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CHX Rulemaking Archive: 2006
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.
Note: Only selected SRO rule proposals were posted to the SEC website prior to 2004. To obtain releases not appearing on the website, contact the Public Reference Room at (202) 551-8090 or by e-mail: publicinfo@sec.gov.
Available CHX Rules include:
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
CHX File Number List for 2006
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-CHX-2006-30 |
| 34-54963 |
Dec. 19, 2006 |
Order Approving Proposed Rule Change to Permit Routing from the Matching System to a Destination Selected by a Participant
See also: Notice: Rel. No. 34-54642
|
SR-CHX-2006-36 |
| 34-54922 |
Dec. 12, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: January 10, 2007
|
SR-CHX-2006-34 |
| 34-54846 |
Nov. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation of a Communications or Routing Service
Comments due: December 28, 2006
|
SR-CHX-2006-35 |
| 34-54842 |
Nov. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: December 28, 2006
|
SR-CHX-2006-33 |
| 34-54833 |
Nov. 29, 2006 |
Notice of Filing of Proposed Rule Change Amending Rules to Require Listed Companies to Make Securities Eligible for the Direct Registration System
Comments due: December 28, 2006
See also: Order: Rel. No. 34-55481
|
SR-CHX-2006-31 |
| 34-54791 |
Nov. 20, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due: December 18, 2006
|
SR-CHX-2006-29 |
| 34-54657 |
Oct. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due: November 24, 2006
|
SR-CHX-2006-30 |
| 34-54642 |
Oct. 23, 2006 |
Notice of Filing of Proposed Rule Change to Permit Routing from the Matching System to a Destination Selected by a Participant
Comments due: November 20, 2006
See also: Order: Rel. No. 34-54963
|
SR-CHX-2005-06 |
| 34-54437A |
Oct. 18, 2006 |
Order Approving a Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to a Proposed Rule Change Relating to Disciplinary and Delisting Procedures (Correction)
See also: Order: Rel. No. 34-54437; Notice: Rel. No. 34-54021
|
| Third Quarter |
SR-CHX-2006-05 |
| 34-54550 |
Sep. 29, 2006 |
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Implement a New Trading Model
Comments due: October 31, 2006
See also: Notice: Rel. No. 34-54301
Comments received are available for this notice.
|
SR-CHX-2006-28 |
| 34-54548 |
Sep. 29, 2006 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan
Other File Nos.: SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-NASDAQ-2006-038; SR-NSX-2006-11; SR-NYSEArca-2006-69; SR-Phlx-2006-58
Comments due: October 27, 2006
|
SR-CHX-2006-26 |
| 34-54522 |
Sep. 27, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Prohibiting a Participant Firm from Earning Credits When its Exchange Bill Is More Than 30 Days Past Due
Comments due: October 24, 2006
|
SR-CHX-2006-27 |
| 34-54495 |
Sep. 25, 2006 |
Order Approving Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits
See also: Notice: Rel. No. 34-54323
|
SR-CHX-2006-23 |
| 34-54494 |
Sep. 25, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange’s Bylaws and Other Governance Changes
See also: Notice: Rel. No. 34-54226
|
SR-CHX-2005-06 |
| 34-54437 |
Sep. 13, 2006 |
Order Approving a Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to a Proposed Rule Change Relating to Disciplinary and Delisting Procedures
Comments due: October 11, 2006
See also: 34-54437ANotice: Rel. No. 34-54021
|
SR-CHX-2006-24 |
| 34-54326 |
Aug. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Regarding Two-Sided Quote Providers
Comments due: September 13, 2006
|
SR-CHX-2006-27 |
| 34-54323 |
Aug. 16, 2006 |
Notice of Filing of Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits
Comments due: September 13, 2006
See also: Order: Rel. No. 34-54495
|
SR-CHX-2006-05 |
| 34-54301 |
Aug. 10, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a New Trading Model
Comments due: September 8, 2006
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-54550
Comments received are available for this notice.
