Chicago Stock Exchange: Traded Issues

The Listing and Assignment Department reports daily dividend activity to CHX participants and staff, processes the admission, suspension and changes to Unlisted Trading Privileges (UTP) Plan and Listed securities and maintains a
database of historical information on the issues traded on the Exchange and stock assignments. The Listings and Assignment Department is also responsible for administering the Exchange’s program to routinely evaluate the trading of specialists for execution quality assurance purposes. Beginning in 2005, CHX specialists in the bottom 5% of their peers in certain objective execution quality statistics (effective spread; execution speed) over a six-month period must have a mandatory meeting with the Exchange’s Committee on Specialist Assignments and Evaluation ("CSAE"). The
CSAE may take certain actions designed to improve the execution quality of that specialist, including the reassignment of a security.

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Search OTC Issues at the Exchange

Listed Issues

Companies that decide to go public by listing on the Chicago Stock Exchange (CHX) experience distinct benefits that they can pass on to their shareholders:

	Market transparency
	Price improvement
	Tighter spreads
	Access to advanced trading technology
	Market liquidity
	Company visibility

CHX listing requirements include:
1.	Sufficient net tangible assets and proven earnings capability
2.	Publicly accepted products and services
3.	Management operation in the public interest
4.	Suitable liquidity to meet the demands of an auction market
These guidelines were designed in the interest of investor protection. A CHX listing is recognized by securities regulators in many states and thus is exempt from blue sky registration in these states. An attractive option for some companies is to list on multiple exchanges. The competition and visibility delivered by multiple specialists enhance the integrity of the auction marketplace. Listing Contact Information Eileen Daut The Chicago Stock Exchange 440 S. LaSalle Street Chicago, IL 60605 312.663.2581 edaut@chx.com OTC Issues The Chicago Stock Exchange is one of only a few exchanges in the United States that actively trade top Nasdaq/NMS issues under exchange trading rules. When trading Nasdaq stocks at the Chicago Stock Exchange, customers are allowed to enter market orders or limit orders to buy on the bid and sell on the offer. Orders go to a CHX specialist for execution. The specialist is required to displays Nasdaq/NMS orders that are at the top of the specialist book, and the customer's interest takes precedence over principle orders.