Rule Filings

From time to time, the CHX’s Board of Directors and its Executive Committee approve changes to the CHX rules or to the CHX’s bylaws and certificate of incorporation. The CHX then files these rule change proposals with the Securities and Exchange Commission, following the requirements set out in SEC Rule 19b-4. Some of these rule changes take effect immediately; others must be put out for public comment and approved by the Commission before they can be implemented.

The rule change proposals submitted by the CHX to the Commission are set out below.  When rule changes are approved or otherwise become effective, the changes typically are reflected in the on-line version of the CHX’s rules and announced in the Exchange’s weekly bulletin, which is distributed to participant firms.  (The weekly bulletins are also available in the Market Regulation section of the CHX’s website). The SEC’s proposing releases and approval orders for CHX rulemaking initiatives can be found at http://www.sec.gov/rules/sro/chx.shtml.
Submission Number Brief Description of Proposal Date
Filed
2013-11 Proposed Fee Change to Amend the Order Cancellation Fee 5/30/2013
2013-10 Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms under One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System 5/6/2013
2013-09 Proposed amendments to Exchange rules related to Anti-Money Laundering Policies. 5/2/2013
2013-08 Proposal in in connection with the upcoming operation of the Plan to Address Extraordinary Market Volatility
Pursuant to Rule 608 of Regulation NMS under the Act (the "Limit Up-Limit Down Plan")		 3/28/2013
2013-07 Proposed Rule Change to Modify the Operation of the CHX Only Order type and Post Only Order Modifier 3/1/2013
2013-06 Proposed rule change to alter the circumstances under which liquidity providing credits are paid to Institutional Brokers. 2/6/2013
2013-05 Proposal to Amend CHX Telemarketing Rules to Correct a Citation Error 2/1/2013
2013-04 Proposed Rule Change Amending CHX Article 20, Rule 10 to Extend the Effective Date of Certain Clearly Erroneous Transactions Provisions Operating under a Pilot until September 30, 2013 and to Establish Guidelines for the Handling of Clearly Erroneous Transactions in Connection with the Plan to Address Extraordinary Volatility.
 1/28/2013
2013-03 Proposal to extend the effective date of the pilot for trading pauses in individual securities due to extraordinary market
volatility until the earlier of the initial date of operations of the Limit Up-Limit Down Plan or February 4, 2014
 1/28/2013
2013-02 Proposal to delay the operative date of a rule change to CHX Article 20, Rule 2 which provides, among other things,
methodology for determining when to halt trading in all stocks due to extraordinary market volatility from the date of
February 4, 2013, until April 8, 2013.		 1/25/2013
2013-01 Amend2 Second amendment to filing 2013-01 1/11/2013
2013-01 Amendment Amendment to filing 2013-01 1/10/2013
2013-01 Proposed rule change amending CHX 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. 1/2/2013
2012-20 Proposed rule change related to annual listing maintenance fees. 12/31/2012
2012-19 Proposal to amend the CHX Fee Schedule related to Port Charges. 12/31/2012
2012-18 Proposal to amend the fee credits related to Institutional Brokers. 10/31/2012
2012-17 Proposed rule change related to DEA fees 10/31/2012
2012-16 Proposal to Amend Single-Sided Orders Fees and Rebates 11/2/2012
2012-15 Proposal to Amend Order Cancellation Fee 11/2/2012
2012-14 Notice of Filing of Proposed Change to Rules by the Chicago Stock Exchange, Inc. Relating to Telemarketing Rules 12/4/2012
2012-13 Amendment 2 2nd Amendment to Submission 2012-13 1/7/2013
2012-13 Amendment Amendment to Submission 2012-13 10/10/2012
2012-13 Change to Establish Listing Standards for Compensation Committees 9/25/2012
2012-12 Extend the Pilot Program Relating to Individual Securities Circuit Breakers 7/27/2012