|
SR-CHX-2006-23 |
| 34-54226 |
Jul. 27, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange’s Bylaws
Comments due: August 24, 2006
See also: Order: Rel. No. 34-54494
|
SR-CHX-2006-21 |
| 34-54222 |
Jul. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: August 23, 2006
|
SR-CHX-2006-22 |
| 34-54213 |
Jul. 26, 2006 |
Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend the CHX Holdings, Inc. Certificate of Incorporation
See also: Notice: Rel. No. 34-54090
|
SR-CHX-2005-01 |
| 34-54198 |
Jul. 24, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Exchange’s Order Priority Rule and the Mandatory Use of Order Match Functionalities
Comments due: August 21, 2006
See also: Notice: Rel. No. 34-52647
|
SR-CHX-2006-04 |
| 34-54191 |
Jul. 21, 2006 |
Order Granting Approval to a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm
See also: Notice: Rel. No. 34-53949
|
SR-CHX-2005-34 |
| 34-54185 |
Jul. 20, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Cancellation of the Stock Leg of a Stock-Option Order
Comments due: August 17, 2006
See also: Order: Rel. No. 34-56771
|
SR-CHX-2006-18 |
| 34-54107 |
Jul. 6, 2006 |
Order Approving Proposed Rule Change Amending a Notice Provision Relating to the Renewal of Trading Permits
See also: Notice: Rel. No. 34-53859
|
SR-CHX-2006-13 |
| 34-54100 |
Jul. 5, 2006 |
Order Approving Proposed Rule Change Relating to Participant Fees and Credits
See also: Notice: Rel. No. 34-53868
|
| Second Quarter |
SR-CHX-2006-22 |
| 34-54090 |
Jun. 30, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend the CHX Holdings, Inc. Certificate of Incorporation
Comments due: July 25, 2006
See also: Order: Rel. No. 34-54213
|
SR-CHX-2005-06 |
| 34-54021 |
Jun. 20, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Exchange’s Disciplinary Process
Comments due: July 18, 2006
See also: Orders: Rel. Nos. 34-54437A, 34-54437
|
SR-CHX-2006-04 |
| 34-53949 |
Jun. 6, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm
Comments due: July 6, 2006
See also: Order: Rel. No. 34-54191
|
SR-CHX-2006-13 |
| 34-53868 |
May 25, 2006 |
Notice of Filing of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: June 22, 2006
See also: Order: Rel. No. 34-54100
|
SR-CHX-2006-18 |
| 34-53859 |
May 24, 2006 |
Notice of Filing of Proposed Rule Change Waiving a Notice Provision Relating to the Renewal of Trading Permits
Comments due: June 22, 2006
See also: Order: Rel. No. 34-54107
|
SR-CHX-2006-12 |
| 34-53781 |
May 10, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: June 7, 2006
|
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
See also: Notice: Rel. No. 34-52766
|
SR-CHX-2005-27 |
| 34-53686 |
Apr. 20, 2006 |
Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1, 2, and 3 to Amend Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
See also: Notice: Rel. No. 34-53493
|
SR-CHX-2006-08 |
| 34-53676 |
Apr. 18, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
See also: Notice: Rel. No. 34-53433
|
SR-CHX-2006-03 |
| 34-53664 |
Apr. 17, 2006 |
Order Granting Approval to Proposed Rule Change Relating to the Prohibition of Trade Shredding
See also: Notice: Rel. No. 34-53441
|
SR-CHX-2006-11 |
| 34-53587 |
Apr. 3, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Bylaws of CHX Holdings, Inc.
Comments due: May 1, 2006
|
| First Quarter |
SR-CHX-2005-27 |
| 34-53493 |
Mar. 16, 2006 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Relating to Amending Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due: April 11, 2006
See also: Order: Rel. No. 34-53686
|
SR-CHX-2006-03 |
| 34-53441 |
Mar. 8, 2006 |
Notice of Filing of Proposed Rule Change Relating to the Prohibition of Trade Shredding
See also: Order: Rel. No. 34-53664
|
SR-CHX-2006-08 |
| 34-53433 |
Mar. 7, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
Comments due: April 4, 2006
See also: Order: Rel. No. 34-53676
|
SR-CHX-2006-07 |
| 34-53429 |
Mar. 6, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
Comments due: April 4, 2006
|
SR-CHX-2006-06 |
| 34-53351 |
Feb. 22, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Incorporate Certain Examination Fees
Comments due: March 22, 2006
|
SR-CHX-2006-01 |
| 34-53194 |
Jan. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Bidding and Offering in Sub-penny Increments
Comments due: February 28, 2006
|
SR-CHX-2005-40 |
| 34-53181 |
Jan. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Session Fee Increase for the Regulatory Element of the Continuing Education Program
Comments due: February 22, 2006
|
| CHX File Number List for 2006 |
| Release No. |
Date |
Details |
SR-CHX-2006-42 |
| 34-56291 |
Aug. 20, 2007 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modify Provisions Relating to Cross with Yield Orders
|
| 34-56064 |
Jul. 13, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modify Provisions Relating to Cross with Yield Orders
Comments due: August 10, 2007
|
SR-CHX-2006-39 |
| 34-55103 |
Jan. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: February 13, 2007
|
SR-CHX-2006-38 |
| 34-55584 |
Apr. 5, 2007 |
Order Granting Approval to Proposed Rule Change to Extend the Late Trading Session and to Permit Only the Execution of Cross Orders During that Session
|
| 34-55308 |
Feb. 15, 2007 |
Notice of Filing of a Proposed Rule Change to Extend the Late Trading Session and to Permit Only the Execution of Cross Orders During that Session
Comments due: March 16, 2007
|
SR-CHX-2006-37 |
| 34-55070 |
Jan. 9, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due: February 7, 2007
|
SR-CHX-2006-36 |
| 34-54922 |
