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CHX Rulemaking Archive: 2013

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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-CHX-2013-23
34-71216 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide that the Match Trade Prevention Modifier is Not Compatible With the Fill Or Kill Modifier
Comments due: January 28, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-CHX-2013-24
34-71210 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Revenue Rebates Program
Comments due: January 28, 2014

SR-CHX-2013-22
34-71137 Dec. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Single-Sided Order Fees and Credits
Comments due: January 16, 2014

SR-CHX-2013-21
34-71057 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Reporting of Odd Lot Transactions for Inclusion on the Consolidated Tape and Clarify the Operation of the Market Order Type
Comments due: January 8, 2014

SR-CHX-2013-20
34-70948 Nov. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Match Trade Prevention Modifier for Limit and Market Orders Submitted to the Exchange
Comments due: December 24, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-19
34-70894 Nov. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Certain Rule Taxonomy Issues and Postpone Until December 2, 2013 the Operative Date of an Approved Proposed Rule Change
Comments due: December 13, 2013

SR-CHX-2013-16
34-70791 Oct. 31, 2013 Order Approving a Proposed Rule Change to Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders
See also:  Notice: Rel. No. 34-70381

SR-CHX-2013-14
34-70597 Oct. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Registration, Qualification, Supervision, and Continuing Education of Individuals Associated with Participant Firms
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Third Quarter

SR-CHX-2013-18
34-70546 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Market Data Revenue Rebates Program
Comments due: October 24, 2013

SR-CHX-2013-17
34-70515 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-16
34-70381 Sep. 12, 2013 Notice of Filing of Proposed Rule Change to Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders
Comments due: October 9, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70791

SR-CHX-2013-12
34-69903 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Single-Sided Order Fees and Credits and the Order Cancellation Fee
Comments due: July 29, 2013
Second Quarter

SR-CHX-2013-11
34-69701 Jun. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Cancellation Fee
Comments due: July 2, 2013

SR-CHX-2013-09
34-69552 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule Governing the Anti-Money Laundering Compliance Program
Comments due: June 6, 2013

SR-CHX-2013-10
34-69538 May 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms Under One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-08
34-69319 Apr. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt and Amend Exchange Rules in Connection with Limit Up-Limit Down Plan
Comments due: May 2, 2013
Additional Materials:  Exhibit 5
First Quarter

SR-CHX-2013-07
34-69075 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) to Modify the Operation of the CHX Only Order Type and Post Only Order Modifier
Comments due: April 4, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-05
34-68908 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 8, Rule 13, which, Among Other Things, Prohibits Deceptive and Other Abusive Telemarketing Acts or Practices, to Correct a Citation Error
Comments due: March 22, 2013

SR-CHX-2013-06
34-68894 Feb. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Circumstances Under Which Liquidity Providing Credits are Paid to Institutional Brokers
Comments due: March 8, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-03
34-68853 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 2, which Provides for, Among Other Things, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-04
34-68802 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 10 to Extend the Effective Date of Certain Clearly Erroneous Transactions Provisions Operating under a Pilot until September 30, 2013 and to Establish Guidelines for the Handling of Clearly Erroneous Transactions in Connection with the Plan to Address Extraordinary Market Volatility
Comments due: February 28, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-02
34-68777 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of a Rule Change to CHX Article 20, Rule 2, Which Provides, Among Other Things, Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility From the Date of February 4, 2013 Until April 8, 2013
Comments due: February 27, 2013

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-2012-13
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
See also:  Notice: Rel. No. 34-68311, Notice: Rel. No. 34-68033

SR-CHX-2013-01
34-68647 Jan. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Its Price With Respect to Regulatory Fees Related to the Continuing Education Regulatory Element, Certain Examinations and Central Registration Depository, Which Are Collected By the Financial Industry Regulatory Authority, Inc.
Comments due: February 12, 2013
Additional Materials:  Exhibit 5

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


CHX File Number List for 2013
Release No. Date Details

SR-CHX-2013-24
34-71210 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Revenue Rebates Program
Comments due: January 28, 2014

SR-CHX-2013-23
34-71216 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide that the Match Trade Prevention Modifier is Not Compatible With the Fill Or Kill Modifier
Comments due: January 28, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-CHX-2013-22
34-71137 Dec. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Single-Sided Order Fees and Credits
Comments due: January 16, 2014

SR-CHX-2013-21
34-71057 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Reporting of Odd Lot Transactions for Inclusion on the Consolidated Tape and Clarify the Operation of the Market Order Type
Comments due: January 8, 2014

SR-CHX-2013-20
34-70948 Nov. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Match Trade Prevention Modifier for Limit and Market Orders Submitted to the Exchange
Comments due: December 24, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-19
34-70894 Nov. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Certain Rule Taxonomy Issues and Postpone Until December 2, 2013 the Operative Date of an Approved Proposed Rule Change
Comments due: December 13, 2013

SR-CHX-2013-18
34-70546 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Market Data Revenue Rebates Program
Comments due: October 24, 2013

SR-CHX-2013-17
34-70515 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-16
34-70791 Oct. 31, 2013 Order Approving a Proposed Rule Change to Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders
34-70381 Sep. 12, 2013 Notice of Filing of Proposed Rule Change to Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders
Comments due: October 9, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-14
34-70597 Oct. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Registration, Qualification, Supervision, and Continuing Education of Individuals Associated with Participant Firms
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-12
34-69903 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Single-Sided Order Fees and Credits and the Order Cancellation Fee
Comments due: July 29, 2013

SR-CHX-2013-11
34-69701 Jun. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Cancellation Fee
Comments due: July 2, 2013

SR-CHX-2013-10
34-69538 May 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms Under One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-09
34-69552 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule Governing the Anti-Money Laundering Compliance Program
Comments due: June 6, 2013

SR-CHX-2013-08
34-69319 Apr. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt and Amend Exchange Rules in Connection with Limit Up-Limit Down Plan
Comments due: May 2, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-07
34-69075 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) to Modify the Operation of the CHX Only Order Type and Post Only Order Modifier
Comments due: April 4, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-06
34-68894 Feb. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Circumstances Under Which Liquidity Providing Credits are Paid to Institutional Brokers
Comments due: March 8, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-05
34-68908 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 8, Rule 13, which, Among Other Things, Prohibits Deceptive and Other Abusive Telemarketing Acts or Practices, to Correct a Citation Error
Comments due: March 22, 2013

SR-CHX-2013-04
34-68802 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 10 to Extend the Effective Date of Certain Clearly Erroneous Transactions Provisions Operating under a Pilot until September 30, 2013 and to Establish Guidelines for the Handling of Clearly Erroneous Transactions in Connection with the Plan to Address Extraordinary Market Volatility
Comments due: February 28, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-03
34-68853 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 2, which Provides for, Among Other Things, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-CHX-2013-02
34-68777 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying the Operative Date of a Rule Change to CHX Article 20, Rule 2, Which Provides, Among Other Things, Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility From the Date of February 4, 2013 Until April 8, 2013
Comments due: February 27, 2013

SR-CHX-2013-01
34-68647 Jan. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Its Price With Respect to Regulatory Fees Related to the Continuing Education Regulatory Element, Certain Examinations and Central Registration Depository, Which Are Collected By the Financial Industry Regulatory Authority, Inc.
Comments due: February 12, 2013
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2013.shtml


Modified: 05/12/2014