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CHX Rulemaking Archive: 2014
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
Second Quarter |
First Quarter
CHX File Number List for 2014
Additional Archives
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-CHX-2014-20 |
| 34-73906 |
Dec. 22, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Trading Permit Application Fee
Comments due: January 20, 2015
Additional Materials: Exhibit 5
|
SR-CHX-2014-19 |
| 34-73814 |
Dec. 11, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Applicability of Certain Fees and Credits Provided under the Fee Schedule
Comments due: January 7, 2015
Additional Materials: Exhibit 5
|
SR-CHX-2014-18 |
| 34-73572 |
Nov. 10, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Certain Order Types, Modifiers and Related Functionality
Comments due: December 9, 2014
Additional Materials: Exhibit 5
|
| Third Quarter |
SR-CHX-2014-17 |
| 34-73268 |
Sep. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt and Amend Fees for the CHX Routing Services
Comments due: October 27, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-15 |
| 34-73150 |
Sep. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the CHX Routing Services
Comments due: October 16, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-13 |
| 34-72909 |
Aug. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a General Prohibition against Affiliation between the Exchange and any Participant
Comments due: September 19, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-11 |
| 34-72759 |
Aug. 5, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Section P of the Fee Schedule Concerning the Market Data Revenue Rebates Program
Comments due: September 2, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-10 |
| 34-72711 |
Jul. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Use of Market Data Feeds by the Exchange
Comments due: August 26, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
| Second Quarter |
SR-CHX-2014-06 |
| 34-72434 |
Jun. 19, 2014 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72056
|
SR-CHX-2014-09 |
| 34-72387 |
Jun. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Obsolete Rule Language and to Permit the Exchange to Enable or Disable Trade Adjustment Functionalities Pursuant to Notice
Comments due: July 10, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-07 |
| 34-72324 |
Jun. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Uniform Taxonomy for CHX Rules and to Amend Certain Cross-References
Comments due: July 2, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-06 |
| 34-72056 |
Apr. 30, 2014 |
Notice of Filing of Proposed Rule Change to Amend Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions 1 2 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act") and Rule 319b-4 thereunder, notice is hereby given that, on April 22, 2014, the Chicago Stock Exchange, Inc. ("CHX" or "Exchange") filed with the Securities and Exchange Commission (the "Commission") the proposed rule change as described in Items I, II and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434
|
| First Quarter |
SR-CHX-2014-03 |
| 34-71954 |
Apr. 16, 2014 |
Order Approving a Proposed Rule Change to Amend the Bylaws of the Exchange Relating to the Nomination and Election of the Vice Chairman
See also: Notice: Rel. No. 34-71675
|
SR-CHX-2014-04 |
|
34-71782 |
Mar. 24, 2014 |
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: April 18, 2014
Additional Materials:
Exhibit 5
|
SR-CHX-2014-03 |
|
34-71675 |
Mar. 10, 2014 |
Notice of Filing of Proposed Rule Change to Amend the Bylaws of the Exchange
Comments due: April 4, 2014
See also: Order: Rel. No. 34-71954
|
SR-CHX-2014-02 |
|
34-71400 |
Jan. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow Participants to Monitor and Address Exposure to Risk
Comments due: February 21, 2014
|
SR-CHX-2014-01 |
|
34-71404 |
Jan. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Cancellation Fee
Comments due: February 21, 2014
Additional Materials:
Exhibit 5
|
| CHX File Number List for 2014 |
| Release No. |
Date |
Details |
SR-CHX-2014-20 |
| 34-73906 |
Dec. 22, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Trading Permit Application Fee
Comments due: January 20, 2015
Additional Materials: Exhibit 5
|
SR-CHX-2014-19 |
| 34-73814 |
Dec. 11, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Applicability of Certain Fees and Credits Provided under the Fee Schedule
Comments due: January 7, 2015
Additional Materials: Exhibit 5
|
SR-CHX-2014-18 |
| 34-73572 |
Nov. 10, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Certain Order Types, Modifiers and Related Functionality
Comments due: December 9, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-17 |
| 34-73268 |
Sep. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt and Amend Fees for the CHX Routing Services
Comments due: October 27, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-15 |
| 34-73150 |
Sep. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the CHX Routing Services
Comments due: October 16, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-13 |
| 34-72909 |
Aug. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a General Prohibition against Affiliation between the Exchange and any Participant
Comments due: September 19, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-11 |
| 34-72759 |
Aug. 5, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Section P of the Fee Schedule Concerning the Market Data Revenue Rebates Program
Comments due: September 2, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-10 |
| 34-72711 |
Jul. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Use of Market Data Feeds by the Exchange
Comments due: August 26, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-CHX-2014-09 |
| 34-72387 |
Jun. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Obsolete Rule Language and to Permit the Exchange to Enable or Disable Trade Adjustment Functionalities Pursuant to Notice
Comments due: July 10, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-07 |
| 34-72324 |
Jun. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Uniform Taxonomy for CHX Rules and to Amend Certain Cross-References
Comments due: July 2, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-06 |
| 34-72434 |
Jun. 19, 2014 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
|
| 34-72056 |
Apr. 30, 2014 |
Notice of Filing of Proposed Rule Change to Amend Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions 1 2 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act") and Rule 319b-4 thereunder, notice is hereby given that, on April 22, 2014, the Chicago Stock Exchange, Inc. ("CHX" or "Exchange") filed with the Securities and Exchange Commission (the "Commission") the proposed rule change as described in Items I, II and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
|
SR-CHX-2014-04 |
|
34-71782 |
Mar. 24, 2014 |
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: April 18, 2014
Additional Materials:
Exhibit 5
|
SR-CHX-2014-03 |
| 34-71954 |
Apr. 16, 2014 |
Order Approving a Proposed Rule Change to Amend the Bylaws of the Exchange Relating to the Nomination and Election of the Vice Chairman
|
| 34-71675 |
Mar. 10, 2014 |
Notice of Filing of Proposed Rule Change to Amend the Bylaws of the Exchange
Comments due: April 4, 2014
|
SR-CHX-2014-02 |
|
34-71400 |
Jan. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow Participants to Monitor and Address Exposure to Risk
Comments due: February 21, 2014
|
SR-CHX-2014-01 |
|
34-71404 |
Jan. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Cancellation Fee
Comments due: February 21, 2014
Additional Materials:
Exhibit 5
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http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2014.shtml
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