CHX Rulemaking

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Chronological List
Fourth Quarter |  Third Quarter  |  Second Quarter |  First Quarter

CHX File Number List for 2017

Additional Archives

Chronological List for 2017


Release No. Date Details
Fourth Quarter
SR-CHX-2017-14
34-82098 Nov. 16, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CHX-2016-20
34-82077 Nov. 14, 2017 Notice of Filing of Amendment No. 2 to Proposed Rule Change in Connection with the Proposed Transaction involving CHX Holdings, Inc. and North America Casin Holdings, Inc.
Comments due: 15 days after publication in the Federal Register
Rebuttal comments due: 25 days after publication in the Federal Register
See also: Notice: Rel. No. 34-81435, Notice: Rel. No. 34-81366, Notice: Rel. No. 34-80864, Notice: Rel. No. 34-79781, Notice: Rel. No. 34-79474
SR-CHX-2017-08
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-80691, Order: Rel. No. 34-81067
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37
SR-CHX-2017-04
34-82034 Nov. 8, 2017 Order Scheduling Filing of Statements on Review
See also:  Letter from Secretary of the Commission to Albert (A.J.) Kim, VP and Associate General Counsel, Chicago Stock Exchange, Inc., dated October 24, 2017 (providing notice of Commission review of delegated action and stay of order); Notice: Rel. No. 34-81913, Notice: Rel. No. 34-81415, Notice: Rel. No. 34-80740, Notice: Rel. No. 34-80364, Notice: Rel. No. 34-80041
SR-CHX-2017-04
34-81913 Oct. 19, 2017 Notice of Filing of Amendments No. 1 and No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to Adopt the CHX Liquidity Enhancing Access Delay on a Pilot Basis
Comments due: November 15, 2017
See also:  Letter from Secretary of the Commission to Albert (A.J.) Kim, VP and Associate General Counsel, Chicago Stock Exchange, Inc., dated October 24, 2017 (providing notice of Commission review of delegated action and stay of order); Notice: Rel. No. 34-81415, Notice: Rel. No. 34-80740, Notice: Rel. No. 34-80364, Notice: Rel. No. 34-80041
Third Quarter
SR-CHX-2017-13
34-81764 Sep. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Sponsored Access
Comments due: October 26, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-12
34-81683 Sep. 22, 2017 Order Approving a Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants
See also: Notice: Rel. No. 34-81315
SR-CHX-2017-11
34-81616 Sep. 14, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-81163, Notice: Rel. No. 34-80916
Additional File No.: SR-FINRA-2017-020
SR-CHX-2016-20
34-81435 Aug. 18, 2017 Order Scheduling Filing of Statements on Review
See also:  Notice: Rel. No. 34-82077, Notice: Rel. No. 34-81366, Notice: Rel. No. 34-80864, Notice: Rel. No. 34-79781, and Notice: Rel. No. 34-79474
SR-CHX-2017-04
34-81415 Aug. 17, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay
See also: Notice: Rel. No. 34-80740, Notice: Rel. No. 34-80364, Notice: Rel. No. 34-80041, Notice: Rel. No. 34-81913
SR-CHX-2016-20
34-81366 Aug. 9, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc.
Comments due: September 5, 2017
See also: Letter from Secretary of the Commission to Albert (A.J.) Kim, VP and Associate General Counsel, Chicago Stock Exchange, Inc., dated August 9, 2017 (providing notice of Commission review of delegated action and stay of order); Notice: Rel. No. 34-82077, Notice: Rel. No. 34-80864; Order: Rel. No. 34-79781; Notice: Rel. No. 34-79474
Comments received are available for this proposal.
SR-CHX-2017-12
34-81315 Aug. 4, 2017 Notice of Filing of Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants
Comments due: August 31, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-81683
SR-CHX-2017-11
34-81163 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Article 23, Rule 13, Consolidated Audit Trail - Fee Dispute Resolution
See also: Notice: Rel. No. 34-80916, Notice: Rel. No. 34-81616
Second Quarter
SR-CHX-2017-08
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
See also: Notice: Rel. No. 34-80691, Notice: Rel. No. 34-82049
Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
SR-CHX-2017-11
34-80916 Jun. 13, 2017 Notice of Filing of a Proposed Rule Change to Adopt Article 23, Rule 13, Consolidated Audit Trail - Fee Dispute Resolution
Comments due: July 10, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81163, Notice: Rel. No. 34-81616
Comments received are available for this proposal.
SR-CHX-2016-20
34-80864 Jun. 6, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change in Connection with the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc.
See also:  Notice: Rel. No. 34-82077, Order: Rel. No. 34-79781, Notice: Rel. No. 34-79474
SR-CHX-2017-06
34-80825 May 31, 2017 Order Granting Approval of a Proposed Rule Change to Shorten the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date
See also: Notice: Rel. No. 34-80467
SR-CHX-2017-10
34-80754 May 24, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Certain Appendix B Website Publication Requirements Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 21, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-04
34-80740 May 22, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay
Comments due: June 16, 2017
Rebuttal comments due: June 30, 2017
See also: Notice: Rel. No. 34-81415, Notice: Rel. No. 34-80364, Notice: Rel. No. 34-80041, Notice: Rel. No. 34-81913
SR-CHX-2017-08
34-80691 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 12, 2017
Additional Materials: Exhibit 3, Exhibit 5
See also: Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049
Comments received are available for this proposal.
SR-CHX-2017-09
34-80673 May 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Anonymous Trade Reporting and Clearing
Comments due: June 9, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-07
34-80647 May 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-06
34-80467 Apr. 17, 2017 Notice of Filing of Proposed Rule Change to Shorten the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date
Comments due: May 12, 2017
See also: Order: Rel. No. 34-80825
SR-CHX-2017-04
34-80364 Apr. 3, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay
See also: Notice: Rel. No. 34-81415, Notice: Rel. No. 34-80041, Order: Rel. No. 34-80740, Notice: Rel. No. 34-81913
First Quarter
SR-CHX-2017-03
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79948
Additional File Nos.:  SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
SR-CHX-2017-05
34-80227 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-04
34-80041 Feb. 14, 2017 Notice of Filing of Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay
Comments due: March 14, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81415, Notice: Rel. No. 34-80364, Order: Rel. No. 34-80740, Notice: Rel. No. 34-81913
Comments received are available for this proposal.
SR-CHX-2016-16
34-79984 Feb. 7, 2017 Notice of Withdrawal of a Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay
See also: Notice: Rel. No. 34-79608, Notice: Rel. No. 34-79216, Notice: Rel. No. 34-78860
SR-CHX-2017-03
34-79948 Feb. 2, 2017 Notice of Filing of Proposed Rule Change to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: March 1, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80256
SR-CHX-2017-01
34-79822 Jan. 18, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Examination Requirement for CHX Market Maker Authorized Traders
Comments due: February 15, 2017
SR-CHX-2016-20
34-79781 Jan. 12, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change in Connection with the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc.
Comments due: February 21, 2017
Rebuttal comments due: March 6, 2017
See also:  Notice: Rel. No. 34-82077, Notice: Rel. No. 34-80864, Notice: Rel. No. 34-79474
Comments received are available for this proposal.


