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CHX Rulemaking Archive: 2012

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 2012

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-CHX-2012-14
34-68455 Dec. 18, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules
Comments due: January 16, 2013
Comments received are available for this proposal.

SR-CHX-2012-13
34-68311 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
See also:  Notice: Rel. No. 34-68653, Notice: Rel. No. 34-68033

SR-CHX-2012-15
34-68219 Nov. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Order Cancellation Fee
Comments due: December 11, 2012

SR-CHX-2012-16
34-68182 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Single-Sided Orders Fees and Rebates
Comments due: December 6, 2012

SR-CHX-2012-17
34-68181 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter its Fee Schedule to Increase its DEA Fees
Comments due: December 6, 2012

SR-CHX-2012-18
34-68180 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter its Fee Schedule to Amend its Institutional Broker Credits
Comments due: December 6, 2012

SR-CHX-2012-13
34-68033 Oct. 10, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to Establish Listing Standards for Issuers' Compensation Committees
Comments due:  November 6, 2012
Additional Materials:   Exhibit 5
See also:   Notice: Rel. No. 34-68653, Notice: Rel. No. 34-68311
Third Quarter

SR-CHX-2012-12
34-67573 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Individual Securities Circuit Breakers
Comments due:  August 29, 2012

SR-CHX-2012-11
34-67572 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Clearly Erroneous Transactions
Comments due:  August 29, 2012
Second Quarter

SR-CHX-2012-10
34-67138 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Requirements of CHX Article 3, Rule 3 and Related CHX Rules in Order to Approve Apex Clearing Corporation as a CHX Participant and Trading Permit Holder
Comments due:  July 2, 2012
Comments received are available for this proposal.

SR-CHX-2011-30
34-67090 May 31, 2012 Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due:  June 27, 2012
See also:  Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65426
First Quarter

SR-CHX-2011-30
34-66680 Mar. 29, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:  Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65426

SR-CHX-2012-02
34-66503 Mar. 1, 2012 Order Approving a Proposed Rule Change to Add to and Amend its Rules Regarding the Obligations of Institutional Brokers Registered with the Exchange
See also:   Notice: Rel. No. 34-66177

SR-CHX-2012-06
34-66410 Feb. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule to Provide for a New Cross Connection Charge and Waive Monthly Fees at its New Facility Until April 1, 2012
Comments due:  March 15, 2012

SR-CHX-2012-05
34-66391 Feb. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Implement a Clearing Submission Fee Credit for Institutional Brokers
Comments due:  March 13, 2012

SR-CHX-2011-34
34-66366 Feb. 9, 2012 Order Approving a Proposed Rule Change Regarding Suspension of a Participantís Trading Privileges on the Exchange
See also:   Notice: Rel. No. 34-66061

SR-CHX-2012-03
34-66272 Jan. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Individual Securities Circuit Breakers
Comments due:  February 24, 2012

SR-CHX-2012-04
34-66253 Jan. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Clearly Erroneous Transactions
Comments due:  February 22, 2012

SR-CHX-2012-02
34-66177 Jan. 18, 2012 Notice of Filing of Proposed Rule Change to Add to and Amend its Rules Regarding the Obligations of Institutional Brokers Registered with the Exchange
Comments due:  February 14, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-66503

SR-CHX-2012-01
34-66139 Jan. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule to Assess Fees for Derivative Securities Products
Comments due:  February 8, 2012

SR-CHX-2011-33
34-66118 Jan. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Rule Regarding the Brokerplex Order Entry, Recordation, and Management System
Comments due:  February 3, 2012


CHX File Number List for 2012
Release No. Date Details

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

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-2012-18
34-68180 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter its Fee Schedule to Amend its Institutional Broker Credits
Comments due: December 6, 2012

SR-CHX-2012-17
34-68181 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter its Fee Schedule to Increase its DEA Fees
Comments due: December 6, 2012

SR-CHX-2012-16
34-68182 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Single-Sided Orders Fees and Rebates
Comments due: December 6, 2012

SR-CHX-2012-15
34-68219 Nov. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Order Cancellation Fee
Comments due: December 11, 2012

SR-CHX-2012-14
34-68455 Dec. 18, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules
Comments due: January 16, 2013
Comments received are available for this proposal.

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
34-68311 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
34-68033 Oct. 10, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to Establish Listing Standards for Issuers' Compensation Committees
Comments due:  November 6, 2012
Additional Materials:   Exhibit 5

SR-CHX-2012-12
34-67573 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Individual Securities Circuit Breakers
Comments due:  August 29, 2012

SR-CHX-2012-11
34-67572 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Clearly Erroneous Transactions
Comments due:  August 29, 2012

SR-CHX-2012-10
34-67138 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Requirements of CHX Article 3, Rule 3 and Related CHX Rules in Order to Approve Apex Clearing Corporation as a CHX Participant and Trading Permit Holder
Comments due:  July 2, 2012
Comments received are available for this proposal.

SR-CHX-2012-06
34-66410 Feb. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule to Provide for a New Cross Connection Charge and Waive Monthly Fees at its New Facility Until April 1, 2012
Comments due:  March 15, 2012

SR-CHX-2012-05
34-66391 Feb. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Implement a Clearing Submission Fee Credit for Institutional Brokers
Comments due:  March 13, 2012

SR-CHX-2012-04
34-66253 Jan. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Clearly Erroneous Transactions
Comments due:  February 22, 2012

SR-CHX-2012-03
34-66272 Jan. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Individual Securities Circuit Breakers
Comments due:  February 24, 2012

SR-CHX-2012-02
34-66503 Mar. 1, 2012 Order Approving a Proposed Rule Change to Add to and Amend its Rules Regarding the Obligations of Institutional Brokers Registered with the Exchange
34-66177 Jan. 18, 2012 Notice of Filing of Proposed Rule Change to Add to and Amend its Rules Regarding the Obligations of Institutional Brokers Registered with the Exchange
Comments due:  February 14, 2012
Additional Materials:   Exhibit 5

SR-CHX-2012-01
34-66139 Jan. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule to Assess Fees for Derivative Securities Products
Comments due:  February 8, 2012

 

http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2012.shtml


Modified: 05/12/2014