2012-11 Extend pilot for Clearly Erroneous 7/27/2012
2012-10 Change to temporarily suspend the requirements to certain CHX rules in order to approve Apex Clearing Corporation as a CHX Participant and Trading Permit Holder. 6/5/2012
2012-06 Change to Add Connection Fee and Waive Monthly Connection Fees At New Facility 2/9/2012
2012-05 Amendment to the Fee Schedule to Implement a Clearing Submission Fee Credit for Institutional Brokers 2/6/2012
2012-04 Industry-wide extension of the pilot program relating to clearly erroneous transactions 1/23/2012
2012-03 Industry-wide extension of the pilot program relating to individual securities circuit breakers 1/23/2012
2012-02 Change to add and amend rules regarding the obligations of Institutional Brokers registered with the Exchange 1/6/2012
2012-01 Change to amend fee schedule to assess fees for Derivative Securities Products 1/6/2012
2011-34 Change to add Interpretation and Policy .01 to Article 13, Rule 2 (Emergency Suspension) regarding the suspension of a Participant’s trading privileges on the Exchange. 12/16/2011
2011-33 Change to add a rule regarding Brokerplex order entry, recordation and management system 12/28/2011
2011-32 Change to Exclude Rights and Warrants from the Individual Securities Circuit Breaker Rule 11/21/2011
2011-31 Change to amend the Trade Processing fee 11/9/2011
2011-30 Amendment Amendment to rule filing 2011-30 5/24/2012
2011-30 Change to revise the current methodology for determining when to halt trading in all stocks due to extraordinary market volatility. 9/27/2011
2011-29 Change status of Institutional Brokers 9/13/2011
2011-28 Notice of Filing of Proposed Change to the Fee Schedule of the Chicago Stock Exchange Inc. to Retroactively Waive Its Order Cancellation Fee for a Limited Duration 9/12/2011
2011-27 Change to eliminate certain references to CHX as DEA 9/23/2011
2011-26 Change to Remove Tiered Fee and Rebate Structure and to Remove or Lower Certain Rebates 8/25/2011
2011-25 Change to Alter the Exchange's Cancellation Fee 8/25/2011
2011-24 Change to extend pilot period for rules relating to clearly erronous transactions 8/8/2011
2011-23 Change to extend pilot program for individual security circuit breakers 8/8/2011
2011-22 Amend Clearly Erroneous Rule to include expanded individual stock circuit breaker securities 8/8/2011
2011-21 To Amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 Thereunder Regarding the Cancellation of the Stock Leg of Stock-Option Transactions Done on the Exchange. 7/26/2011
2011-20 To add a rule to impose certain requirements on Exchange-registered Institutional Broker firms which operate
separate, non-Institutional Broker unit(s) within the firm.		 7/26/2011
2011-19 Change to amend Fee Schedule to clarify the application of the Fee Schedule to certain transactions of, and services to, CHX Participants and make certain rate changes 7/20/2011
2011-17 Change to add Rule regarding the submission by CHX of clearing-related information for trades executed on the
Exchange as well as for trades executed otherwise than on the Exchange.		 10/24/2011
2011-16 Change to amend schedule of fees for Participants relating to SRO, DEA and Off-Exchange trader fees 7/8/2011
2011-14 Amend rules to provide for a CHX Connect communications service 6/24/2011
2011-13 Change regarding the obligations of Exchange-registered institutional brokers 7/12/2011
2011-11 Change to add rule concerning CHX Book Feed 6/1/2011
2011-10 Rule Change to Amend the Order Eligibility Rule 5/31/2011
2011-09 Change to add all NMS stocks to the individual stock circuit breaker pilot 5/4/2011
2011-08 Rule change to amend CHX's customer order protection rule 4/26/2011
2011-07 Rule Change to Amend CHX’s Minor Rule Violation Plan 4/20/2011
2011-06 Change to extend pilot program for clearly erroneous transactions 4/5/2011
2011-05 Change to extend the pilot program for individual securities circuit breakers 4/5/2011
2011-04 Change to add CHX Only order type 4/19/2011
