| Submission No. |
Brief Description of Proposal |
Date Filed |
| 2008-13 |
To provide for trade processing fee credits to CHX registered institutional brokers |
8/13/2008 |
| 2008-12 |
CHX proposes to adopt generic rules regarding Unlisted Trading Privileges. |
9/15/2008 |
| 2008-11 |
Change to Equity-Linked Debt Security Rule to clarify that it is pursuant to Rule 19b-4(e) |
6/20/2008 |
| 2008-10 |
Proposed Change by the Chicago Stock Exchange, Inc. to Amend its Rules Relating to Trading Ahead by
Participants |
5/20/2008 |
| 2008-09 |
Proposed Change By the Chicago Stock Exchange, Inc. to Amend its Minor Rule Violation Plan |
5/19/2008 |
| 2008-08 |
Proposed Amendment to the Exchange's Clearing the Matching System Obligation for Institutional Brokers |
5/16/2008 |
| 2008-07 |
To allow ProShares to be traded on the CHX |
5/15/2008 |
2008-06
Amendment |
Amendment to filing 2008-06 |
5/1/2008 |
| 2008-05 |
To change the composition of the regulatory oversight committee |
4/21/2008 |
| 2008-03 |
To amend the Exchange's fingerprinting rules |
2/26/2008 |
| 2008-02 |
To amend the definition of "public director" under the CHX bylaws |
2/26/2008 |
2008-01
Amendment |
Amendment to filing 2008-01 |
2/11/2008 |
| 2008-01 |
Change to the Fee Schedule |
1/31/2008 |
| 2007-28 |
To amend the Fee Schedule to change the method by which processing fees are calculated. |
12/21/2007 |
| 2007-27 |
To eliminate a requirement that a participant firm have a formal written agreement with another firm to use its give-up. |
12/12/2007 |
2007-26
Amendment |
Amendment to filing 2007-26 |
11/19/2007 |
| 2007-26 |
To make various changes to the CHX's Fee Schedule |
10/31/2007 |
| 2007-25 Amendment |
Amendment to filing 2007-25 |
11/09/2007 |
| 2007-25 |
To eliminate now-obsolete references to the ITS Plan and other matters. |
10/16/2007 |
| 2007-24
Approval |
SEC approval order for 2007-24 |
3/10/2008 |
| 2007-24
Amend. 2 |
Second amendment to filing 2007-24 |
2/29/2008 |
| 2007-24 Amendment |
Amendment to filing 2007-24 |
1/6/2007 |
| 2007-24 |
To amend the CHX's rules relating to the handling of "clearly erroneous" transactions. |
10/4/2007 |
2007-23
Extension |
Extension filing for 2007-23 |
11/29/2007 |
| 2007-23 |
To amend the CHX's rules to begin trading at 8:30 a.m., without regard to the opening on the primary market. |
10/2/2007 |
| 2007-22 |
To amend the CHX's rules relating to the execution of odd lot market orders. |
10/2/2007 |
2007-21
Amendment |
Amendment to filing 2007-21 |
2/14/2008 |
| 2007-21 |
To change the CHX's registration rules to require use of Web CRD for registering certain associated persons. |
10/9/2007 |
| 2007-20 final |
SEC notice of immediate effectiveness for 2007-20 |
10/25/07 |
| 2007-20 |
To provide for post-trade anonymity of certain transactions on the Exchange. |
10/16/2007 |
| 2007-19 final |
SEC notice of immediate effectiveness for 2007-19 |
10/04/2007 |
| 2007-19 |
To begin the dissemination of a book feed and to amend the CHX's Fee Schedule to confirm that no fee will be
charged for the product. |
9/27/2007 |
2007-18
Amendment |
Amendment to filing 2007-18 |
1/22/2008 |
| 2007-18 |
To make administrative changes to its routing rules. |
7/6/2007 |
| 2007-17 Amendment |
Amendment to filing 2007-17 |
10/22/2007 |
| 2007-17 |
To eliminate references to Rule 10a-1 |
8/31/2007 |
| 2007-16 Approval |
SEC approval order for 2007-16 |
9/28/2007 |
| 2007-16 Amendment |
Amendment to filing 2007-16 |
8/10/2007 |
| 2007-16 |
To amend the CHX's bylaws relating to director participation in matters involving an issuer. |
7/27/2007 |
2007-15
Withdrawal |
Withdrawal of filing 2007-15 |
1/10/2008 |
| 2007-15 |
To identify a situation in which CHX participants may trade on a proprietary basis while holding a customer order. |
4/4/2007 |
| 2007-14 |
To confirm that the CHX will not charge a "take"
fee or pay a "provide" credit on trades, executed
in the Matching
System, for 100 or more shares at a price of less than
$1.00/share.
