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CHX Rulemaking Archive: 2005

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.

Note:  Only selected SRO rule proposals were posted to the SEC website prior to 2004. To obtain releases not appearing on the website, contact the Public Reference Room at (202) 551-8090 or by e-mail: publicinfo@sec.gov.

Available CHX Rules include:

Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

CHX File Number List for 2005

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-CHX-2005-36
34-52953 Dec. 14, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Trading in Sub-Penny Increments
Comments due:  January 12, 2006
* Click to submit comments on SR-CHX-2005-36

SR-CHX-2005-31
34-52815 Nov. 21, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  December 20, 2005

SR-CHX-2004-38
34-52766 Nov. 10, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Records of Orders and Executions
Comments due:  December 9, 2005
See also:  Order: Rel. No. 34-53772

SR-CHX-2005-26
34-52724 Nov. 2, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Execution of Mixed Lot Cross and Cross With Size Orders in the Electronic Book
Comments due:  November 30, 2005

SR-CHX-2005-33
34-52691 Oct. 27, 2005 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Establish Certain Fees with Respect to Transactions Executed through the Intermarket Trading System
Comments due:  November 25, 2005

SR-CHX-2004-17
34-52652 Oct. 21, 2005 Order Granting Approval to Proposed Rule Change to Amend Article XX, Rule 37(a)(3) to Eliminate its Requirement that Specialists Guarantee Execution of Limit Orders When Certain Conditions Occur in Another Market
See also:  Notice: Rel. No. 34-51997

SR-CHX-2005-01
34-52647 Oct. 21, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange’s Order Priority Rule and the Mandatory Use of Order Match Functionalities
Comments due:  November 18, 2005
See also:  Order: Rel. No. 34-54198

SR-CHX-2005-21
34-52632 Oct. 19, 2005 Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Requiring the Chicago Stock Exchange's Participants to Provide Electronic Mail Addresses to the Exchange
See also:  Notice: Rel. No. 34-52375

SR-CHX-2005-25
34-52612 Oct. 14, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  November 14, 2005

SR-CHX-2005-24
34-52601 Oct. 13, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Odd-Lot Order Processing Fees
Comments due:  November 10, 2005

SR-CHX-2005-20
34-52556 Oct. 4, 2005 Order Granting Approval to Proposed Rule Change Relating to Participant Fees and Credits
See also:  Notice: Rel. No. 34-52200
Third Quarter

SR-CHX-2004-25
34-52534 Sep. 29, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 Thereto Relating to a Prohibition on Using a Layoff Service Unless the Service Provides Required Information to the Exchange
See also:  Notices: Rel. Nos. 34-52248 and 34-51967

SR-CHX-2005-23
34-52379 Sep. 2, 2005 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Assignment of Securities to Specialists
Comments due:  October 3, 2005

SR-CHX-2005-21
34-52375 Sep. 1, 2005 Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Requiring its Participants to Provide Electronic Mail Addresses to the Exchange
Comments due:  October 5, 2005
See also:  Order: Rel. No. 34-52632

SR-CHX-2005-22
34-52326 Aug. 23, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Rule Interpretation Relating to Trading of Nasdaq National Market Securities in Sub-penny Increments
Comments due:  September 20, 2005

SR-CHX-2004-25
34-52248 Aug. 12, 2005 Notice of Filing of Amendment No. 3 to a Proposed Rule Change Relating to a Prohibition on Using a Layoff Service Unless the Service Provides Required Information to the Exchange
Comments due:  September 8, 2005
See also:  Order: Rel. No. 34-52534 and  Notice: Rel. No. 34-51967

SR-CHX-2005-16
34-52242 Aug. 11, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Exchange Article VI, Rule 9 Relating to Continuing Education for Registered Persons
Comments due:  September 8, 2005

SR-CHX-2005-20
34-52200 Aug. 3, 2005 Notice of Filing of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  August 30, 2005
See also:  Order: Rel. No. 34-52556

