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 |
|---|---|---|---|---|
| 34-68647 | Jan 14, 2013 | SR-CHX-2013-01 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Its Price With Respect to Regulatory Fees Related to the Continuing Education Regulatory Element, Certain Examinations and Central Registration Depository, Which Are Collected By the Financial Industry Regulatory Authority, Inc. See Also - Exhibit 5 |
| 34-68620 | Jan 10, 2013 | SR-CHX-2012-20 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Exchange Rules and Fee Schedule Relating to Annual Listing Maintenance Fees See Also - Exhibit 5 |
| 34-68455 | Dec 18, 2012 | SR-CHX-2012-14 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules View Received Comments |
| 34-68311 | Nov 28, 2012 | SR-CHX-2012-013 | Chicago Stock Exchange, Inc. (CHX) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 See Also - Rel. No. 34-68653, Rel. No. 34-68033 |
| 34-68219 | Nov 13, 2012 | SR-CHX-2012-15 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Order Cancellation Fee |
| 34-68180 | Nov 8, 2012 | SR-CHX-2012-18 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Amend Its Institutional Broker Credits |
| 34-68182 | Nov 8, 2012 | SR-CHX-2012-16 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Single-Sided Orders Fees and Rebates |
| 34-68181 | Nov 8, 2012 | SR-CHX-2012-17 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Increase Its DEA Fees |
| 34-68033 | Oct 10, 2012 | SR-CHX-2012-13 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To Establish Listing Standards for Issuers' Compensation Committees See Also - Exhibit 5, Rel. No. 34-68653, Rel. No. 34-68311 |
| 34-67573 | Aug 2, 2012 | SR-CHX-2012-12 | Chicago Stock Exchange, Inc. (CHX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to Individual Securities Circuit Breakers |