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CHX Rulemaking Archive: 2010

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 2010

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-CHX-2010-25
34-63564 Dec. 16, 2010 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Eliminate the Validated Cross Trade Entry Functionality
Comments due:  January 13, 2011

SR-CHX-2010-24
34-63498 Dec. 9, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Related to Individual Securities Circuit Breakers
Comments due:  January 5, 2011

SR-CHX-2010-23
34-63487 Dec. 9, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Transactions
Comments due:  January 5, 2011

SR-CHX-2010-22
34-63255 Nov. 5, 2010 Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, to Enhance the Quotation Standards for Market Makers
Additional File Nos.:  SR-BATS-2010-025; SR-BX-2010-66; SR-CBOE-2010-087; SR-FINRA-2010-049; SR-NASDAQ-2010-115; SR-NSX-2010-12; SR-NYSE-2010-69; SR-NYSEAmex-2010-96; SR-NYSEArca-2010-83
See also:   Notice: Rel. No. 34-62949
Third Quarter

SR-CHX-2010-20
34-62980 Sep. 23, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar
Comments due:  October 20, 2010

SR-CHX-2010-22
34-62949 Sep. 20, 2010 Notice of Filing of a Proposed Rule Change to Enhance Quotation Requirements for Market Makers
Comments due:  October 18, 2010
See also:   Order: Rel. No. 34-63255

SR-CHX-2010-13
34-62886 Sep. 10, 2010 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions
Additional File Nos.:  SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca-2010-58
See also:   Notice: Rel. No. 34-62336

SR-CHX-2010-14
34-62884 Sep. 10, 2010 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000® Index and Specified Exchange Traded Products
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NASDAQ-2010-079; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NSX-2010-08
See also:   Notice: Rel. No. 34-62408

SR-CHX-2010-13
34-62797 Aug. 30, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearly Erroneous Transactions
Additional File Nos.:  SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca-2010-58
See also:   Notice: Rel. No. 34-62730

SR-CHX-2010-14
34-62763 Aug. 24, 2010 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08

SR-CHX-2010-13
34-62730 Aug. 16, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Clearly Erroneous Transactions
Additional File Nos.:  SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NASDAQ2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca2010-58
See also:   Notice: Rel. No. 34-62336

SR-CHX-2010-14
34-62688A Aug. 11, 2010 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility [CORRECTED]
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08
See also:   Notice: Rel. No. 34-62408

SR-CHX-2010-18
34-62650 Aug. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter its Tiered Schedule of Fees and Rebates for Participants for Trade Executions of Single-Sided Orders in Securities Priced Over One Dollar
Comments due:  August 31, 2010

SR-CHX-2010-19
34-62642 Aug. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Order Cancellation Fee
Comments due:  August 31, 2010
Second Quarter

SR-CHX-2010-14
34-62408 Jun. 30, 2010 Notice of Filing of Proposed Rule Change to Amend the List of Securities Subject to an Individual Circuit Breaker
Comments due:  July 19, 2010
Additional Materials:   Exhibit 3
See also:   Notice: Rel. No. 34-62688A; Order: Rel. No. 34-62884
Comments received are available for this notice.

SR-CHX-2010-13
34-62336 Jun. 21, 2010 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Article 20, Rule 10 Regarding Clearly Erroneous Transactions
Comments due:  July 19, 2010
See also:   Notice: Rel. No. 34-62730; Order: Rel. No. 34-62886
Comments received are available for this notice.

SR-CHX-2010-10
34-62252 Jun. 10, 2010 Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
See also:   Notice: Rel. No. 34-62130

SR-CHX-2010-11
34-62215 Jun. 3, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change its Transaction Fees and Rebates to Exchange Participants for SRO Fees and DEA Examinations
Comments due:  June 30, 2010

SR-CHX-2010-12
34-62214 Jun. 3, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Amount of its Trading Permit Cancellation Fee
Comments due:  June 30, 2010

SR-CHX-2010-10
34-62130 May 19, 2010 Notice of Filing of Proposed Rule Change to Establish a Trading Halt for Individual Stocks Contained In The Standard & Poor’s 500 Index
Comments due:  June 3, 2010
See also:   Order: Rel. No. 34-62252
Comments received are available for this notice.

SR-CHX-2010-09
34-62087 May 12, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decrease the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar
Comments due:  June 9, 2010

SR-CHX-2010-08
34-62085 May 12, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Fixed Provide Credit for CHX-registered Institutional Brokers
Comments due:  June 9, 2010

SR-CHX-2010-07
34-61903 Apr. 14, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Incorrect or Inaccurate Cross-References
Comments due:  May 13, 2010
Additional Materials:   Exhibit 5
First Quarter

SR-CHX-2010-06
34-61733 Mar. 18, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend CHX Article 8, Rule 14 to, Among Other Things, Prohibit Broker Discretionary Voting on the Elections of Directors
Comments due:  April 14, 2010

SR-CHX-2009-18
34-61680 Mar. 10, 2010 Order Approving a Proposed Rule Change to Amend its Co-Location Fees
See also:   Notice: Rel. No. 34-61304

SR-CHX-2010-05
34-61671 Mar. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar
Comments due:  April 5, 2010

SR-CHX-2010-04
34-61656 Mar. 5, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Chicago Stock Exchange, Inc. to Aggregate Trading Activity of Affiliated Participants to Calculate Average Daily Trading Volume for Billing Purposes
Comments due:  April 2, 2010

