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CHX Rulemaking Archive: 2016

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 2016

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-CHX-2016-16
34-79608 Dec. 20, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay
Comments due:  January 17, 2017
Rebuttal comments due:  January 31, 2017
See also:  Notice: Rel. No. 34-79984, Notice: Rel. No. 34-79216, Notice: Rel. No. 34-78860

SR-CHX-2016-21
34-79538 Dec. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Website Data Publication Requirements and Clarify Certain Data Reporting Obligations Related to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: January 9, 2017
Additional Materials: Exhibit 5

SR-CHX-2016-20
34-79474 Dec. 6, 2016 Notice of Filing of Proposed Rule Change in Connection with the Proposed Transaction involving CHX Holdings, Inc. and North America Casin Holdings, Inc.
Comments due: January 3, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f, Exhibit 5g, Exhibit 5h, Exhibit 5i, Exhibit 5j, Exhibit 5k
See also:  Notice: Rel. No. 34-80864, Order: Rel. No. 34-79781
Comments received are available for this proposal.

SR-CHX-2016-16
34-79216 Nov. 1, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay
See also:  Notice: Rel. No. 34-79984, Notice: Rel. No. 34-79216, Notice: Rel. No. 34-78860

SR-CHX-2016-19
34-79027 Oct. 3, 2016

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules to Describe Changes Necessary to Implement the Tick Size Pilot Program
Comments due:  October 28, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter

Third Quarter

SR-CHX-2016-16
34-78860 Sep. 16, 2016 Notice of Filing of Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay
Comments due:  October 13, 2016
Additional Materials: Exhibit 5
See also:  Notice: Rel. No. 34-79984, Notice: Rel. No. 34-79216
Comments received are available for this proposal.

SR-CHX-2016-17
34-78812 Sep. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Article 20, Rule 13(b) to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  October 7, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-CHX-2016-15
34-78684 Aug. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Handling of Intermarket Sweep Orders
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

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-2016-21
34-79538 Dec. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Website Data Publication Requirements and Clarify Certain Data Reporting Obligations Related to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: January 9, 2017
Additional Materials: Exhibit 5
SR-CHX-2016-20
34-82727 Feb. 15, 2018 Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc.
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: December 5, 2017
Rebuttal comments due: December 15, 2017
34-81435 Aug. 18, 2017 Order Scheduling Filing of Statements on Review
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. 34-80864; Order: Rel. No. 34-79781; Notice: Rel. No. 34-79474
Comments received are available for this proposal.
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.
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. 34-79474
Comments received are available for this proposal.
34-79474 Dec. 6, 2016 Notice of Filing of Proposed Rule Change in Connection with the Proposed Transaction involving CHX Holdings, Inc. and North America Casin Holdings, Inc.
Comments due: January 3, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f, Exhibit 5g, Exhibit 5h, Exhibit 5i, Exhibit 5j, Exhibit 5k
Comments received are available for this proposal.

SR-CHX-2016-19
34-79027 Oct. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules to Describe Changes Necessary to Implement the Tick Size Pilot Program
Comments due:  October 28, 2016
Additional Materials: Exhibit 5
See also: Exemptive Letter

SR-CHX-2016-17
34-78812 Sep. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Article 20, Rule 13(b) to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  October 7, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

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
34-79608 Dec. 20, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay
Comments due:  January 17, 2017
Rebuttal comments due:  January 31, 2017
34-79216 Nov. 1, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay
34-78860 Sep. 16, 2016 Notice of Filing of Proposed Rule Change to Adopt the CHX Liquidity Taking Access Delay
Comments due:  October 13, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-CHX-2016-15
34-78684 Aug. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Handling of Intermarket Sweep Orders
Comments due:  September 21, 2016
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

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/chxarchive/chxarchive2016.shtml


Modified: 02/15/2018