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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


Chronological List
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


Modified: 04/09/2009