National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-70948 | Nov 26, 2013 | SR-CHX-2013-20 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Match Trade Prevention Modifier for Limit and Market Orders Submitted to the Exchange See Also - Exhibit 5 |
| 34-70894 | Nov 18, 2013 | SR-CHX-2013-19 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Certain Rule Taxonomy Issues and Postpone Until December 2, 2013 the Operative Date of an Approved Proposed Rule Change |
| 34-70791 | Oct 31, 2013 | SR-CHX-2013-16 | Chicago Stock Exchange, Inc. (CHX) | Order Approving a Proposed Rule Change To Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders See Also - Rel. No. 34-70381 |
| 34-70597 | Oct 2, 2013 | SR-CHX-2013-14 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Registration, Qualification, Supervision, and Continuing Education of Individuals Associated with Participant Firms See Also - Exhibit 5 |
| 34-70546 | Sep 27, 2013 | SR-CHX-2013-18 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Data Revenue Rebates Program |
| 34-70515 | Sep 26, 2013 | SR-CHX-2013-17 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions See Also - Exhibit 5 |
| 34-70381 | Sep 12, 2013 | SR-CHX-2013-16 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing of Proposed Rule Change To Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders See Also - Exhibit 5, Rel. No. 34-70791 |
| 34-69903 | Jul 1, 2013 | SR-CHX-2013-12 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Single-Sided Order Fees and Credits and the Order Cancellation Fee |
| 34-69701 | Jun 5, 2013 | SR-CHX-2013-11 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Cancellation Fee |
| 34-69552 | May 10, 2013 | SR-CHX-2013-09 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule Governing the Anti-Money Laundering Compliance Program |