|
3/23/2007 |
2007-13
withdrawal |
Withdrawal of filing 2007-13 |
3/23/2007 |
| 2007-13 |
Changes to Fee Schedule to confirm that the CHX will
not charge a "take" fee (or provide a "provide"
credit) for Matching System executions at prices less
than $1.00.
|
3/23/2007 |
| 2007-12 |
To establish a new pending cross order type |
3/21/2007 |
| 2007-11 |
To eliminate several fee provisions that are no longer
relevant in the CHX's new trading model |
3/22/2007 |
| 2007-10 |
To require participants to provide one item of additional
information in connection with layoff orders
|
3/22/2007 |
| 2007-09 |
To add provisions confirming how institutional brokers
should handle stop and stop limit orders
|
3/21/2007 |
| 2007-08 |
To expand the price manipulation rule to address additional
instances of improper behavior |
3/21/2007 |
2007-07
Withdrawal |
Withdrawal fo filing 2007-07 |
9/4/2007 |
| 2007-07 |
To eliminate the requirement that institutional brokers
clear the Matching System before sending customer orders
to
other markets for execution |
3/22/2007 |
| 2007-05 |
Changes to CHX fee schedule
|
3/23/3007 |
| 2007-03 |
To change the Trading Phase Date to March 5, 2007 |
2/2/2007 |
| 2007-02 |
Proposal to clarify, on a retroactive basis, the application
of a credit against specialist fixed fees |
2/12/2007 |
| 2007-01 |
Clarification that a "SOLD" indicator will
only be affixed to the extent required by an applicable
intermarket trade
reporting plan |
1/30/2007 |
| 2006-42 Approval |
SEC approval order of filing 2006-42 |
8/20/2007 |
2006-42
Amendment |
Amendment to filing 2006-42 |
7/6/2007 |
| 2006-42 |
The proposed rule changes would (i) permit CHX participants
submitting cross with yield orders to elect to yield to
undisplayed interest and (ii) provide for a repricing
mechanism in the case of midpoint cross orders with a
midpoint price that would violate applicable short sale
restrictions.
|
12/21/2006 |
2006-40
Withdrawal |
Withdrawal of filing 2006-40 |
2/12/2007 |
| 2006-40 |
Change in the specialist fixed fee credit for January
2007 |
12/21/2006 |
| 2006-39 |
Proposed changes to the fees associated with outbound
Linkage Plan routing |
12/21/2006 |
| 2006-38 |
To extend the late trading session until 4:00 p.m. and
to provide that only cross orders may be executed during
that
session. |
12/21/2006 |
2006-37
Amendment |
Amendment to filing 2006-37 |
12/21/2006 |
| 2006-37 |
The CHX proposes to amend its Fee Schedule to reduce
specialist fixed fees that are applicable during the period
when the CHX transitions to its new trading model. |
11/21/2006 |
| 2006-36 |
To establish a fee for receipt of orders through the
CHX's wide area network. |
11/16/2006 |
| 2006-35 |
Proposed amendment to Fee Schedule re: outbound routing
charges |
11/9/2006 |
| 2006-34 |
To implement a communications or routing service for
participants |
11/16/2006 |
| 2006-33 |
To require certain issuers to make their securities
eligible for a direct registration system operated by
a securities depository.
