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NASDAQ OMX BX, Inc. Rulemaking

We encourage the public to submit comments on the following NASDAQ OMX BX, Inc. (BX) 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.

Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

BX File Number List for 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-BX-2014-054
34-73452 Oct. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policy
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2014-050
34-73446 Oct. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2014-048
34-73410 Oct. 23, 2014 Notice of Filing of a Proposed Rule Change to Establish the Retail Price Improvement Program On a Pilot Basis Expiring Twelve Months From the Date of Implementation
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2014-047
34-73305 Oct. 6, 2014 Notice of Filing of Proposed Rule Change to Amend Fees for Optional Wireless Connectivity for Co-located Clients
Comments due: October 31, 2014
Additional Materials: Exhibit 5
Third Quarter

SR-BX-2014-045
34-73195 Sep. 23, 2014 Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: October 20, 2014
Additional Materials: Exhibit 5

SR-BX-2014-044
34-72994 Sep. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options
Comments due: October 1, 2014
Additional Materials: Exhibit 5

SR-BX-2014-039
34-72965 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-BX-2014-041
34-72964 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-BX-2014-042
34-72918 Aug. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Lead Market Maker Rules
Comments due: September 23, 2014
Additional Materials: Exhibit 5

SR-BX-2014-035
34-72883 Aug. 20, 2014 Order Approving Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker
See also: Notice: Rel. No. 34-72502

SR-BX-2014-037
34-72712 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions
Comments due: August 26, 2014
Comments received are available for this proposal.

SR-BX-2014-038
34-72700 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series
Comments due: August 26, 2014

SR-BX-2014-036
34-72584 Jul. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Rebates for Various Options
Comments due: August 6, 2014
Additional Materials: Exhibit 5

SR-BX-2014-035
34-72502 Jul. 1, 2014 Notice of Filing of Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker
Comments due: July 29, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72883
Second Quarter

SR-BX-2014-021
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72053

SR-BX-2014-033
34-72406 Jun. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exercise Limits
Comments due: July 14, 2014
Additional Materials: Exhibit 5

SR-BX-2014-031
34-72386 Jun. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: July 10, 2014
Additional Materials: Exhibit 5

SR-BX-2014-029
34-72361 Jun. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Joint Back Office Pricing
Comments due: July 7, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2014-027
34-72246 May 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program
Comments due: June 20, 2014

SR-BX-2014-026
34-72239 May 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 20, 2014
Additional Materials: Exhibit 5

SR-BX-2014-024
34-72149 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Consolidate Certain Committee Functions into the BX Review Council
Comments due: June 6, 2014

SR-BX-2014-025
34-72143 May 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to the Elimination of SPY Position Limits
Comments due: June 5, 2014
Additional Materials: Exhibit 5

SR-BX-2014-020
34-72104 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to Mini Options
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-BX-2014-023
34-72069 May 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Quarterly Options Series Program
Comments due: May 28, 2014
Additional Materials: Exhibit 5

SR-BX-2014-021
34-72053 Apr. 30, 2014 Notice of Filing of Proposed Rule Change to Add New Paragraphs (h) and (i) to Rule 11890, entitled "Clearly Erroneous Transactions" 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on April 17, 2014, NASDAQ OMX BX, Inc. ("BX" or "Exchange"), filed with the Securities and Exchange Commission ("Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434

SR-BX-2014-022
34-72041 Apr. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Text Related to Acceptable Trade Range in Chapter VI, Section 10 of the BX Options Rules
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-BX-2014-019
34-71977 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing PHLX Proprietary Products
Comments due: May 16, 2014
Additional Materials: Exhibit 5

SR-BX-2014-018
34-71956 Apr. 16, 2014 Notice of Filing of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: May 13, 2014

SR-BX-2014-017
34-71900 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-BX-2014-015
34-71841 Apr. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Impose an Extranet Access Fee
Comments due: April 28, 2014
First Quarter

SR-BX-2014-014
34-71784 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-012
34-71696 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-005
34-71624 Feb. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of Fees for New Optional Means for Clients to Receive BX TotalView ITCH Market Data
Comments due: March 26, 2014

SR-BX-2014-010
34-71557 Feb. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014

SR-BX-2014-011
34-71538 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Optional Anti-Internalization Functionality
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-009
34-71526 Feb. 12, 2014 Notice of Filing of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-008
34-71506 Feb. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Not Charge the Extranet Access Fee
Comments due: March 6, 2014

SR-BX-2014-006
34-71460 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Language Describing a Newly Adopted Credit Tier under Rule 7018
Comments due: February 27, 2014
Comments received are available for this proposal.

