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: 2007

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
Fourth Quarter | Third Quarter |  Second Quarter | First Quarter

CHX File Number List for 2007

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-CHX-2007-28
34-57078 Dec. 31, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Trade Processing Fees
Comments due:  January 29, 2008

SR-CHX-2007-27
34-57036 Dec. 21, 2007 Notice of Filing of Proposed Rule Change to Amend its Rule 25 to Eliminate a Requirement that a Participant Have a Formal Written Agreement to Use Another Participant's Give-Up
Comments due:  January 22, 2008
See also:  Order: Rel. No. 34-57264

SR-CHX-2007-17
34-57007 Dec. 20, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Elimination of Provisions Relating to Rule 10a-1
Comments due:  January 18, 2008

SR-CHX-2007-22
34-56900 Dec. 5, 2007 Order Granting Approval of Proposed Rule Change to Amend Rules Relating to the Execution of Odd Lot Market Orders
See also:  Notice: Rel. No. 34-56703

SR-CHX-2007-26
34-56833 Nov. 21, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Number 1 Thereto Relating to Participant Fees and Credits
Comments due:  December 20, 2007

SR-CHX-2007-25
34-56784 Nov. 14, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Eliminate References to the ITS Plan and Other Now-Obsolete Matters
Comments due:  December 11, 2007

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

SR-CHX-2007-20
34-56704 Oct. 25, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting Certain Transactions to Have Post-Trade Anonymity
Comments due:  November 23, 2007

SR-CHX-2007-22
34-56703 Oct. 25, 2007 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Execution of Odd Lot Market Orders
Comments due:  November 21, 2007
See also:  Order: Rel. No. 34-56900

SR-CHX-2007-23
34-56698 Oct. 24, 2007 Notice of Filing of Proposed Rule Change to Allow the Exchange to Open at 8:30 a.m.
Comments due:  November 23, 2007
See also:  Order: Rel. No. 34-57140

SR-CHX-2007-09
34-56657 Oct. 12, 2007 Notice of Filing of Proposed Rule Change to Amend the Exchange’s Institutional Broker Rules to Add Provisions Relating to the Handling of Stop and Stop-Limit Orders
Comments due:  November 9, 2007
See also:  Order: Rel. No. 34-57509

SR-CHX-2007-19
34-56611 Oct. 4, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to a New Book Feed Product
Comments due:  November 1, 2007
Third Quarter

SR-CHX-2007-16
34-56573 Sep. 28, 2007 Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend its Bylaws to Confirm that an Exchange Director Cannot Participate in the Determination of any Matter Involving an Issuer of a Security Listed or to Be Listed on the Exchange, if the Director Is a Director, Officer, or Employee of the Issuer
See also:  Notice: Rel. No. 34-56281

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
See also:  Notice: Rel. No. 34-56064

SR-CHX-2007-16
34-56281 Aug. 17, 2007 Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend its Bylaws to Prevent Exchange Director from Participating in the Determination of Any Matter Involving an Issuer of a Security Listed or to Be Listed on the Exchange if the Director Is a Director, Officer, or Employee of the Issuer
Comments due:  September 14, 2007
See also:  Order: Rel. No. 34-56573

SR-CHX-2006-42
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
See also:  Order: Rel. No. 34-56291
Second Quarter

SR-CHX-2007-08
34-55811 May 24, 2007 Order Approving Proposed Rule Change to Expand its Price Manipulation Rule to Address Additional Instances of Improper Behavior
See also:  Notice: Rel. No. 34-55625

SR-CHX-2007-05
34-55705 May 4, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto, Relating to Participant Fees and Credits
Comments due:  May 31, 2007

SR-CHX-2007-08
34-55625 Apr. 12, 2007 Notice of Filing of Proposed Rule Change to Expand its Price Manipulation Rule to Address Additional Instances of Improper Behavior
Comments due:  May 11, 2007
See also:  Order: Rel. No. 34-55811

SR-CHX-2007-11
34-55613 Apr. 10, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  May 8, 2007

SR-CHX-2007-14
34-55595 Apr. 6, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  May 4, 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
See also:  Notice: Rel. No. 34-55308
First Quarter

SR-CHX-2007-02
34-55549 Mar. 28, 2007 Order Granting Accelerated Approval of a Proposed Rule Change to Amend the CHX Fee Schedule on a Retroactive Basis to Clarify the Application of a Credit Against Specialist Fixed Fees
See also:  Notice: Rel. No. 34-55408

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-2007-02
34-55408 Mar. 6, 2007 Notice of Filing of Proposed Rule Change to Amend the CHX Fee Schedule on a Retroactive Basis to Clarify the Application of a Credit Against Specialist Fixed Fees
Comments due:  March 27, 2007
See also:  Order: Rel. No. 34-55549

SR-CHX-2007-03
34-55334 Feb. 23, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Change to the Trading Phase Date
Comments due:  March 26, 2007

SR-CHX-2007-01
34-55319 Feb. 20, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Use of a "SOLD" Indicator
Comments due:  March 20, 2007

SR-CHX-2006-38
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
See also:  Order: Rel. No. 34-55584

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-2006-37
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


CHX File Number List for 2007
Release No. Date Details

SR-CHX-2007-28
34-57078 Dec. 31, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Trade Processing Fees
Comments due:  January 29, 2008