|
10/30/2006 |
| 2006-32 Withdrawal |
Withdrawal of filing 2006-32 |
12/12/2007 |
| 2006-32 |
Clarification of rule relating to use of participant
give-ups |
10/20/2006 |
2006-31
Amendment |
Amendment to filing 2006-31 |
11/14/2006 |
| 2006-31 |
The CHX proposes several changes to its recently-filed
Schedule of Participant Fees and Credits, relating to
the new
trading model being implemented by the CHX this fall. |
10/20/2006 |
| 2006-30 |
To amend the Exchange's new trading model rules to confirm
that the Exchange may route orders that would lock,
cross or trade through another market's protected quotes
to the destination selected by the order-sending participant. |
10/19/2006 |
2006-29
Amendment |
Amendment to filing 2006-29 |
10/20/2006 |
| 2006-29 |
The CHX proposes a revised Schedule of Participant Fees
and Credits, which would replace the existing fee schedule
in its entirety, to provide for fees, charges and credits
contemplated by the CHX's new trading model, which will
be
implemented this fall. |
9/28/2006 |
| 2006-28 |
The CHX proposed to implement a billing arrangement
under the NMS Linkage Plan whereby it will directly bill,
and will accept direct billing from, other NMS Linkage
Plan participants, in lieu of a sponsoring member arrangement. |
9/26/2006 |
| 2006-27 |
The CHX proposes to make effective, retroactive to February
9, 2005, a change to the CHX Participant Fee Schedule relating to the trading permit fee due the Exchange if
a participant's trading permit is cancelled intra-year. |
8/10/2006 |
2006-26
Amendment |
Partial amendment to filing 2006-26 |
9/21/2006 |
| 2006-26 |
Proposed change to fee schedule to eliminate a participant's
credits for any month in which that participant's Exchange bill is more than 30 days past due. |
8/22/2006 |
2006-25
Withdrawal |
Withdrawal of filing 2006-25 |
8/1/2007 |
| 2006-25 |
Amending the Exchange's bylaws to prevent a director
from participating in a proceeding to delist a security
if the director is a director, officer or employee of
the issuer of the security. |
7/31/2006 |
2006-24
Amend 2 |
Second partial amendment to filing 2006-24 |
8/10/2006 |
2006-24
Amendment |
Amendment to filing 2006-24 |
7/21/2006 |
| 2006-24 |
Proposal relating to Two-Sided Quote Providers |
6/27/2006 |
| 2006-23 Partial
Amendment |
Partial amendment to filing 2006-23 |
7/20/2006 |
| 2006-23 |
Proposal to amend CHX bylaws and rules to make several
governance changes |
6/21/2006 |
2006-22
Partial Amend. 2 |
Second partial amendment to filing 2006-22 |
7/20/2006 |
2006-22
Partial
Amendment |
Partial Amendment to filing 2006-22 |
6/30/2006 |
| 2006-22 |
Proposal to amend the CHX Holdings certificate of incorporation
to (1) make a minor change in the ownership
limitations applicable to both CHX participants and other
persons or entities; and (2) increase the number of shares
of
common stock which CHX Holdings is authorized to issue. |
6/21/2006 |
2006-21
SEC |
Notice of Filing and Immediate Effectiveness of Proposed
Rule Change Relating to Participant Fees and Credits Link
to SEC |
7/26/2006 |
| 2006-21 |
The CHX proposes to clarify monthly applicability of
its $100 Self-Regulatory Organization Fee. |
7/11/2006 |
| 2006-18 |
To waive, for 2006, the 60-day notice requirement relating
to the cancellation of trading permits that were issued
as a
result of the Exchange's demutualization. |
5/10/2006 |
| 2006-17 |
To waive, for 2006, the 60-day notice requirement relating
