National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-72044 | Apr 30, 2014 | SR-BATS-2014-014 | BATS Exchange (BATS), EDGA Exchange (EDGA), Financial Industry Regulatory Authority (FINRA), Nasdaq ISE, LLC (ISE), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq BX, Inc. (BX), New York Stock Exchange LLC (NYSE), NYSE Arca (NYSEARCA), NYSE MKT (NYSEMKT), Nasdaq PHLX LLC (Phlx), Chicago Stock Exchange, Inc. (CHX), National Stock Exchange (NSX), EDGA Exchange (EDGA), BATS Y-Exchange (BYX), EDGX Exchange (EDGX) | Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions" See Also - Exhibit 5 |
| 34-71954 | Apr 16, 2014 | SR-CHX-2014-03 | Chicago Stock Exchange, Inc. (CHX) | Order Approving a Proposed Rule Change To Amend the Bylaws of the Exchange Relating to the Nomination and Election of the Vice Chairman See Also - Rel. No. 34-71675 |
| 34-71782 | Mar 24, 2014 | SR-CHX-2014-04 | 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 |
| 34-71675 | Mar 10, 2014 | SR-CHX-2014-03 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing of Proposed Rule Change To Amend the Bylaws of the Exchange See Also - Rel. No. 34-71954 |
| 34-71404 | Jan 27, 2014 | SR-CHX-2014-01 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Cancellation Fee See Also - Exhibit 5 |
| 34-71400 | Jan 27, 2014 | SR-CHX-2014-02 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Risk Management Tools Designed To Allow Participants To Monitor and Address Exposure to Risk |
| 34-71216 | Dec 31, 2013 | SR-CHX-2013-23 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide That the Match Trade Prevention Modifier Is Not Compatible With the Fill Or Kill Modifier View Received Comments See Also - Exhibit 5 |
| 34-71210 | Dec 31, 2013 | SR-CHX-2013-24 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Revenue Rebates Program |
| 34-71137 | Dec 19, 2013 | SR-CHX-2013-22 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Single-Sided Order Fees and Credits |
| 34-71057 | Dec 12, 2013 | SR-CHX-2013-21 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Reporting of Odd Lot Transactions for Inclusion on the Consolidated Tape and Clarify the Operation of the Market Order Type |