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CHX Rulemaking

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
Third Quarter |  Second Quarter |  First Quarter

CHX File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-CHX-2016-14
34-78504 Aug. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Continuing Education Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-CHX-2016-13
34-78503 Aug. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update or Adopt Various Fees for Services provided by the Financial Industry Regulatory Authority
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-CHX-2016-12
34-78446 Jul. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Web-based Delivery of the Continuing Education Program
Comments due: August 25, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-11
34-78445 Jul. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the Securities Trader Registration Category and the Series 57 Securities Trader Examination Registration Requirement
Comments due: August 25, 2016
Additional Materials: Exhibit 5
Second Quarter

SR-CHX-2016-09
34-78146 Jun. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  July 20, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter

SR-CHX-2016-10
34-78126 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Institutional Broker Fee Cap and Credit
Comments due:  July 19, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-08
34-78109 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fingerprinting
Comments due:  July 18, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-07
34-77995 Jun. 6, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Business Continuity Plan Requirements for Participants
Comments due: July 1, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-06
34-77785 May 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Assessments to Modify and Clarify Certain Fees Applicable to CHX Institutional Brokers
Comments due:  June 3, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-01
34-77711 Apr. 26, 2016 Order Approving a Proposed Rule Change to Adopt and Amend Rules to Permit the Exchange to Initiate CHX SNAPSM Cycles
See also: Notice: Rel. No. 34-77331

SR-CHX-2016-05
34-77652 Apr. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the CHX SNAP Incentive Program
Comments due:  May 16, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-04
34-77527 Apr. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules of the Exchange Related to Market Makers
Comments due:  May 2, 2016
Additional Materials: Exhibit 5
First Quarter

SR-CHX-2016-03
34-77469 Mar. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Article 20, Rule 13 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program ("Plan")
Comments due: April 25, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-CHX-2016-01
34-77331 Mar. 9, 2016 Notice of Filing of Proposed Rule SMChange to Adopt and Amend Rules to Permit the Exchange to Initiate CHX SNAPSM Cycles
Comments due: April 5, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77711


CHX File Number List for 2016
Release No. Date Details

SR-CHX-2016-13
34-78503 Aug. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update or Adopt Various Fees for Services provided by the Financial Industry Regulatory Authority
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-CHX-2016-12
34-78446 Jul. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Web-based Delivery of the Continuing Education Program
Comments due: August 25, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-11
34-78445 Jul. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the Securities Trader Registration Category and the Series 57 Securities Trader Examination Registration Requirement
Comments due: August 25, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-10
34-78126 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Institutional Broker Fee Cap and Credit
Comments due:  July 19, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-09
34-78146 Jun. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  July 20, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-08
34-78109 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fingerprinting
Comments due:  July 18, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-07
34-77995 Jun. 6, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Business Continuity Plan Requirements for Participants
Comments due: July 1, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-06
34-77785 May 9, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees and Assessments to Modify and Clarify Certain Fees Applicable to CHX Institutional Brokers
Comments due:  June 3, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-05
34-77652 Apr. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the CHX SNAP Incentive Program
Comments due:  May 16, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-04
34-77527 Apr. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules of the Exchange Related to Market Makers
Comments due:  May 2, 2016
Additional Materials: Exhibit 5

SR-CHX-2016-03
34-77469 Mar. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Article 20, Rule 13 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program ("Plan")
Comments due: April 25, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-CHX-2016-01
34-77711 Apr. 26, 2016 Order Approving a Proposed Rule Change to Adopt and Amend Rules to Permit the Exchange to Initiate CHX SNAPSM Cycles
34-77331 Mar. 9, 2016 Notice of Filing of Proposed Rule SMChange to Adopt and Amend Rules to Permit the Exchange to Initiate CHX SNAPSM Cycles
Comments due: April 5, 2016
Additional Materials: Exhibit 5

 

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


Modified: 08/09/2016