2011-03 Change to amend the CHXConnect Fee 4/25/2011
2011-02 Change to Fee Schedule to Repeal the Trade Processing Fee Credit paid to Institutional Brokers 3/24/2011
2011-01 Change proxy rules to comply with Section 957 of the Dodd-Frank Act. 3/15/2011

 

Submission No. Brief Description of Proposal Date Filed
2010-25 CHX proposes to amend its rules regarding the Validated Cross functionality. 12/30/2010
2010-24 Extension of pilot program related to single-security circuit breakers 12/9/2010
2010-23 Extension of pilot program relating to clearly erroneous transactions 12/8/2010
2010-22 Amendment Amendment to rule filing 2010-22 11/10/2010
2010-22 Change to enhance quotation requirements for market makers 10/4/2010
2010-20 Change to the provide credit for transactions involving issues priced less than one dollar 9/16/2010
2010-19 Change to Fee Schedule to amend order cancellation fee 7/30/2010
2010-18 Change to amend Tiered Schedule of Fees and Rebates for single-sided orders in securities priced over one dollar
 7/30/2010
2010-14 Notice of Filing of Proposed Rule Change by the Chicago Stock Exchange, Inc. to Amend the List of Securities Subject to an Individual Circuit Breaker 6/30/2010
2010-13 Amendment Amendment to filing 2010-13 6/30/2010
2010-13 Change to amend rule regarding clearly erroneous transactions 6/17/2010
2010-12 Change to reduce the amount of its trading permit cancellation fee 6/1/2010
2010-11 Change to transaction fees and rebates to Exchange Particpants for SRO Fees and DEA Examinations 6/1/2010
2010-10 Change to to Establish a Trading Halt for Individual Stocks Contained In The Standard & Poor’s 500 Index 5/18/2010
2010-09 Change to increase provide credit for transactions involving issues priced less than 1 dollar 4/30/2010
2010-08 Change to establish a fixed provide credit for CHX-registered institutional brokers. 4/30/2010
2010-07 Change to amend certain incorrect or inaccurate cross-references. 4/7/2010
2010-06 Proposed change to rules regarding proxy voting by Participants. 3/9/2010
2010-05 Change to Fee Schedule to increase provide rebate for transactions in issues priced less than one dollar. 3/3/2010
2010-04 Change to Fee Schedule to aggregate the activity of affiliate entities when computing and assessing certain fees of the Exchange. 2/26/2010
2010-03 Amendment to Fee Schedule to increase provide credit for transactions involving issues priced less than one dollar 1/29/2010
2010-02 Change to add a cancellation fee under certain circumstances 1/13/2010
2010-01 Change to the Schedule of Participant Fees and Assessments to provide for a tiered fee and rebate structure. 1/4/2010
2009-18 Change to amend the Schedule of Participant Fees and Assessments to provide for an increased charge for
co-location of network connection equipment.		 12/22/2009
2009-16 To amend the definitions of "cross" and "cross with size" order types 12/15/2009
2009-15 Change to eliminate the age restrictions from bylaws of Chicago Stock Exchange, Inc and CHX Holdings, Inc. 11/13/2009
2009-14 Change relating to the fees and rebates in the various trading sessions 9/22/2009
2009-13 Change to create early and late trading sessions. 8/28/2009
2009-11 Change to harmonize clearly erroneous rules 10/1/2009
2009-10 Adding Quote@CHX and Reprice@CHX order types in the BrokerPlex order entry system 7/23/2009
2009-09 Proposed change relating to Adding the Post Only and Post Only ISO Rule types. 6/29/2009
2009-08 Proposed change relating to Reallocation of Credits Paid to Institutional Brokers. 6/29/2009
2009-07 Proposed change relating to Participant Fees and Credits. 6/29/2009
2009-06 Adding a rule requiring notification of a Participant's intent to de-register as an Institutional Broker. 7/7/2009
2009-05 Change to allow two designated officers to halt trading. 7/7/2009
2009-03 Fee Change to provide for fees and rebates on transactions involving issues priced less than one dollar. 4/1/2009