to the cancellation of trading permits that were issued
as a
result of the Exchange’s demutualization. |
5/3/2006 |
2006-15
Withdrawal |
Withdrawal of filing 2006-15 |
6/27/2006 |
| 2006-15 |
To establish a credit for Two-Sided Quote Providers |
4/30/2006 |
| 2006-13 |
Proposal to reduce assignment fees on a retroactive
basis |
4/24/2006 |
| 2006-12 |
Proposal to reduce specialist assignment fees |
4/24/2006 |
| 2006-11 |
To amend the CHX Holdings bylaws. |
3/27/2006 |
2006-10
withdrawal |
Withdrawl of filing 2006-10 |
7/27/2006 |
| 2006-10 |
To establish a short sale rule for the trading of Nasdaq/NM
securities on the Exchange. |
3/8/2006 |
| 2006-09 |
To identify situations in which participants may trade
on a proprietary basis while holding a customer order. |
2/28/2006 |
2006-08
Amendment |
Amendment to filing 2006-08 |
3/2/2006 |
| 2006-08 |
Retroactive change to fee schedule to waive specialist
fixed fees for temporary assignments of securities. |
2/26/2006 |
2006-07
Amendment |
Amendment to filing 2006-07 |
3/2/2006 |
| 2006-07 |
Amendment to Fee Schedule to confirm that, effective
immediately, specialist fixed fees are not charged to
firms
during a temporary assignment of securities |
2/26/2006 |
2006-06
Amendment |
Amendment to filing 2006-06 |
2/17/2006 |
| 2006-06 |
To incorporate other SRO examination fees into the Exchange's
Fee Schedule, when the successful completion of the
examination is required by CHX rules. |
2/7/2006 |
2006-05
Amend. 2 |
Second (partial) amendment to filing 2006-05 |
9/29/2006 |
2006-05
Amendment |
Amendment to filing 2006-05 |
8/10/2006 |
| 2006-05 |
Proposal to implement a new trading model |
2/2/2006 |
2006-04
Amend. 3 |
Partial third amendment to filing 2006-04 |
7/03/2006 |
2006-04
Amend. 2 |
Second amendment to filing 2006-04 |
5/22/2006 |
2006-04
Amendment |
Amendment to filing 2006-04 |
5/3/2006 |
| 2006-04 |
To permit the transfer of securities among co-specialists
within a specialist firm.
|
3/8/2006 |
| 2006-03 |
Proposal to prohibit trade shredding |
1/24/2006 |
2006-02
withdrawal |
Withdrawal of filing 2006-02 |
3/27/2006 |
| 2006-01 |
Proposal to confirm the subpenny bids and offers that
can be made on the Exchange, beginning with the compliance
date for Rule 612. |
1/17/2006 |
| 2005-40 |
To incorporate, in the Exchange's fee schedule, the
session fee for the Regulatory Element of the continuing
education program |
12/30/2005 |
2005-39
Withdrawal |
Withdrawal of filing 2005-39 |
2/28/2008 |
| 2005-39 |
Proposed changes to the CHX's minor rule violation plan |
12/22/2005 |
| 2005-38 |
Proposal to allow subpenny trading in Nasdaq/NM securities,
and in other specific situations, where permitted by Rule 612. |
12/30/2005 |
2005-37
Withdrawal |
Withdrawal of filing 2005-37 |
12/30/2005 |
| 2005-37 |
Proposal to amend the CHX's rules to permit Exchange
participants, in Nasdaq/NM issues and, where permitted
by
the Board in any issues exempted by the Commission from
the provisions of Rule 612, to bid or offer on the Exchange
in subpenny increments. |
12/6/2005 |
2005-36
Withdrawal |
Withdrawal of filing 2005-36 |
11/22/2006 |
2005-36
Amend. 2 |
Second amendment to filing 2005-36 |
2/9/2006 |
2005-36
Amendment |
Amendment to filing 2005-36 |
12/6/2005 |
| 2005-36 |
To permit Exchange specialists to provide subpenny price
improvement |
11/1/2005 |
| 2005-34 Approval |
SEC approval order of filing 2005-34 |
11/8/2007 |
2005-34
Amend. 3 |
Third amendment to filing 2005-34 |
11/5/2007 |
2005-34
Amend. 2
