SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


CHX Rulemaking Archive: 2006

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 2006

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-CHX-2006-30
34-54963 Dec. 19, 2006 Order Approving Proposed Rule Change to Permit Routing from the Matching System to a Destination Selected by a Participant
See also:  Notice: Rel. No. 34-54642

SR-CHX-2006-36
34-54922 Dec. 12, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  January 10, 2007

SR-CHX-2006-34
34-54846 Nov. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation of a Communications or Routing Service
Comments due:  December 28, 2006

SR-CHX-2006-35
34-54842 Nov. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  December 28, 2006

SR-CHX-2006-33
34-54833 Nov. 29, 2006 Notice of Filing of Proposed Rule Change Amending Rules to Require Listed Companies to Make Securities Eligible for the Direct Registration System
Comments due:  December 28, 2006
See also:  Order: Rel. No. 34-55481

SR-CHX-2006-31
34-54791 Nov. 20, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  December 18, 2006

SR-CHX-2006-29
34-54657 Oct. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  November 24, 2006

SR-CHX-2006-30
34-54642 Oct. 23, 2006 Notice of Filing of Proposed Rule Change to Permit Routing from the Matching System to a Destination Selected by a Participant
Comments due:  November 20, 2006
See also:  Order: Rel. No. 34-54963

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)
See also:  Order: Rel. No. 34-54437; Notice: Rel. No. 34-54021
Third Quarter

SR-CHX-2006-05
34-54550 Sep. 29, 2006 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Implement a New Trading Model
Comments due:  October 31, 2006
See also:  Notice: Rel. No. 34-54301 Comments received are available for this notice.

SR-CHX-2006-28
34-54548 Sep. 29, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan
Other File Nos.: SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-NASDAQ-2006-038; SR-NSX-2006-11; SR-NYSEArca-2006-69; SR-Phlx-2006-58
Comments due:  October 27, 2006

SR-CHX-2006-26
34-54522 Sep. 27, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Prohibiting a Participant Firm from Earning Credits When its Exchange Bill Is More Than 30 Days Past Due
Comments due:  October 24, 2006

SR-CHX-2006-27
34-54495 Sep. 25, 2006 Order Approving Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits
See also:  Notice: Rel. No. 34-54323

SR-CHX-2006-23
34-54494 Sep. 25, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange’s Bylaws and Other Governance Changes
See also:  Notice: Rel. No. 34-54226

SR-CHX-2005-06
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
See also:  34-54437ANotice: Rel. No. 34-54021

SR-CHX-2006-24
34-54326 Aug. 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Regarding Two-Sided Quote Providers
Comments due:  September 13, 2006

SR-CHX-2006-27
34-54323 Aug. 16, 2006 Notice of Filing of Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits
Comments due:  September 13, 2006
See also:  Order: Rel. No. 34-54495

SR-CHX-2006-05
34-54301 Aug. 10, 2006 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a New Trading Model
Comments due:  September 8, 2006
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-54550 Comments received are available for this notice.

SR-CHX-2006-23
34-54226 Jul. 27, 2006 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange’s Bylaws
Comments due:  August 24, 2006
See also:  Order: Rel. No. 34-54494

SR-CHX-2006-21
34-54222 Jul. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  August 23, 2006

SR-CHX-2006-22
34-54213 Jul. 26, 2006 Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend the CHX Holdings, Inc. Certificate of Incorporation
See also:  Notice: Rel. No. 34-54090

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
See also:  Notice: Rel. No. 34-52647

SR-CHX-2006-04
34-54191 Jul. 21, 2006 Order Granting Approval to a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm
See also:  Notice: Rel. No. 34-53949

SR-CHX-2005-34
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
See also:  Order: Rel. No. 34-56771

SR-CHX-2006-18
34-54107 Jul. 6, 2006 Order Approving Proposed Rule Change Amending a Notice Provision Relating to the Renewal of Trading Permits
See also:  Notice: Rel. No. 34-53859

SR-CHX-2006-13
34-54100 Jul. 5, 2006 Order Approving Proposed Rule Change Relating to Participant Fees and Credits
See also:  Notice: Rel. No. 34-53868
Second Quarter

SR-CHX-2006-22
34-54090 Jun. 30, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend the CHX Holdings, Inc. Certificate of Incorporation
Comments due:  July 25, 2006
See also:  Order: Rel. No. 34-54213