2009-02 Change to allow undisplayed odd-lots to be rejected from the matching system and to add a generic routing rule. 6/2/2009
2008-15 Amendments to Fee Schedule 11/7/2008
2008-13 To provide for trade processing fee credits to CHX registered institutional brokers 8/13/2008
2008-12 CHX proposes to adopt generic rules regarding Unlisted Trading Privileges. 9/15/2008
2008-11 Change to Equity-Linked Debt Security Rule to clarify that it is pursuant to Rule 19b-4(e) 6/20/2008
2008-10 Proposed Change by the Chicago Stock Exchange, Inc. to Amend its Rules Relating to Trading Ahead by Participants 5/20/2008
2008-09 Proposed Change By the Chicago Stock Exchange, Inc. to Amend its Minor Rule Violation Plan 5/19/2008
2008-08 Proposed Amendment to the Exchange's Clearing the Matching System Obligation for Institutional Brokers 5/16/2008
2008-07 To allow ProShares to be traded on the CHX 5/15/2008
2008-06
Amendment		 Amendment to filing 2008-06 5/1/2008
2008-05 To change the composition of the regulatory oversight committee 4/21/2008
2008-03 To amend the Exchange's fingerprinting rules 2/26/2008
2008-02 To amend the definition of "public director" under the CHX bylaws 2/26/2008
2008-01
Amendment		 Amendment to filing 2008-01 2/11/2008
2008-01

Change to the Fee Schedule

 1/31/2008
2007-28 To amend the Fee Schedule to change the method by which processing fees are calculated. 12/21/2007
2007-27 To eliminate a requirement that a participant firm have a formal written agreement with another firm to use its give-up. 12/12/2007
2007-26
Amendment		 Amendment to filing 2007-26 11/19/2007
2007-26 To make various changes to the CHX's Fee Schedule 10/31/2007
2007-25 Amendment Amendment to filing 2007-25 11/09/2007
2007-25 To eliminate now-obsolete references to the ITS Plan and other matters. 10/16/2007
2007-24 Approval SEC approval order for 2007-24 3/10/2008
2007-24 Amend. 2 Second amendment to filing 2007-24 2/29/2008
2007-24 Amendment Amendment to filing 2007-24 1/6/2007
2007-24 To amend the CHX's rules relating to the handling of "clearly erroneous" transactions. 10/4/2007
2007-23
Extension		 Extension filing for 2007-23 11/29/2007
2007-23 To amend the CHX's rules to begin trading at 8:30 a.m., without regard to the opening on the primary market. 10/2/2007
2007-22 To amend the CHX's rules relating to the execution of odd lot market orders. 10/2/2007
2007-21
Amendment		 Amendment to filing 2007-21 2/14/2008
2007-21 To change the CHX's registration rules to require use of Web CRD for registering certain associated persons. 10/9/2007
2007-20 final SEC notice of immediate effectiveness for 2007-20 10/25/07
2007-20 To provide for post-trade anonymity of certain transactions on the Exchange. 10/16/2007
2007-19 final SEC notice of immediate effectiveness for 2007-19 10/04/2007
2007-19 To begin the dissemination of a book feed and to amend the CHX's Fee Schedule to confirm that no fee will be charged for the product. 9/27/2007

2007-18
Amendment

 Amendment to filing 2007-18 1/22/2008
2007-18 To make administrative changes to its routing rules. 7/6/2007
2007-17 Amendment Amendment to filing 2007-17 10/22/2007
2007-17 To eliminate references to Rule 10a-1 8/31/2007
2007-16 Approval SEC approval order for 2007-16 9/28/2007
2007-16 Amendment Amendment to filing 2007-16 8/10/2007
2007-16 To amend the CHX's bylaws relating to director participation in matters involving an issuer. 7/27/2007
2007-15
Withdrawal		 Withdrawal of filing 2007-15 1/10/2008
2007-15 To identify a situation in which CHX participants may trade on a proprietary basis while holding a customer order. 4/4/2007
2007-14 To confirm that the CHX will not charge a "take" fee or pay a "provide" credit on trades, executed in the Matching System, for 100 or more shares at a price of less than $1.00/share.
 3/23/2007
2007-13
withdrawal 		Withdrawal of filing 2007-13 3/23/2007
2007-13 Changes to Fee Schedule to confirm that the CHX will not charge a "take" fee (or provide a "provide" credit) for Matching System executions at prices less than $1.00.