Dec. 12, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: January 10, 2007
|
SR-CHX-2006-35 |
| 34-54842 |
Nov. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: December 28, 2006
|
SR-CHX-2006-34 |
| 34-54846 |
Nov. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation of a Communications or Routing Service
Comments due: December 28, 2006
|
SR-CHX-2006-33 |
| 34-55481 |
Mar. 15, 2007 |
Order Granting Approval of a Proposed Rule Change Amending Rules to Require Listed Companies to Make Securities Eligible for the Direct Registration System
See also: Notice: Rel. No. 34-54833
|
SR-CHX-2006-33 |
| 34-54833 |
Nov. 29, 2006 |
Notice of Filing of Proposed Rule Change Amending Rules to Require Listed Companies to Make Securities Eligible for the Direct Registration System
Comments due: December 28, 2006
See also: Order: Rel. No. 34-55481
|
SR-CHX-2006-31 |
| 34-54791 |
Nov. 20, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due: December 18, 2006
|
SR-CHX-2006-30 |
| 34-54963 |
Dec. 19, 2006 |
Order Approving Proposed Rule Change to Permit Routing from the Matching System to a Destination Selected by a Participant
|
| 34-54642 |
Oct. 23, 2006 |
Notice of Filing of Proposed Rule Change to Permit Routing from the Matching System to a Destination Selected by a Participant
Comments due: November 20, 2006
|
SR-CHX-2006-29 |
| 34-54657 |
Oct. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due: November 24, 2006
|
SR-CHX-2006-28 |
| 34-54548 |
Sep. 29, 2006 |
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan
Other File Nos.: SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-NASDAQ-2006-038; SR-NSX-2006-11; SR-NYSEArca-2006-69; SR-Phlx-2006-58
Comments due: October 27, 2006
|
SR-CHX-2006-27 |
| 34-54495 |
Sep. 25, 2006 |
Order Approving Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits
|
| 34-54323 |
Aug. 16, 2006 |
Notice of Filing of Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits
Comments due: September 13, 2006
|
SR-CHX-2006-26 |
| 34-54522 |
Sep. 27, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Prohibiting a Participant Firm from Earning Credits When its Exchange Bill Is More Than 30 Days Past Due
Comments due: October 24, 2006
|
SR-CHX-2006-24 |
| 34-54326 |
Aug. 16, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Regarding Two-Sided Quote Providers
Comments due: September 13, 2006
|
SR-CHX-2006-23 |
| 34-54494 |
Sep. 25, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange’s Bylaws and Other Governance Changes
|
| 34-54226 |
Jul. 27, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange’s Bylaws
Comments due: August 24, 2006
|
SR-CHX-2006-22 |
| 34-54213 |
Jul. 26, 2006 |
Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend the CHX Holdings, Inc. Certificate of Incorporation
|
| 34-54090 |
Jun. 30, 2006 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend the CHX Holdings, Inc. Certificate of Incorporation
Comments due: July 25, 2006
|
SR-CHX-2006-21 |
| 34-54222 |
Jul. 26, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: August 23, 2006
|
SR-CHX-2006-18 |
| 34-54107 |
Jul. 6, 2006 |
Order Approving Proposed Rule Change Amending a Notice Provision Relating to the Renewal of Trading Permits
|
| 34-53859 |
May 24, 2006 |
Notice of Filing of Proposed Rule Change Waiving a Notice Provision Relating to the Renewal of Trading Permits
Comments due: June 22, 2006
|
SR-CHX-2006-13 |
| 34-54100 |
Jul. 5, 2006 |
Order Approving Proposed Rule Change Relating to Participant Fees and Credits
|
| 34-53868 |
May 25, 2006 |
Notice of Filing of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: June 22, 2006
|
SR-CHX-2006-12 |
| 34-53781 |
May 10, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due: June 7, 2006
|
SR-CHX-2006-11 |
| 34-53587 |
Apr. 3, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Bylaws of CHX Holdings, Inc.
Comments due: May 1, 2006
|
SR-CHX-2006-08 |
| 34-53676 |
Apr. 18, 2006 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
|
| 34-53433 |
Mar. 7, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
Comments due: April 4, 2006
|
SR-CHX-2006-07 |
| 34-53429 |
Mar. 6, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
Comments due: April 4, 2006
|
SR-CHX-2006-06 |
| 34-53351 |
Feb. 22, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Incorporate Certain Examination Fees
Comments due: March 22, 2006
|
SR-CHX-2006-05 |
| 34-54550 |
Sep. 29, 2006 |
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Implement a New Trading Model
Comments due: October 31, 2006
|
| 34-54301 |
Aug. 10, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a New Trading Model
Comments due: September 8, 2006
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-CHX-2006-04 |
| 34-54191 |
Jul. 21, 2006 |
Order Granting Approval to a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm
|
| 34-53949 |
Jun. 6, 2006 |
Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm
Comments due: July 6, 2006
|
SR-CHX-2006-03 |
| 34-53664 |
Apr. 17, 2006 |
Order Granting Approval to Proposed Rule Change Relating to the Prohibition of Trade Shredding
|
| 34-53441 |
Mar. 8, 2006 |
Notice of Filing of Proposed Rule Change Relating to the Prohibition of Trade Shredding
|
SR-CHX-2006-01 |
| 34-53194 |
Jan. 30, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Bidding and Offering in Sub-penny Increments
Comments due: February 28, 2006
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http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2006.shtml
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