SR-CHX-2005-06
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
See also:  Orders: Rel. Nos. 34-54437A, 34-54437

SR-CHX-2006-04
34-53949 Jun. 6, 2006 Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm
Comments due:  July 6, 2006
See also:  Order: Rel. No. 34-54191

SR-CHX-2006-13
34-53868 May 25, 2006 Notice of Filing of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  June 22, 2006
See also:  Order: Rel. No. 34-54100

SR-CHX-2006-18
34-53859 May 24, 2006 Notice of Filing of Proposed Rule Change Waiving a Notice Provision Relating to the Renewal of Trading Permits
Comments due:  June 22, 2006
See also:  Order: Rel. No. 34-54107

SR-CHX-2006-12
34-53781 May 10, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  June 7, 2006

SR-CHX-2004-38
34-53772 May 8, 2006 Order Granting Approval to Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 3 and 4 Thereto Relating to Records of Orders and Executions
Comments due:  June 2, 2006
See also:  Notice: Rel. No. 34-52766

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
See also:  Notice: Rel. No. 34-53493

SR-CHX-2006-08
34-53676 Apr. 18, 2006 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
See also:  Notice: Rel. No. 34-53433

SR-CHX-2006-03
34-53664 Apr. 17, 2006 Order Granting Approval to Proposed Rule Change Relating to the Prohibition of Trade Shredding
See also:  Notice: Rel. No. 34-53441

SR-CHX-2006-11
34-53587 Apr. 3, 2006 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Bylaws of CHX Holdings, Inc.
Comments due:  May 1, 2006
First Quarter

SR-CHX-2005-27
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
See also: Order: Rel. No. 34-53686

SR-CHX-2006-03
34-53441 Mar. 8, 2006 Notice of Filing of Proposed Rule Change Relating to the Prohibition of Trade Shredding
See also:  Order: Rel. No. 34-53664

SR-CHX-2006-08
34-53433 Mar. 7, 2006 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
Comments due:  April 4, 2006
See also: Order: Rel. No. 34-53676

SR-CHX-2006-07
34-53429 Mar. 6, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
Comments due:  April 4, 2006

SR-CHX-2006-06
34-53351 Feb. 22, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Incorporate Certain Examination Fees
Comments due:  March 22, 2006

SR-CHX-2006-01
34-53194 Jan. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Bidding and Offering in Sub-penny Increments
Comments due:  February 28, 2006

SR-CHX-2005-40
34-53181 Jan. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Session Fee Increase for the Regulatory Element of the Continuing Education Program
Comments due:  February 22, 2006


CHX File Number List for 2006
Release No. Date Details

SR-CHX-2006-42
34-56291 Aug. 20, 2007 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modify Provisions Relating to Cross with Yield Orders
34-56064 Jul. 13, 2007 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modify Provisions Relating to Cross with Yield Orders
Comments due:  August 10, 2007

SR-CHX-2006-39
34-55103 Jan. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  February 13, 2007

SR-CHX-2006-38
34-55584 Apr. 5, 2007 Order Granting Approval to Proposed Rule Change to Extend the Late Trading Session and to Permit Only the Execution of Cross Orders During that Session
34-55308 Feb. 15, 2007 Notice of Filing of a Proposed Rule Change to Extend the Late Trading Session and to Permit Only the Execution of Cross Orders During that Session
Comments due:  March 16, 2007

SR-CHX-2006-37
34-55070 Jan. 9, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  February 7, 2007

SR-CHX-2006-36
34-54922 Dec. 12, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  January 10, 2007

SR-CHX-2006-35
34-54842 Nov. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  December 28, 2006

SR-CHX-2006-34
34-54846 Nov. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation of a Communications or Routing Service
Comments due:  December 28, 2006

SR-CHX-2006-33
34-55481 Mar. 15, 2007 Order Granting Approval of a Proposed Rule Change Amending Rules to Require Listed Companies to Make Securities Eligible for the Direct Registration System
See also:  Notice: Rel. No. 34-54833

SR-CHX-2006-33
34-54833 Nov. 29, 2006 Notice of Filing of Proposed Rule Change Amending Rules to Require Listed Companies to Make Securities Eligible for the Direct Registration System
Comments due:  December 28, 2006
See also:  Order: Rel. No. 34-55481

