
| 34-50616 |
Nov. 1, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Charges that are Payable by CHX Specialists That Trade NASDAQ/NM Securities
Comments due: November 26, 2004
|
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: November 22, 2004
|
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
|
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
|
| Third Quarter |
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
See also: Notice: Rel. No. 34-49567
|
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
See also: Order: Rel. No. 34-50619 |
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
See also: Notice: Rel. No. 34-49978
|
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
|
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
See also: Notice: Rel. No. 34-49529
|
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
|
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
See also: Notice: Rel. No. 34-49721
|
SR-CHX-2004-02 |
| 34-50013 |
Jul. 14, 2004 |
Order Approving Proposed Rule Change Relating to the Minimum Automatic Execution Threshold Size
See also: Notice: Rel. No. 34-49793
|
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
See also: Order: Rel. No. 34-52094
|
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
|
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
See also: Notice: Rel. No. 34-49772
|
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
See also: Order: Rel. No. 34-50215
|
| Second Quarter |
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
|
SR-CHX-2004-16 |
| 34-49900 |
Jun. 22, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 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
|
SR-CHX-2004-02 |
| 34-49793 |
Jun. 2, 2004 |
Notice of Proposed Rule Change Relating to the Minimum Automatic Execution Threshold
Comments due: July 1, 2004
See also: Order: Rel. No. 34-50013
|
SR-CHX-2003-24 |
| 34-49774 |
May 26, 2004 |
Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Definition of Primary Market
See also: Notice: Rel. No. 34-49437
|
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
See also: Order: Rel. No. 34-49981
|
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 Relating to the Price Improvement of Orders Executed Automatically on the Exchange
See also: Notice: Rel. No. 34-49530
|
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
|
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
See also: Order: Rel. No. 34-50024
|
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
|
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
See also: Order: Rel. No. 34-50481
|
SR-CHX-2003-21 |
| 34-49530 |
Apr. 6, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Price Improvement of Orders Executed Automatically on the Exchange
Comments due: June 16, 2004
See also: Order: Rel. No. 34-49736
|
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
See also: Order: Rel. No. 34-50089
|
| First Quarter |
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 Relating to the Definition of Primary Market
Comments due: April 14, 2004
See also: Order: Rel. No. 34-49774
|
| CHX File Number List for 2004 |
| Release No. |
Date |
Details |
SR-CHX-2004-44 |
| 34-50935 |
Dec. 27, 2004 |
Notice of Filing and Immediate Effectiveness of Extension of Pilot Rule Change Relating Transactions in Certain Exchange-Traded Funds
Comments due: January 25, 2005
|
SR-CHX-2004-42 |
| 34-50952 |
Dec. 30, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Sales of Securities
Comments due: January 28, 2005
|
SR-CHX-2004-41 |
| 34-51284 |
Mar. 1, 2005 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Trade the streetTRACKS Gold Shares Pursuant to Unlisted Trading Privileges
Comments due: March 29, 2005
|
SR-CHX-2004-38 |
| 34-53772 |
May 8, 2006 |
Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 3 and 4 Thereto Relating to Records of Orders and Executions
Comments due: June 2, 2006
|
| 34-52766 |
Nov. 10, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Records of Orders and Executions
Comments due: December 9, 2005
|
SR-CHX-2004-37 |
| 34-50620 |
Nov. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading of Nasdaq/NM Securities
Comments due: November 30, 2004
|
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: November 22, 2004
|
SR-CHX-2004-35 |
| 34-50628 |
Nov. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Transfer of CHX Memberships
Comments due: December 1, 2004
|
SR-CHX-2004-34 |
| 34-50657 |
Nov. 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Dues and Fees
Comments due: December 9, 2004
|
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
|
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
|
SR-CHX-2004-26 |
| 34-51149 |
Feb. 8, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Demutualization of the Chicago Stock Exchange, Inc.
|
| 34-50892 |
Dec. 20, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Demutualization
Comments due: January 18, 2005
Attachments:
|
SR-CHX-2004-25 |
| 34-52534 |
Sep. 29, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 Thereto Relating to a Prohibition on Using a Layoff Service Unless the Service Provides Required Information to the Exchange
|
| 34-52248 |
Aug. 12, 2005 |
Notice of Filing of Amendment No. 3 to a Proposed Rule Change Relating to a Prohibition on Using a Layoff Service Unless the Service Provides Required Information to the Exchange
Comments due: September 8, 2005
|
| 34-51967 |
Jul. 1, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a Prohibition on Using a Layoff Service Unless The Service Provides Required Information to The Exchange
Comments due: August 2, 2005
|
SR-CHX-2004-22 |
| 34-50616 |
Nov. 1, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Charges that are Payable by CHX Specialists That Trade NASDAQ/NM Securities
Comments due: November 26, 2004
|
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
|
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
|
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
|
SR-CHX-2004-17 |
| 34-52652 |
Oct. 21, 2005 |
Order Granting Approval to Proposed Rule Change to Amend Article XX, Rule 37(a)(3) to Eliminate its Requirement that Specialists Guarantee Execution of Limit Orders When Certain Conditions Occur in Another Market
|
| 34-51997 |
Jul. 8, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Article XX, Rule 37(a)(3) of its Rules to Eliminate Its Requirement That Specialists Guarantee Execution of Limit Orders When Certain Conditions Occur in Another Market
Comments due: August 4, 2005
|
SR-CHX-2004-16 |
| 34-49900 |
Jun. 22, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 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
|
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
|
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
|
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
|
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 Relating to the Implementation of a Fully-Automated Functionality for the Handling of Particular Orders Called CHXpress
|
| 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
|
SR-CHX-2004-11 |
| 34-52094 |
Jul. 21, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change to Implement a Fully-Automated Electronic Book for the Display and Execution of Orders in Securities That Are Not Assigned to a Specialist
|
| 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
|
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
|
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
|
SR-CHX-2004-03 |
| 34-52062 |
Jul. 19, 2005 |
Order Approving Proposed Rule Change Relating to Standards for Manual Execution of Market and Marketable Limit Orders
|
| 34-50865 |
Dec. 16, 2004 |
Notice of Filing of Proposed Rule Change Relating to Manual Execution of Orders and Amendment No. 1 Thereto
|
SR-CHX-2004-02 |
| 34-50013 |
Jul. 14, 2004 |
Order Approving Proposed Rule Change Relating to the Minimum Automatic Execution Threshold Size
|
| 34-49793 |
Jun. 2, 2004 |
Notice of Proposed Rule Change Relating to the Minimum Automatic Execution Threshold
Comments due: July 1, 2004
|
http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2004.shtml
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