SR-CHX-2007-27
34-57264 Feb. 4, 2008 Order Approving a Proposed Rule Change to Eliminate a Requirement that a Participant Have a Formal Written Agreement to Use Another Participant’s Give-Up
34-57036 Dec. 21, 2007 Notice of Filing of Proposed Rule Change to Amend its Rule 25 to Eliminate a Requirement that a Participant Have a Formal Written Agreement to Use Another Participant's Give-Up
Comments due:  January 22, 2008

SR-CHX-2007-26
34-56833 Nov. 21, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Number 1 Thereto Relating to Participant Fees and Credits
Comments due:  December 20, 2007

SR-CHX-2007-25
34-56784 Nov. 14, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Eliminate References to the ITS Plan and Other Now-Obsolete Matters
Comments due:  December 11, 2007

SR-CHX-2007-24
34-57458 Mar. 10, 2008 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Handling of Clearly Erroneous Transactions
Comments due:  April 7, 2008
34-57137 Jan. 14, 2008 Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Handling of Clearly Erroneous Transactions
Comments due:  February 8, 2008

SR-CHX-2007-23
34-57140 Jan. 14, 2008 Order Approving a Proposed Rule Change to Allow the Exchange to Open at 8:30 a.m. (Chicago time) Without Regard to the Opening on the Primary Market
34-56698 Oct. 24, 2007 Notice of Filing of Proposed Rule Change to Allow the Exchange to Open at 8:30 a.m.
Comments due:  November 23, 2007

SR-CHX-2007-22
34-56900 Dec. 5, 2007 Order Granting Approval of Proposed Rule Change to Amend Rules Relating to the Execution of Odd Lot Market Orders
34-56703 Oct. 25, 2007 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Execution of Odd Lot Market Orders
Comments due:  November 21, 2007

SR-CHX-2007-21
34-57587 Mar. 31, 2008 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules Relating to Registration Requirements
34-57363 Feb. 20, 2008 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules Relating to Registration Requirements
Comments due:  March 20, 2008

SR-CHX-2007-20
34-56704 Oct. 25, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting Certain Transactions to Have Post-Trade Anonymity
Comments due:  November 23, 2007

SR-CHX-2007-19
34-56611 Oct. 4, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to a New Book Feed Product
Comments due:  November 1, 2007

SR-CHX-2007-18
34-57454 Mar. 7, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Make Administrative Changes to its Routing Rules
34-57203 Jan. 25, 2008 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Make Administrative Changes to its Routing Rules
Comments due:  February 22, 2008

SR-CHX-2007-17
34-57007 Dec. 20, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Elimination of Provisions Relating to Rule 10a-1
Comments due:  January 18, 2008

SR-CHX-2007-16
34-56573 Sep. 28, 2007 Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend its Bylaws to Confirm that an Exchange Director Cannot Participate in the Determination of any Matter Involving an Issuer of a Security Listed or to Be Listed on the Exchange, if the Director Is a Director, Officer, or Employee of the Issuer
34-56281 Aug. 17, 2007 Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend its Bylaws to Prevent Exchange Director from Participating in the Determination of Any Matter Involving an Issuer of a Security Listed or to Be Listed on the Exchange if the Director Is a Director, Officer, or Employee of the Issuer
Comments due:  September 14, 2007

SR-CHX-2007-14
34-55595 Apr. 6, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits
Comments due:  May 4, 2007

SR-CHX-2007-11
34-55613 Apr. 10, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits
Comments due:  May 8, 2007

SR-CHX-2007-09
34-57509 Mar. 17, 2008 Order Granting Approval to a Proposed Rule Change to Amend the Exchange's Institutional Broker Rules to Add Provisions Relating to the Handling of Stop and Stop-Limit Orders
34-56657 Oct. 12, 2007 Notice of Filing of Proposed Rule Change to Amend the Exchange’s Institutional Broker Rules to Add Provisions Relating to the Handling of Stop and Stop-Limit Orders
Comments due:  November 9, 2007

SR-CHX-2007-08
34-55811 May 24, 2007 Order Approving Proposed Rule Change to Expand its Price Manipulation Rule to Address Additional Instances of Improper Behavior
34-55625 Apr. 12, 2007 Notice of Filing of Proposed Rule Change to Expand its Price Manipulation Rule to Address Additional Instances of Improper Behavior
Comments due:  May 11, 2007

SR-CHX-2007-05
34-55705 May 4, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto, Relating to Participant Fees and Credits
Comments due:  May 31, 2007

SR-CHX-2007-03
34-55334 Feb. 23, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Change to the Trading Phase Date
Comments due:  March 26, 2007

SR-CHX-2007-02
34-55549 Mar. 28, 2007 Order Granting Accelerated Approval of a Proposed Rule Change to Amend the CHX Fee Schedule on a Retroactive Basis to Clarify the Application of a Credit Against Specialist Fixed Fees
34-55408 Mar. 6, 2007 Notice of Filing of Proposed Rule Change to Amend the CHX Fee Schedule on a Retroactive Basis to Clarify the Application of a Credit Against Specialist Fixed Fees
Comments due:  March 27, 2007

SR-CHX-2007-01
34-55319 Feb. 20, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Use of a "SOLD" Indicator
Comments due:  March 20, 2007

 

http://www.sec.gov/rules/sro/chx/chxarchive/chxarchive2007.shtml


Modified: 04/09/2009