SR-CHX-2010-03
34-61493 Feb. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar
Comments due:  March 3, 2010

SR-CHX-2010-02
34-61392 Jan. 21, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement a Cancellation Fee
Comments due:  February 17, 2010

SR-CHX-2010-01
34-61322 Jan. 11, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Tiered Fee Schedule
Comments due:  February 9, 2010

SR-CHX-2009-18
34-61304 Jan. 6, 2010 Notice of Filing of a Proposed Rule Change to Amend Co-Location Fees
Comments due:  February 4, 2010
See also:   Order: Rel. No. 34-61680


CHX File Number List for 2010
Release No. Date Details

SR-CHX-2010-25
34-63564 Dec. 16, 2010 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Eliminate the Validated Cross Trade Entry Functionality
Comments due:  January 13, 2011

SR-CHX-2010-24
34-63498 Dec. 9, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Related to Individual Securities Circuit Breakers
Comments due:  January 5, 2011

SR-CHX-2010-23
34-63487 Dec. 9, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Transactions
Comments due:  January 5, 2011

SR-CHX-2010-22
34-63255 Nov. 5, 2010 Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, to Enhance the Quotation Standards for Market Makers
Additional File Nos.:  SR-BATS-2010-025; SR-BX-2010-66; SR-CBOE-2010-087; SR-FINRA-2010-049; SR-NASDAQ-2010-115; SR-NSX-2010-12; SR-NYSE-2010-69; SR-NYSEAmex-2010-96; SR-NYSEArca-2010-83
34-62949 Sep. 20, 2010 Notice of Filing of a Proposed Rule Change to Enhance Quotation Requirements for Market Makers
Comments due:  October 18, 2010

SR-CHX-2010-20
34-62980 Sep. 23, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar
Comments due:  October 20, 2010

SR-CHX-2010-19
34-62642 Aug. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Order Cancellation Fee
Comments due:  August 31, 2010

SR-CHX-2010-18
34-62650 Aug. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter its Tiered Schedule of Fees and Rebates for Participants for Trade Executions of Single-Sided Orders in Securities Priced Over One Dollar
Comments due:  August 31, 2010

SR-CHX-2010-14
34-62884 Sep. 10, 2010 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000® Index and Specified Exchange Traded Products
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NASDAQ-2010-079; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NSX-2010-08
34-62763 Aug. 24, 2010 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08
34-62688A Aug. 11, 2010 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility [CORRECTED]
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08
34-62408 Jun. 30, 2010 Notice of Filing of Proposed Rule Change to Amend the List of Securities Subject to an Individual Circuit Breaker
Comments due:  July 19, 2010
Additional Materials:   Exhibit 3
Comments received are available for this notice.

SR-CHX-2010-13
34-62886 Sep. 10, 2010 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions
Additional File Nos.:  SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca-2010-58
See also:   Notice: Rel. No. 34-62336
34-62797 Aug. 30, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearly Erroneous Transactions
Additional File Nos.:  SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca-2010-58
See also:   Notice: Rel. No. 34-62730
34-62730 Aug. 16, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Clearly Erroneous Transactions
Additional File Nos.:  SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NASDAQ2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca2010-58
34-62336 Jun. 21, 2010 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Article 20, Rule 10 Regarding Clearly Erroneous Transactions
Comments due:  July 19, 2010
Comments received are available for this notice.

SR-CHX-2010-12
34-62214 Jun. 3, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Amount of its Trading Permit Cancellation Fee
Comments due:  June 30, 2010

SR-CHX-2010-11
34-62215 Jun. 3, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change its Transaction Fees and Rebates to Exchange Participants for SRO Fees and DEA Examinations
Comments due:  June 30, 2010

SR-CHX-2010-10
34-62252 Jun. 10, 2010 Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
34-62130 May 19, 2010 Notice of Filing of Proposed Rule Change to Establish a Trading Halt for Individual Stocks Contained In The Standard & Poor’s 500 Index
Comments due:  June 3, 2010
Comments received are available for this notice.

SR-CHX-2010-09
34-62087 May 12, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decrease the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar
Comments due:  June 9, 2010

SR-CHX-2010-08
34-62085 May 12, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Fixed Provide Credit for CHX-registered Institutional Brokers
Comments due:  June 9, 2010

SR-CHX-2010-07
34-61903 Apr. 14, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Incorrect or Inaccurate Cross-References
Comments due:  May 13, 2010

SR-CHX-2010-06
34-61733 Mar. 18, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend CHX Article 8, Rule 14 to, Among Other Things, Prohibit Broker Discretionary Voting on the Elections of Directors
Comments due:  April 14, 2010

SR-CHX-2010-05
34-61671 Mar. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar
Comments due:  April 5, 2010

SR-CHX-2010-04
34-61656 Mar. 5, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Chicago Stock Exchange, Inc. to Aggregate Trading Activity of Affiliated Participants to Calculate Average Daily Trading Volume for Billing Purposes
Comments due:  April 2, 2010

SR-CHX-2010-03
34-61493 Feb. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar
Comments due:  March 3, 2010

SR-CHX-2010-02
34-61392 Jan. 21, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement a Cancellation Fee
Comments due:  February 17, 2010

SR-CHX-2010-01
34-61322 Jan. 11, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Tiered Fee Schedule
Comments due:  21 days after publication in the Federal Register

 

http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2010.shtml


Modified: 05/29/2014