CHX File Number List for 2017

Release No. Date Details
SR-CHX-2017-14
34-82098 Nov. 16, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CHX-2017-13
34-81764 Sep. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Sponsored Access
Comments due: October 26, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-12
34-81683 Sep. 22, 2017 Order Approving a Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants
34-81315 Aug. 4, 2017 Notice of Filing of Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants
Comments due: August 31, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-11
34-81616 Sep. 14, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
Additional File No.: SR-FINRA-2017-020
34-81163 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Article 23, Rule 13, Consolidated Audit Trail - Fee Dispute Resolution
34-80916 Jun. 13, 2017 Notice of Filing of a Proposed Rule Change to Adopt Article 23, Rule 13, Consolidated Audit Trail - Fee Dispute Resolution
Comments due: July 10, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CHX-2017-10
34-80754 May 24, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Certain Appendix B Website Publication Requirements Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 21, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-09
34-80673 May 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Anonymous Trade Reporting and Clearing
Comments due: June 9, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-08
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
34-80691 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 12, 2017
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.
SR-CHX-2017-07
34-80647 May 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-06
34-80825 May 31, 2017 Order Granting Approval of a Proposed Rule Change to Shorten the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date
34-80467 Apr. 17, 2017 Notice of Filing of Proposed Rule Change to Shorten the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date
Comments due: May 12, 2017
SR-CHX-2017-05
34-80227 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-04
34-82034 Nov. 8, 2017 Order Scheduling Filing of Statements on Review
34-81913 Oct. 19, 2017 Notice of Filing of Amendments No. 1 and No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to Adopt the CHX Liquidity Enhancing Access Delay on a Pilot Basis
Comments due: November 15, 2017
See also:  Letter from Secretary of the Commission to Albert (A.J.) Kim, VP and Associate General Counsel, Chicago Stock Exchange, Inc., dated October 24, 2017 (providing notice of Commission review of delegated action and stay of order)
34-81415 Aug. 17, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay
34-80740 May 22, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay
Comments due: June 16, 2017
Rebuttal comments due: June 30, 2017
34-80364 Apr. 3, 2017 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay
34-80041 Feb. 14, 2017 Notice of Filing of Proposed Rule Change to Adopt the CHX Liquidity Enhancing Access Delay
Comments due: March 14, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CHX-2017-03
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
Additional File Nos.:  SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
34-79948 Feb. 2, 2017 Notice of Filing of Proposed Rule Change to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: March 1, 2017
Additional Materials: Exhibit 5
SR-CHX-2017-01
34-79822 Jan. 18, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Examination Requirement for CHX Market Maker Authorized Traders
Comments due: February 15, 2017