SR-CHX-2004-11
34-52094 Jul. 21, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 to the Proposed Rule Change to Implement a Fully-Automated Electronic Book for the Display and Execution of Orders in Securities That Are Not Assigned to a Specialist
See also:  Notice: Rel. No. 34-50002

SR-CHX-2004-03
34-52062 Jul. 19, 2005 Order Approving Proposed Rule Change Relating to Standards for Manual Execution of Market and Marketable Limit Orders
See also:  Notice: Rel. No. 34-50865

SR-CHX-2004-17
34-51997 Jul. 8, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend Article XX, Rule 37(a)(3) of its Rules to Eliminate Its Requirement That Specialists Guarantee Execution of Limit Orders When Certain Conditions Occur in Another Market
Comments due:  August 4, 2005
See also:  Order: Rel. No. 34-52652

SR-CHX-2004-25
34-51967 Jul. 1, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a Prohibition on Using a Layoff Service Unless The Service Provides Required Information to The Exchange
Comments due:  August 2, 2005
See also:  Order: Rel. No. 34-52534 and Notice: Rel. No. 34-52248
Second Quarter

SR-CHX-2005-19
34-51944 Jun. 30, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Rule Interpretation Relating to Trading of Nasdaq National Market Securities in Subpenny Increments
Comments due:  July 29, 2005

SR-CHX-2005-18
34-51889 Jun. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Submission of Immediate or Cancel CHXpress Orders
Comments due:  July 18, 2005

SR-CHX-2005-14
34-51800 Jun. 8, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  July 6, 2005

SR-CHX-2005-11
34-51776 Jun. 2, 2005 Notice of Filing and Immediate Effectiveness of Rule Change Relating to Transactions in Certain Odd-Lot Orders
Comments due:  June 29, 2005

SR-CHX-2005-15
34-51763 May 31, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  June 28, 2005

SR-CHX-2005-04
34-51692 May 12, 2005 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, to Clarify that Specialists May Not Charge Commissions with Respect to the Execution of CHXpress Orders
See also:  Notice: Rel. No. 34-51465

SR-CHX-2005-12
34-51639 Apr. 29, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  May 27, 2005

SR-CHX-2005-04
34-51465 Apr. 1, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Clarify that Specialists May Not Charge Commissions with Respect to the Execution of CHXpress Orders
Comments due:  April 28, 2005
See also:  Order: Rel. No. 34-51692
First Quarter

SR-CHX-2005-07
34-51448 Mar. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  April 26, 2005

SR-CHX-2005-03
34-51430 Mar. 24, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  April 21, 2005

SR-CHX-2005-05
34-51303 Mar. 2, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of a Pilot Relating to Transactions in Certain Exchange-Traded Funds
Comments due:  March 31, 2005

SR-CHX-2004-41
34-51284 Mar. 1, 2005 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Trade the streetTRACKS Gold Shares Pursuant to Unlisted Trading Privileges
Comments due:  March 29, 2005

SR-CHX-2005-02
34-51192 Feb. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Membership Dues and Fees
Comments due:  March 11, 2005

SR-CHX-2004-26
34-51149 Feb. 8, 2005 Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Demutualization of the Chicago Stock Exchange, Inc.
See also:  Notice: Rel. No. 34-50892


CHX File Number List for 2005
Release No. Date Details

SR-CHX-2005-36
34-52953 Dec. 14, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Trading in Sub-Penny Increments
Comments due:  January 12, 2006
* Click to submit comments on SR-CHX-2005-36

SR-CHX-2005-34
34-56771 Nov. 8, 2007 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding Cancellation of the Stock Leg of a Stock-Option Order and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 Thereto
Comments due:  December 6, 2007
34-54185 Jul. 20, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Cancellation of the Stock Leg of a Stock-Option Order
Comments due:  August 17, 2006

SR-CHX-2005-33
34-52691 Oct. 27, 2005 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Establish Certain Fees with Respect to Transactions Executed through the Intermarket Trading System
Comments due:  November 25, 2005

SR-CHX-2005-31
34-52815 Nov. 21, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  December 20, 2005

SR-CHX-2005-27
34-53686 Apr. 20, 2006 Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1, 2, and 3 to Amend Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
34-53493 Mar. 16, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Relating to Amending Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due:  April 11, 2006