SR-BX-2014-003
34-71421 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-004
34-71420 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: February 24, 2014

SR-BX-2013-057
34-71353 Jan. 17, 2014 Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2013-001, SR-NASDAQ-2013-148, SR-Phlx-2013-115, SR-SCCP-2013-01
See also:  Notice: Rel. No. 34-71011

SR-BX-2013-065
34-71286 Jan. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: February 6, 2014


BX File Number List for 2013
Release No. Date Details

SR-BX-2014-054
34-73452 Oct. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policy
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2014-050
34-73446 Oct. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2014-048
34-73410 Oct. 23, 2014 Notice of Filing of a Proposed Rule Change to Establish the Retail Price Improvement Program On a Pilot Basis Expiring Twelve Months From the Date of Implementation
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2014-047
34-73305 Oct. 6, 2014 Notice of Filing of Proposed Rule Change to Amend Fees for Optional Wireless Connectivity for Co-located Clients
Comments due: October 31, 2014
Additional Materials: Exhibit 5

SR-BX-2014-045
34-73195 Sep. 23, 2014 Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: October 20, 2014
Additional Materials: Exhibit 5

SR-BX-2014-044
34-72994 Sep. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options
Comments due: October 1, 2014
Additional Materials: Exhibit 5

SR-BX-2014-042
34-72918 Aug. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Lead Market Maker Rules
Comments due: September 23, 2014
Additional Materials: Exhibit 5

SR-BX-2014-041
34-72964 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-BX-2014-039
34-72965 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-BX-2014-038
34-72700 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series
Comments due: August 26, 2014

SR-BX-2014-037
34-72712 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions
Comments due: August 26, 2014
Comments received are available for this proposal. -->

SR-BX-2014-036
34-72584 Jul. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Rebates for Various Options
Comments due: August 6, 2014
Additional Materials: Exhibit 5

SR-BX-2014-035
34-72883 Aug. 20, 2014 Order Approving Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker
Comments due: 21 days after publication in the Federal Register
34-72502 Jul. 1, 2014 Notice of Filing of Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker
Comments due: July 29, 2014
Additional Materials: Exhibit 5

SR-BX-2014-033
34-72406 Jun. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exercise Limits
Comments due: July 14, 2014
Additional Materials: Exhibit 5

SR-BX-2014-031
34-72386 Jun. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: July 10, 2014
Additional Materials: Exhibit 5

SR-BX-2014-029
34-72361 Jun. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Joint Back Office Pricing
Comments due: July 7, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2014-027
34-72246 May 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program
Comments due: June 20, 2014

SR-BX-2014-026
34-72239 May 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 20, 2014
Additional Materials: Exhibit 5

SR-BX-2014-025
34-72143 May 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to the Elimination of SPY Position Limits
Comments due: June 5, 2014
Additional Materials: Exhibit 5

SR-BX-2014-024
34-72149 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Consolidate Certain Committee Functions into the BX Review Council
Comments due: June 6, 2014

SR-BX-2014-023
34-72069 May 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Quarterly Options Series Program
Comments due: May 28, 2014
Additional Materials: Exhibit 5

SR-BX-2014-022
34-72041 Apr. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Text Related to Acceptable Trade Range in Chapter VI, Section 10 of the BX Options Rules
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-BX-2014-021
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
34-72053 Apr. 30, 2014 Notice of Filing of Proposed Rule Change to Add New Paragraphs (h) and (i) to Rule 11890, entitled "Clearly Erroneous Transactions" 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on April 17, 2014, NASDAQ OMX BX, Inc. ("BX" or "Exchange"), filed with the Securities and Exchange Commission ("Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-BX-2014-020
34-72104 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to Mini Options
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-BX-2014-019
34-71977 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing PHLX Proprietary Products
Comments due: May 16, 2014
Additional Materials: Exhibit 5

SR-BX-2014-018
34-71956 Apr. 16, 2014 Notice of Filing of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: May 13, 2014

SR-BX-2014-017
34-71900 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-BX-2014-015
34-71841 Apr. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Impose an Extranet Access Fee
Comments due: April 28, 2014

SR-BX-2014-014
34-71784 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-012
34-71696 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-011
34-71538 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Optional Anti-Internalization Functionality
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-010
34-71557 Feb. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014

SR-BX-2014-009
34-71526 Feb. 12, 2014 Notice of Filing of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-BX-2014-008
34-71506 Feb. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Not Charge the Extranet Access Fee
Comments due: March 6, 2014

SR-BX-2014-006
34-71460 Jan. 31, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Language Describing a Newly Adopted Credit Tier under Rule 7018
Comments due: February 27, 2014
Comments received are available for this proposal.

SR-BX-2014-005
34-71624 Feb. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of Fees for New Optional Means for Clients to Receive BX TotalView ITCH Market Data
Comments due: March 26, 2014

SR-BX-2014-004
34-71420 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: February 24, 2014

SR-BX-2014-003
34-71421 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/bx.shtml


Modified: 10/29/2014