 3/23/2007
2007-12 To establish a new pending cross order type 3/21/2007
2007-11 To eliminate several fee provisions that are no longer relevant in the CHX's new trading model 3/22/2007
2007-10 To require participants to provide one item of additional information in connection with layoff orders
 3/22/2007
2007-09 To add provisions confirming how institutional brokers should handle stop and stop limit orders
 3/21/2007
2007-08 To expand the price manipulation rule to address additional instances of improper behavior 3/21/2007
2007-07
Withdrawal		 Withdrawal fo filing 2007-07 9/4/2007
2007-07 To eliminate the requirement that institutional brokers clear the Matching System before sending customer orders to
other markets for execution		 3/22/2007
2007-05 Changes to CHX fee schedule
 3/23/3007
2007-03 To change the Trading Phase Date to March 5, 2007 2/2/2007
2007-02 Proposal to clarify, on a retroactive basis, the application of a credit against specialist fixed fees 2/12/2007
2007-01 Clarification that a "SOLD" indicator will only be affixed to the extent required by an applicable intermarket trade
reporting plan		 1/30/2007
2006-42 Approval SEC approval order of filing 2006-42 8/20/2007
2006-42
Amendment		 Amendment to filing 2006-42 7/6/2007
2006-42 The proposed rule changes would (i) permit CHX participants submitting cross with yield orders to elect to yield to undisplayed interest and (ii) provide for a repricing mechanism in the case of midpoint cross orders with a midpoint price that would violate applicable short sale restrictions.
 12/21/2006
2006-40
Withdrawal 		Withdrawal of filing 2006-40 2/12/2007
2006-40 Change in the specialist fixed fee credit for January 2007 12/21/2006
2006-39 Proposed changes to the fees associated with outbound Linkage Plan routing 12/21/2006
2006-38 To extend the late trading session until 4:00 p.m. and to provide that only cross orders may be executed during that
session.		 12/21/2006
2006-37
Amendment		 Amendment to filing 2006-37 12/21/2006
2006-37 The CHX proposes to amend its Fee Schedule to reduce specialist fixed fees that are applicable during the period
when the CHX transitions to its new trading model.		 11/21/2006
2006-36 To establish a fee for receipt of orders through the CHX's wide area network. 11/16/2006
2006-35 Proposed amendment to Fee Schedule re: outbound routing charges 11/9/2006
2006-34 To implement a communications or routing service for participants 11/16/2006
2006-33 To require certain issuers to make their securities eligible for a direct registration system operated by a securities depository.
 10/30/2006
2006-32 Withdrawal Withdrawal of filing 2006-32 12/12/2007
2006-32 Clarification of rule relating to use of participant give-ups 10/20/2006
2006-31
Amendment		 Amendment to filing 2006-31 11/14/2006
2006-31 The CHX proposes several changes to its recently-filed Schedule of Participant Fees and Credits, relating to the new trading model being implemented by the CHX this fall. 10/20/2006
2006-30 To amend the Exchange's new trading model rules to confirm that the Exchange may route orders that would lock, cross or trade through another market's protected quotes to the destination selected by the order-sending participant. 10/19/2006
2006-29
Amendment		 Amendment to filing 2006-29 10/20/2006
2006-29 The CHX proposes a revised Schedule of Participant Fees and Credits, which would replace the existing fee schedule in its entirety, to provide for fees, charges and credits contemplated by the CHX's new trading model, which will be implemented this fall. 9/28/2006
2006-28 The CHX proposed to implement a billing arrangement under the NMS Linkage Plan whereby it will directly bill, and will accept direct billing from, other NMS Linkage Plan participants, in lieu of a sponsoring member arrangement. 9/26/2006