SR-CHX-2005-26
34-52724 Nov. 2, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Execution of Mixed Lot Cross and Cross With Size Orders in the Electronic Book
Comments due:  November 30, 2005

SR-CHX-2005-25
34-52612 Oct. 14, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  November 14, 2005

SR-CHX-2005-24
34-52601 Oct. 13, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Odd-Lot Order Processing Fees
Comments due:  November 10, 2005

SR-CHX-2005-23
34-52379 Sep. 2, 2005 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Assignment of Securities to Specialists
Comments due:  October 3, 2005

SR-CHX-2005-22
34-52326 Aug. 23, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Rule Interpretation Relating to Trading of Nasdaq National Market Securities in Sub-penny Increments
Comments due:  September 20, 2005

SR-CHX-2005-21
34-52632 Oct. 19, 2005 Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Requiring the Chicago Stock Exchange's Participants to Provide Electronic Mail Addresses to the Exchange
34-52375 Sep. 1, 2005 Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Requiring its Participants to Provide Electronic Mail Addresses to the Exchange
Comments due:  October 5, 2005

SR-CHX-2005-20
34-52556 Oct. 4, 2005 Order Granting Approval to Proposed Rule Change Relating to Participant Fees and Credits
34-52200 Aug. 3, 2005 Notice of Filing of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  August 30, 2005

SR-CHX-2005-19
34-51944 Jun. 30, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Rule Interpretation Relating to Trading of Nasdaq National Market Securities in Subpenny Increments
Comments due:  21 days after publication in the Federal Register

SR-CHX-2005-18
34-51889 Jun. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Submission of Immediate or Cancel CHXpress Orders
Comments due:  July 18, 2005

SR-CHX-2005-16
34-52242 Aug. 11, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Exchange Article VI, Rule 9 Relating to Continuing Education for Registered Persons
Comments due:  September 8, 2005

SR-CHX-2005-15
34-51763 May 31, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  June 28, 2005

SR-CHX-2005-14
34-51800 Jun. 8, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  July 6, 2005

SR-CHX-2005-12
34-51639 Apr. 29, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  May 27, 2005

SR-CHX-2005-11
34-51776 Jun. 2, 2005 Notice of Filing and Immediate Effectiveness of Rule Change Relating to Transactions in Certain Odd-Lot Orders
Comments due:  June 29, 2005

SR-CHX-2005-07
34-51448 Mar. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  April 26, 2005

SR-CHX-2005-06
34-54437A Oct. 18, 2006 Order Approving a Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to a Proposed Rule Change Relating to Disciplinary and Delisting Procedures (Correction)
34-54437 Sep. 13, 2006 Order Approving a Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to a Proposed Rule Change Relating to Disciplinary and Delisting Procedures
Comments due:  October 11, 2006
34-54021 Jun. 20, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to the Exchange’s Disciplinary Process
Comments due:  July 18, 2006

SR-CHX-2005-05
34-51303 Mar. 2, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of a Pilot Relating to Transactions in Certain Exchange-Traded Funds
Comments due:  March 31, 2005

SR-CHX-2005-04
34-51692 May 12, 2005 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, to Clarify that Specialists May Not Charge Commissions with Respect to the Execution of CHXpress Orders
34-51465 Apr. 1, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Clarify that Specialists May Not Charge Commissions with Respect to the Execution of CHXpress Orders
Comments due:  Aprile 28, 2005

SR-CHX-2005-03
34-51430 Mar. 24, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  April 21, 2005

SR-CHX-2005-02
34-51192 Feb. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Membership Dues and Fees
Comments due:  March 11, 2005

SR-CHX-2005-01
34-54198 Jul. 24, 2006 Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Exchange’s Order Priority Rule and the Mandatory Use of Order Match Functionalities
Comments due:  August 21, 2006
34-52647 Oct. 21, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange’s Order Priority Rule and the Mandatory Use of Order Match Functionalities
Comments due:  November 18, 2005

 

http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2005.shtml


Modified: 04/09/2009