Withdrawal |
Withdrawal of amendment 2 of filing
2005-34 |
11/5/2007 |
2005-34
Amend. 2 |
Partial (second) amendment to filing
2005-34 |
10/22/2007 |
2005-34
Amendment |
Amendment to filing 2005-34 |
7/11/2006 |
| 2005-34 |
To permit the cancellation of the stock leg of a stock-options
order in certain circumstances. |
11/11/2005 |
| 2005-33 |
Proposal to enter into arrangements with other self-regulatory
organizations to allocate fees for transactions executed
on other markets via the Intermarket Trading System |
10/22/2005 |
2005-31
Amendment |
Amendment to filing 2005-31 |
11/7/2005 |
| 2005-31 |
Proposed amendment to Fee Schedule to modify the trading
permit fee due from a participant if the trading permit
is
cancelled intrayear. |
10/22/2005 |
2005-28
Withdrawal |
Withdrawal of filing 2005-28 |
10/16/2006 |
| 2005-28 |
Allowing off-floor participants to act as market makers
in the electronic book. |
11/13/2005 |
2005-27
Amend. 3 |
Third amendment to filing
2005-27 |
3/15/2006 |
2005-27
Amend. 2 |
Second amendment to filing 2005-27 |
2/17/2006 |
2005-27
Amendment |
Amendment to filing 2005-27 |
12/14/2005 |
| 2005-27 |
Proposal to amend delisting rules to conform with requirements
of Exchange Act Rule 12d2-2. |
10/17/2005 |
| 2005-26 |
Amends CHX Article XXA to permit the execution of mixed
lot cross and cross with size orders in the electronic
book. |
10/11/2005 |
2005-25
Amend. 2 |
Second amendment to CHX-2005-25 |
10/12/2005 |
2005-25
Amend. 1 |
Amendment to CHX-2005-25 |
9/30/2005 |
| 2005-25 |
Confirming the fees for the assignment of buckets of
securities to specialist firms |
9/15/2005 |
| 2005-24 |
Amends the order processing fee provisions applicable
to odd-lot orders. |
9/1/2005 |
| 2005-23 |
Amendment to specialist assignment rules |
8/25/2005 |
| 2005-22 |
Proposal to extend, to January 31, 2006, a pilot rule
interpretation relating to subpenny trading by specialists. |
8/16/2005 |
2005-21
Amend. 2 |
Second amendment to CHX-2005-21, partial. |
9/1/2005 |
2005-21
Amendment |
Amendment to proposal CHX-2005-21 |
8/30/2005 |
| 2005-21 |
Establishment of a new requirement that Exchange participants
provide the Exchange with one or moew e-mail addresses
for receipt of Exchange notices and communications |
7/17/2005 |
| 2005-20 |
Retroactive amendment of fee schedule to eliminate assignment
fees for listed securities assigned without competition. |
7/17/2005 |
| 2005-19 |
Proposal to extend the pilot rule interpretation relating
to trading of Nasdaq/NM securities in subpenny increments. |
6/27/2005 |
| 2005-18 |
Proposal to allow the submission of immediate or cancel
CHXpress orders. |
6/2/2005 |
2005-16
Amend 2 |
Second Amendment to rule filing proposal CHX-2005-16 |
8/5/2005 |
2005-16
Amend 1 |
Amendment to rule filing proposal CHX-2005-16 |
7/17/2005 |
| 2005-16 |
Proposal to eliminate the current exemptions from the
Exchange's continuing education requirements that apply
to persons who have been continuously registered for more
than 10 years |
6/20/2005 |
| 2005-15 |
Proposal to eliminate the assignment fee for listed
securities assigned without competition and to modify
the specialist fixed fee for OTC securities. |
5/2/2005 |
2005-14
Amend. 1 |
Amendment to SR-CHX-2005-14 |
6/2/05 |
| 2005-14 |
Proposal to add new fees for certain technical equipment
provided to on-floor participants. |
5/2/2005 |
| 2005-13 |
To amend the Fee Schedule by eliminating certain assignment
fees and modifying the fixed fee for specialists trading