SR-CHX-2006-31
34-54791 Nov. 20, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  December 18, 2006

SR-CHX-2006-30
34-54963 Dec. 19, 2006 Order Approving Proposed Rule Change to Permit Routing from the Matching System to a Destination Selected by a Participant
34-54642 Oct. 23, 2006 Notice of Filing of Proposed Rule Change to Permit Routing from the Matching System to a Destination Selected by a Participant
Comments due:  November 20, 2006

SR-CHX-2006-29
34-54657 Oct. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  November 24, 2006

SR-CHX-2006-28
34-54548 Sep. 29, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan
Other File Nos.: SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-NASDAQ-2006-038; SR-NSX-2006-11; SR-NYSEArca-2006-69; SR-Phlx-2006-58
Comments due:  October 27, 2006

SR-CHX-2006-27
34-54495 Sep. 25, 2006 Order Approving Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits
34-54323 Aug. 16, 2006 Notice of Filing of Proposed Rule Change Relating to Retroactive Application of Participant Fees and Credits
Comments due:  September 13, 2006

SR-CHX-2006-26
34-54522 Sep. 27, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Prohibiting a Participant Firm from Earning Credits When its Exchange Bill Is More Than 30 Days Past Due
Comments due:  October 24, 2006

SR-CHX-2006-24
34-54326 Aug. 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Regarding Two-Sided Quote Providers
Comments due:  September 13, 2006

SR-CHX-2006-23
34-54494 Sep. 25, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange’s Bylaws and Other Governance Changes
34-54226 Jul. 27, 2006 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Regarding Amendments to the Exchange’s Bylaws
Comments due:  August 24, 2006

SR-CHX-2006-22
34-54213 Jul. 26, 2006 Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend the CHX Holdings, Inc. Certificate of Incorporation
34-54090 Jun. 30, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend the CHX Holdings, Inc. Certificate of Incorporation
Comments due:  July 25, 2006

SR-CHX-2006-21
34-54222 Jul. 26, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  August 23, 2006

SR-CHX-2006-18
34-54107 Jul. 6, 2006 Order Approving Proposed Rule Change Amending a Notice Provision Relating to the Renewal of Trading Permits
34-53859 May 24, 2006 Notice of Filing of Proposed Rule Change Waiving a Notice Provision Relating to the Renewal of Trading Permits
Comments due:  June 22, 2006

SR-CHX-2006-13
34-54100 Jul. 5, 2006 Order Approving Proposed Rule Change Relating to Participant Fees and Credits
34-53868 May 25, 2006 Notice of Filing of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  June 22, 2006

SR-CHX-2006-12
34-53781 May 10, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  June 7, 2006

SR-CHX-2006-11
34-53587 Apr. 3, 2006 Notice of Filing and Immediate Effectiveness of Proposed Change to Amend the Bylaws of CHX Holdings, Inc.
Comments due:  May 1, 2006

SR-CHX-2006-08
34-53676 Apr. 18, 2006 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
34-53433 Mar. 7, 2006 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
Comments due:  April 4, 2006

SR-CHX-2006-07
34-53429 Mar. 6, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits
Comments due:  April 4, 2006

SR-CHX-2006-06
34-53351 Feb. 22, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Incorporate Certain Examination Fees
Comments due:  March 22, 2006

SR-CHX-2006-05
34-54550 Sep. 29, 2006 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto to Implement a New Trading Model
Comments due:  October 31, 2006
34-54301 Aug. 10, 2006 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Implement a New Trading Model
Comments due:  September 8, 2006
Additional Materials:  Exhibit 5 Comments received are available for this notice.

SR-CHX-2006-04
34-54191 Jul. 21, 2006 Order Granting Approval to a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm
34-53949 Jun. 6, 2006 Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Transfer of Securities Among Co-Specialists Within a Specialist Firm
Comments due:  July 6, 2006

SR-CHX-2006-03
34-53664 Apr. 17, 2006 Order Granting Approval to Proposed Rule Change Relating to the Prohibition of Trade Shredding
34-53441 Mar. 8, 2006 Notice of Filing of Proposed Rule Change Relating to the Prohibition of Trade Shredding

SR-CHX-2006-01
34-53194 Jan. 30, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Bidding and Offering in Sub-penny Increments
Comments due:  February 28, 2006

 

http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2006.shtml


Modified: 04/09/2009