2006-27 The CHX proposes to make effective, retroactive to February 9, 2005, a change to the CHX Participant Fee Schedule relating to the trading permit fee due the Exchange if a participant's trading permit is cancelled intra-year. 8/10/2006
2006-26
Amendment 		Partial amendment to filing 2006-26 9/21/2006
2006-26 Proposed change to fee schedule to eliminate a participant's credits for any month in which that participant's Exchange bill is more than 30 days past due. 8/22/2006
2006-25
Withdrawal		 Withdrawal of filing 2006-25 8/1/2007
2006-25 Amending the Exchange's bylaws to prevent a director from participating in a proceeding to delist a security if the director is a director, officer or employee of the issuer of the security. 7/31/2006
2006-24
Amend 2		 Second partial amendment to filing 2006-24 8/10/2006
2006-24
Amendment 		Amendment to filing 2006-24 7/21/2006
2006-24 Proposal relating to Two-Sided Quote Providers 6/27/2006
2006-23 Partial Amendment Partial amendment to filing 2006-23 7/20/2006
2006-23 Proposal to amend CHX bylaws and rules to make several governance changes 6/21/2006
2006-22
Partial Amend. 2		 Second partial amendment to filing 2006-22 7/20/2006
2006-22
Partial
Amendment 		Partial Amendment to filing 2006-22 6/30/2006
2006-22 Proposal to amend the CHX Holdings certificate of incorporation to (1) make a minor change in the ownership limitations applicable to both CHX participants and other persons or entities; and (2) increase the number of shares of common stock which CHX Holdings is authorized to issue. 6/21/2006
2006-21
SEC 		Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits Link to SEC 7/26/2006
2006-21 The CHX proposes to clarify monthly applicability of its $100 Self-Regulatory Organization Fee. 7/11/2006
2006-18 To waive, for 2006, the 60-day notice requirement relating to the cancellation of trading permits that were issued as a result of the Exchange's demutualization. 5/10/2006
2006-17 To waive, for 2006, the 60-day notice requirement relating to the cancellation of trading permits that were issued as a
result of the Exchange’s demutualization.		 5/3/2006
2006-15
Withdrawal 		Withdrawal of filing 2006-15 6/27/2006
2006-15 To establish a credit for Two-Sided Quote Providers 4/30/2006
2006-13 Proposal to reduce assignment fees on a retroactive basis 4/24/2006
2006-12 Proposal to reduce specialist assignment fees 4/24/2006
2006-11 To amend the CHX Holdings bylaws. 3/27/2006
2006-10
withdrawal 		Withdrawl of filing 2006-10 7/27/2006
2006-10 To establish a short sale rule for the trading of Nasdaq/NM securities on the Exchange. 3/8/2006
2006-09 To identify situations in which participants may trade on a proprietary basis while holding a customer order. 2/28/2006
2006-08
Amendment		 Amendment to filing 2006-08 3/2/2006
2006-08 Retroactive change to fee schedule to waive specialist fixed fees for temporary assignments of securities. 2/26/2006
2006-07
Amendment		 Amendment to filing 2006-07 3/2/2006
2006-07 Amendment to Fee Schedule to confirm that, effective immediately, specialist fixed fees are not charged to firms during a temporary assignment of securities 2/26/2006
2006-06
Amendment 		Amendment to filing 2006-06 2/17/2006
2006-06 To incorporate other SRO examination fees into the Exchange's Fee Schedule, when the successful completion of the examination is required by CHX rules. 2/7/2006
2006-05
Amend. 2		 Second (partial) amendment to filing 2006-05 9/29/2006
2006-05
Amendment		 Amendment to filing 2006-05 8/10/2006
2006-05 Proposal to implement a new trading model 2/2/2006
2006-04
Amend. 3		 Partial third amendment to filing 2006-04 7/03/2006
2006-04
Amend. 2		 Second amendment to filing 2006-04 5/22/2006
2006-04
Amendment 		Amendment to filing 2006-04 5/3/2006
2006-04 To permit the transfer of securities among co-specialists within a specialist firm.