Nasdaq/NM securities. |
5/2/2005 |
| 2005-12 |
Proposal to extend the fixed fee exemption in CHXpress
securities to new securities during the course of a month. |
4/21/2005 |
| 2005-11 |
The proposed rule change clairifies that odd lot orders
executed by CHX specialists shall be executed in accordance
with CHX Article XX, Rule 37(a)(2), which governs execution
of round lot orders by CHx specialists. |
5/5/2005 |
| 2005-07 |
Proposal to confirm when late fees will be assessed
on particpant bills |
3/16/2005 |
2005-06
Amend. 2 |
Second amendment to filing 2005-06 |
8/10/2006 |
2005-06
Amendment |
Amendment to filing 2005-06 |
6/2/2006 |
| 2005-06 |
Proposed changes to the Exchange's disciplinary process |
3/4/2005 |
| 2005-05 |
Extension of a pilot rule to permit a CHX specialist,
acting in his or her principal capacity, to manually execute
an incoming market or marketable limit order in one of
three exchange-traded funds at a price other than the
national best bid or offer. |
3/2/2005 |
2005-04
Amend. 2 |
Second Amendment to SR-CHX-2005-04 |
3/30/2005 |
2005-04
Amend. 1 |
Amendment to SR-CHX-2005-04 |
3/20/2005 |
| 2005-04 |
Proposal to clarify that a specialist cannot charge
a commission in connection with the execution of a CHXpress
order |
3/1/2005 |
| 2005-03 |
Proposal to exempt, from current specialist fees, securities
in which the CHXpress functionality has been enabled |
3/1/2005 |
2005-02
Amend. 2 |
Second amendment to SR-CHX-2005-02 |
2/11/2005 |
2005-02
Amend. 1 |
Amendment to SR-CHX-2005-02 |
2/10/2005 |
| 2005-02 |
Proposal for changes to CHX Schedule of Member Dues
and Fees (Transaction Fees and Technology Changes) |
1/3/2005 |
2005-01
Amend. 3 |
Third amendment to filing 2005-01 (partial) |
7/13/2006 |
2005-01
Amend. 2 |
Second amendment to CHX-2005-01 (partial) |
10/6/2005 |
2005-01
Amend. 1 |
Amendment to CHX-2005-01 |
9/16/2005 |
| 2005-01 |
Proposal to clarify the requirements of the Exchange's
priority rule and to require specialists to make sure
of Exchange-provided order match functionalities. |
2/3/2005 |
| 2004-43 |
Extension of pilot rule change that permits CHX specialists
to manually execute orders in exempt ETFs at a price other
than the NBBO. |
12/20/2004 |
| 2004-42 |
Proposal to delete or modify CHX rule provisions that
are different from, or inconsistent with, the requirements
of Regulation SHO. |
12/21/2004 |
2004-41
Amend. 2 |
Amendment 2 to filing 2004-41 |
2/23/2005 |
| 2004-41
Amend. 1 |
Amendment 1 to previous filing 2004-41 |
1/31/2005 |
| 2004-41 |
To permit the Exchange to trade, pursuant to unlisted
trading privileges, streetTRACKS Gold shares |
12/20/2004 |
2004-38
Partial Amend. 4 |
Partial Amanedment four to filing 2004-28 |
5/3/2006 |
2004-38
extension |
Extension of time for filing 2004-38 |
1/11/2006 |
2004-38
Amend. 3 |
Partial Amendment to filing 2004-38 |
12/12/2005 |
| 2004-38 Amend. 1 |
First Amendment to SR-CHX-2004-38. |
7/05/2005 |
| 2004-26 |
Proposal to demutualize |
11/24/2004 |
2005-25
Amend. 4 |
Fourth amendment to SR-CHX-2004-25 |
9/23/2005 |
2004-25
Amend. 3 |
Third amendment to SR-CHX-2004-25 |
8/11/2005 |
2004-25
Amend. 2 |
Second Amendment to SR-CHX-2004-25. |
6/27/2005 |
2004-25
Amendment |
Amendment to filing 2004-25 |
6/7/2005 |
2004-11
Amendment |
Amendment to filing 2004-11 |
5/20/2005 |
Please be aware that, within an appropriate period of time
after rule change proposals are approved, the Exchange plans
to remove the proposals from its website.
