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NASDAQ OMX BX, Inc. Rulemaking Archives: 2009

The Boston Stock Exchange has changed its name to NASDAQ OMX BX, Inc. All filings by NASDAQ OMX BX, Inc., will be posted to the BX page. Filings filed with "BSE" as part of the file number will be posted on the Boston Stock Exchange page.

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 2009

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-BX-2009-085
34-61271 Dec. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Nasdaq Execution Services
Comments due:  January 29, 2010

SR-BX-2009-086
34-61261 Dec. 30, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Minimum Trading Increments on the Boston Options Exchange Facility
Comments due:  January 29, 2010
Additional Materials:   Exhibit 5

SR-BX-2009-083
34-61229 Dec. 22, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Schedule of the Boston Options Exchange Facility
Comments due:  January 20, 2010
Additional Materials:   Exhibit 5

SR-BX-2009-079
34-61204 Dec. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-1002-1 to Reflect Changes to a Corresponding FINRA Rule
Comments due:  January 19, 2010
Additional Materials:   Exhibit 5

SR-BX-2009-081
34-61197 Dec. 17, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 1160 to Reflect the Availability of the FINRA Contact System to NASDAQ OMX BX Members That Are Not Also Members of FINRA
Comments due:  January 19, 2010

SR-BX-2009-078
34-61169 Dec. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend BOX Trading Rules Chapters III and XIV
Comments due:  January 12, 2010

SR-BX-2009-080
34-61129 Dec. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2330 and IM-2330 to Reflect Changes to Corresponding FINRA Rule
Comments due:  January 4, 2010

SR-BX-2009-074
34-61124 Dec. 7, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter XI (Communications with Public Customers)
Comments due:  January 4, 2010

SR-BX-2009-077
34-61112 Dec. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Several Market Data Products
Comments due:  December 31, 2009

SR-BX-2009-075
34-61073 Nov. 30, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Definition of Material Changes in Business Operations found in the Membership Rules and to Make a Technical Correction
Comments due:  December 28, 2009

SR-BX-2009-076
34-61065 Nov. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing the Exchange's Directed Order Process on the Boston Options Exchange
Comments due:  December 22, 2009

SR-BX-2009-073
34-61041 Nov. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the $1.00 Strike Program to Allow Low-Strike LEAPS on the Boston Options Exchange Facility
Comments due:  December 21, 2009

SR-BX-2009-072
34-61017 Nov. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of the Boston Options Exchange Facility
Comments due:  December 15, 2009

SR-BX-2009-070
34-60958 Nov. 6, 2009 Notice of Filing of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System
Comments due:  December 4, 2009
Additional Materials:   Exhibit 5

SR-BX-2009-069
34-60950 Nov. 6, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add 75 Classes to the Penny Pilot Program
Comments due:  December 4, 2009

SR-BX-2009-071
34-60934 Nov. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of the Boston Options Exchange Facility
Comments due:  December 3, 2009

SR-BX-2009-068
34-60894 Oct. 28, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due:  November 25, 2009

SR-BX-2009-067
34-60886 Oct. 27, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of and Expand the Penny Pilot Program on the Boston Options Exchange Facility
Comments due:  November 24, 2009

SR-BX-2009-055
34-60863 Oct. 22, 2009 Order Approving a Proposed Rule Change to Retroactively Correct an Error in Rule 7018
See also:   Notice: Rel. No. 34-60634

SR-BX-2009-061
34-60845 Oct. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Additional File Nos.:  SR-NASDAQ-2009-087, SR-Phlx-2009-88
Comments due:  November 16, 2009

SR-BX-2009-066
34-60832 Oct. 16, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Chapter XII of the BOX Rules
Comments due:  November 12, 2009

SR-BX-2009-062
34-60826 Oct. 14, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7015 Governing Access Services to Add an Additional Service and Related Fee, and to Make a Technical Change
Comments due:  November 12, 2009

SR-BX-2009-048
34-60818 Oct. 13, 2009 Order Approving a Proposed Rule Change to Amend the Grandfathered Rules of the Exchange
See also:   Notice: Rel. No. 34-60591

SR-BX-2009-063
34-60814 Oct. 13, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 on the Boston Options Exchange Facility
Comments due:  November 9, 2009

SR-BX-2009-059
34-60793 Oct. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Potential Payment Amounts Available Under Rule 4626
Comments due:  November 4, 2009

SR-BX-2009-060
34-60777 Oct. 2, 2009 Notice of Filing and Immediate Effectiveness of a Proposal to Amend Exchange Rule 11890 Governing Clearly Erroneous Executions
Comments due:  October 29, 2009
Third Quarter

SR-BX-2009-041
34-60686 Sep. 18, 2009 Order Approving a Proposed Rule Change to Eliminate Chapter V, Section 13 (Unusual Market Conditions) of the BOX Trading Rules and to Modify Related Rules
See also:   Notice: Rel. No. 34-60686

SR-BX-2009-043
34-60668 Sep. 14, 2009 Order Approving Proposed Rule Change to Extend a Holiday for Certain Registration and Processing Fees for Associated Persons
See also:   Notice: Rel. No. 34-60427