 3/8/2006
2006-03 Proposal to prohibit trade shredding 1/24/2006
2006-02
withdrawal 		Withdrawal of filing 2006-02 3/27/2006
2006-01 Proposal to confirm the subpenny bids and offers that can be made on the Exchange, beginning with the compliance
date for Rule 612.		 1/17/2006
2005-40 To incorporate, in the Exchange's fee schedule, the session fee for the Regulatory Element of the continuing education program 12/30/2005
2005-39
Withdrawal		 Withdrawal of filing 2005-39 2/28/2008
2005-39 Proposed changes to the CHX's minor rule violation plan 12/22/2005
2005-38 Proposal to allow subpenny trading in Nasdaq/NM securities, and in other specific situations, where permitted by Rule 612. 12/30/2005
2005-37
Withdrawal		 Withdrawal of filing 2005-37 12/30/2005
2005-37 Proposal to amend the CHX's rules to permit Exchange participants, in Nasdaq/NM issues and, where permitted by the Board in any issues exempted by the Commission from the provisions of Rule 612, to bid or offer on the Exchange in subpenny increments. 12/6/2005
2005-36
Withdrawal 		Withdrawal of filing 2005-36 11/22/2006
2005-36
Amend. 2		 Second amendment to filing 2005-36 2/9/2006
2005-36
Amendment		 Amendment to filing 2005-36 12/6/2005
2005-36 To permit Exchange specialists to provide subpenny price improvement 11/1/2005
2005-34 Approval SEC approval order of filing 2005-34 11/8/2007
2005-34
Amend. 3		 Third amendment to filing 2005-34 11/5/2007
2005-34
Amend. 2
Withdrawal		 Withdrawal of amendment 2 of filing
2005-34		 11/5/2007
2005-34
Amend. 2		 Partial (second) amendment to filing
2005-34		 10/22/2007
2005-34
Amendment 		Amendment to filing 2005-34 7/11/2006
2005-34 To permit the cancellation of the stock leg of a stock-options order in certain circumstances. 11/11/2005
2005-33 Proposal to enter into arrangements with other self-regulatory organizations to allocate fees for transactions executed on other markets via the Intermarket Trading System 10/22/2005
2005-31
Amendment 		Amendment to filing 2005-31 11/7/2005
2005-31 Proposed amendment to Fee Schedule to modify the trading permit fee due from a participant if the trading permit is cancelled intrayear. 10/22/2005
2005-28
Withdrawal 		Withdrawal of filing 2005-28 10/16/2006
2005-28 Allowing off-floor participants to act as market makers in the electronic book. 11/13/2005
2005-27
Amend. 3

Third amendment to filing
2005-27

 3/15/2006
2005-27
Amend. 2		 Second amendment to filing 2005-27 2/17/2006
2005-27
Amendment 		Amendment to filing 2005-27 12/14/2005
2005-27 Proposal to amend delisting rules to conform with requirements of Exchange Act Rule 12d2-2. 10/17/2005
2005-26 Amends CHX Article XXA to permit the execution of mixed lot cross and cross with size orders in the electronic book. 10/11/2005
2005-25
Amend. 2		 Second amendment to CHX-2005-25 10/12/2005

2005-25
Amend. 1

 Amendment to CHX-2005-25 9/30/2005
2005-25 Confirming the fees for the assignment of buckets of securities to specialist firms 9/15/2005
2005-24 Amends the order processing fee provisions applicable to odd-lot orders. 9/1/2005
2005-23 Amendment to specialist assignment rules 8/25/2005
2005-22 Proposal to extend, to January 31, 2006, a pilot rule interpretation relating to subpenny trading by specialists. 8/16/2005
2005-21
Amend. 2		 Second amendment to CHX-2005-21, partial. 9/1/2005
2005-21
Amendment 		Amendment to proposal CHX-2005-21 8/30/2005
2005-21 Establishment of a new requirement that Exchange participants provide the Exchange with one or moew e-mail addresses for receipt of Exchange notices and communications 7/17/2005
2005-20 Retroactive amendment of fee schedule to eliminate assignment fees for listed securities assigned without competition. 7/17/2005
2005-19 Proposal to extend the pilot rule interpretation relating to trading of Nasdaq/NM securities in subpenny increments. 6/27/2005
2005-18 Proposal to allow the submission of immediate or cancel CHXpress orders. 6/2/2005
2005-16
Amend 2		 Second Amendment to rule filing proposal CHX-2005-16 8/5/2005
