National Securities Exchanges
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-78109 | Jun 21, 2016 | SR-CHX-2016-08 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fingerprinting See Also - Exhibit 5 |
| 34-77995 | Jun 6, 2016 | SR-CHX-2016-07 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity Plan Requirements for Participants See Also - Exhibit 5 |
| 34-77785 | May 9, 2016 | SR-CHX-2016-06 | Chicago Stock Exchange, Inc. (CHX) | 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 See Also - Exhibit 5 |
| 34-77711 | Apr 26, 2016 | SR-CHX-2016-01 | Chicago Stock Exchange, Inc. (CHX) | Order Approving a Proposed Rule Change To Adopt and Amend Rules To Permit the Exchange To Initiate CHX SNAP Cycles See Also - Rel. No. 34-77331 |
| 34-77652 | Apr 19, 2016 | SR-CHX-2016-05 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the CHX SNAP Incentive Program See Also - Exhibit 5 |
| 34-77527 | Apr 5, 2016 | SR-CHX-2016-04 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules of the Exchange Related to Market Makers See Also - Exhibit 5 |
| 34-77469 | Mar 29, 2016 | SR-CHX-2016-03 | Chicago Stock Exchange, Inc. (CHX) | 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") See Also - Exhibit 5, Exemptive Letter |
| 34-77331 | Mar 9, 2016 | SR-CHX-2016-01 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing of Proposed Rule Change To Adopt and Amend Rules To Permit the Exchange To Initiate CHX SNAP SM See Also - Exhibit 5, Rel. No. 34-77711 |
| 34-76351 | Nov 4, 2015 | SR-CHX-2015-09 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business and Disaster Recovery Plans Testing Requirements for Certain Participants in Connection With Regulation Systems Compliance and Integrity View Received Comments See Also - Exhibit 5 |
| 34-76326 | Nov 2, 2015 | SR-CHX-2015-08 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Smart Versus Direct Routing Protocol |