National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-79027 | Oct 3, 2016 | SR-CHX-2016-19 | Chicago Stock Exchange, Inc. (CHX) | 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 See Also - Exhibit 5, Exemptive Letter |
| 34-78860 | Sep 16, 2016 | SR-CHX-2016-16 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing of Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay View Received Comments See Also - Exhibit 5, Rel. No. 34-79984, Rel. No. 34-79216 |
| 34-78812 | Sep 12, 2016 | SR-CHX-2016-17 | Chicago Stock Exchange, Inc. (CHX) | 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 See Also - Exhibit 5, Exemptive Letter |
| 34-78684 | Aug 25, 2016 | SR-CHX-2016-15 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Handling of Intermarket Sweep Orders See Also - Exhibit 5 |
| 34-78504 | Aug 8, 2016 | SR-CHX-2016-14 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Continuing Education Fees See Also - Exhibit 5 |
| 34-78503 | Aug 8, 2016 | SR-CHX-2016-13 | Chicago Stock Exchange, Inc. (CHX) | 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 See Also - Exhibit 5 |
| 34-78446 | Jul 29, 2016 | SR-CHX-2016-12 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Web-Based Delivery of the Continuing Education Program See Also - Exhibit 5 |
| 34-78445 | Jul 29, 2016 | SR-CHX-2016-11 | Chicago Stock Exchange, Inc. (CHX) | 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 See Also - Exhibit 5 |
| 34-78146 | Jun 23, 2016 | SR-CHX-2016-09 | Chicago Stock Exchange, Inc. (CHX) | 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 See Also - Exhibit 5, Exemptive Letter |
| 34-78126 | Jun 22, 2016 | SR-CHX-2016-10 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Institutional Broker Fee Cap and Credit See Also - Exhibit 5 |