2005-16
Amend 1		 Amendment to rule filing proposal CHX-2005-16 7/17/2005
2005-16 Proposal to eliminate the current exemptions from the Exchange's continuing education requirements that apply to persons who have been continuously registered for more than 10 years 6/20/2005
2005-15 Proposal to eliminate the assignment fee for listed securities assigned without competition and to modify the specialist fixed fee for OTC securities. 5/2/2005
2005-14
Amend. 1		 Amendment to SR-CHX-2005-14 6/2/05
2005-14 Proposal to add new fees for certain technical equipment provided to on-floor participants. 5/2/2005
2005-13 To amend the Fee Schedule by eliminating certain assignment fees and modifying the fixed fee for specialists trading
Nasdaq/NM securities.		 5/2/2005
2005-12 Proposal to extend the fixed fee exemption in CHXpress securities to new securities during the course of a month. 4/21/2005
2005-11 The proposed rule change clairifies that odd lot orders executed by CHX specialists shall be executed in accordance with CHX Article XX, Rule 37(a)(2), which governs execution of round lot orders by CHx specialists. 5/5/2005
2005-07 Proposal to confirm when late fees will be assessed on particpant bills 3/16/2005
2005-06
Amend. 2		 Second amendment to filing 2005-06 8/10/2006
2005-06
Amendment		 Amendment to filing 2005-06 6/2/2006
2005-06 Proposed changes to the Exchange's disciplinary process 3/4/2005
2005-05 Extension of a pilot rule to permit a CHX specialist, acting in his or her principal capacity, to manually execute an incoming market or marketable limit order in one of three exchange-traded funds at a price other than the national best bid or offer. 3/2/2005
2005-04
Amend. 2 		Second Amendment to SR-CHX-2005-04 3/30/2005
2005-04
Amend. 1		 Amendment to SR-CHX-2005-04 3/20/2005
2005-04 Proposal to clarify that a specialist cannot charge a commission in connection with the execution of a CHXpress order 3/1/2005
2005-03 Proposal to exempt, from current specialist fees, securities in which the CHXpress functionality has been enabled 3/1/2005
2005-02
Amend. 2		 Second amendment to SR-CHX-2005-02 2/11/2005
2005-02
Amend. 1		 Amendment to SR-CHX-2005-02 2/10/2005
2005-02 Proposal for changes to CHX Schedule of Member Dues and Fees (Transaction Fees and Technology Changes) 1/3/2005
2005-01
Amend. 3		 Third amendment to filing 2005-01 (partial) 7/13/2006
2005-01
Amend. 2		 Second amendment to CHX-2005-01 (partial) 10/6/2005
2005-01
Amend. 1		 Amendment to CHX-2005-01 9/16/2005
2005-01 Proposal to clarify the requirements of the Exchange's priority rule and to require specialists to make sure of Exchange-provided order match functionalities. 2/3/2005
2004-43 Extension of pilot rule change that permits CHX specialists to manually execute orders in exempt ETFs at a price other than the NBBO. 12/20/2004
2004-42 Proposal to delete or modify CHX rule provisions that are different from, or inconsistent with, the requirements of Regulation SHO. 12/21/2004
2004-41
Amend. 2		 Amendment 2 to filing 2004-41 2/23/2005
2004-41 Amend. 1 Amendment 1 to previous filing 2004-41 1/31/2005
2004-41 To permit the Exchange to trade, pursuant to unlisted trading privileges, streetTRACKS Gold shares 12/20/2004
2004-38
Partial Amend. 4		 Partial Amanedment four to filing 2004-28 5/3/2006
2004-38
extension		 Extension of time for filing 2004-38 1/11/2006
2004-38
Amend. 3		 Partial Amendment to filing 2004-38 12/12/2005
2004-38 Amend. 1 First Amendment to SR-CHX-2004-38. 7/05/2005
2004-26 Proposal to demutualize 11/24/2004
2005-25
Amend. 4		 Fourth amendment to SR-CHX-2004-25 9/23/2005
2004-25
Amend. 3		 Third amendment to SR-CHX-2004-25 8/11/2005
2004-25
Amend. 2 		Second Amendment to SR-CHX-2004-25. 6/27/2005
2004-25
Amendment 		Amendment to filing 2004-25 6/7/2005
2004-11
Amendment		 Amendment to filing 2004-11 5/20/2005

Please be aware that, within an appropriate period of time after rule change proposals are approved, the Exchange plans to remove the proposals from its website.