SR-BX-2009-053
34-60662 Sep. 11, 2009 Notice of Filing of Proposed Rule Change to Amend IM-2110-4 To Reflect Changes to a Corresponding FINRA Rule
Comments due:  October 13, 2009

SR-BX-2009-055
34-60634 Sep. 8, 2009 Notice of Filing of Proposed Rule Change to Retroactively Correct an Error in Rule 7018
Comments due:  October 8, 2009
See also:   Order: Rel. No. 34-60863

SR-BX-2009-052
34-60633 Sep. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Audit Trail Information
Comments due:  October 6, 2009

SR-BX-2009-058
34-60610 Sep. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility
Comments due:  September 29, 2009

SR-BX-2009-056
34-60609 Sep. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility
Comments due:  September 29, 2009

SR-BX-2009-049
34-60603 Sep. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Error in Rule 7018
Comments due:  September 29, 2009

SR-BX-2009-057
34-60596 Aug. 31, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Group, LLC
Comments due:  September 29, 2009

SR-BX-2009-050
34-60592 Aug. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System
Comments due:  September 29, 2009

SR-BX-2009-048
34-60591 Aug. 31, 2009 Notice of Filing of Proposed Rule Change to amend the Grandfathered Rules of the Exchange
Comments due:  September 29, 2009
See also:   Order: Rel. No. 34-60818

SR-BX-2009-051
34-60571 Aug. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Flash and Cancel Orders
Comments due:  September 23, 2009

SR-BX-2009-028
34-60530 Aug. 18, 2009 Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt Rules to Implement the Options Order Protection and Locked/Crossed Market Plan
See also:   Notice: Rel. No. 34-60158

SR-BX-2009-047
34-60504 Aug. 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility
Comments due:  September 14, 2009

SR-BX-2009-046
34-60503 Aug. 14, 2009 Notice of Filing of Proposed Rule Change to Further Extend the Temporary Cap on Certain Fees for Members
Comments due:  September 11, 2009

SR-BX-2009-041
34-60465 Aug. 10, 2009 Notice of Filing of Proposed Rule Change To Eliminate Chapter V, Section 13 (Unusual Market Conditions) of the BOX Trading Rules and to Modify Related Rules
Comments due:  September 8, 2009
See also:   Order: Rel. No. 34-60686

SR-BX-2009-044
34-60444 Aug. 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility to Implement the Non-Penny Pilot Class Pricing Structure
Comments due:  September 1, 2009

SR-BX-2009-043
34-60427 Aug. 4, 2009 Notice of Filing of Proposed Rule Change to Extend Fee Holiday for Registration of Associated Persons
Comments due:  August 31, 2009
See also:   Order: Rel. No. 34-60668

SR-BX-2009-045
34-60416 Jul. 31, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Group, LLC
Comments due:  August 31, 2009

SR-BX-2009-042
34-60383 Jul. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due:  August 20, 2009

SR-BX-2009-040
34-60358 Jul. 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Amending the By-Laws of The NASDAQ OMX Group, Inc., Their Parent Company
Additional File No.:  SR-Phlx-2009-60
Comments due:  August 18, 2009

SR-BX-2009-035
34-60349 Jul. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Procedures to Prevent Information Advantages Resulting From the Affiliation Between BOX and NOS
Comments due:  August 17, 2009

SR-BX-2009-038
34-60337 Jul. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program That Allows for No Minimum Size Order Requirement for the Price Improvement Period Process on the Boston Options Exchange Facility
Comments due:  August 14, 2009

SR-BX-2009-037
34-60270 Jul. 9, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Quarterly Options Series Pilot Program on the Boston Options Exchange Facility
Comments due:  August 7, 2009

SR-BX-2009-036
34-60257 Jul. 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Extend the Temporary Cap on Certain Fees for Members
Comments due:  August 4, 2009

SR-BX-2009-021
34-60247 Jul. 6, 2009 Order Approving Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc.
See also:   Notice: Rel. No. 34-59908

SR-BX-2009-031
34-60246 Jul. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Optional Anti-Internalization Functionality
Comments due:  August 4, 2009

SR-BX-2009-033
34-60221 Jul. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the BOX Fee Schedule to Remove Three Classes From the Liquidity Make or Take Pricing Structure
Comments due:  July 30, 2009

SR-BX-2009-032
34-60213 Jul. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program on the Boston Options Exchange Facility
Comments due:  July 30, 2009
Comments received are available for this notice.
Second Quarter

SR-BX-2009-034
34-60198 Jun. 30, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility
Comments due:  July 28, 2009

SR-BX-2009-030
34-60174 Jun. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program for Linkage Fees on the Boston Options Exchange Facility
Comments due:  July 27, 2009

SR-BX-2009-029
34-60165 Jun. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Flash and Cancel Order
Comments due:  July 31, 2009

SR-BX-2009-025
34-60163 Jun. 23, 2009 Order Approving Proposed Rule Change to Retroactively Amend the Fee Schedule to Clarify and Correct References to the Volume Discount Given to Market Makers
See also:   Notice: Rel. No. 34-59919

SR-BX-2009-028
34-60158 Jun. 22, 2009 Notice of Filing of Proposed Rule Change to Adopt Rules to Implement the Options Order Protection and Locked/Crossed Market Plan
Comments due:  July 20, 2009
See also:   Order: Rel. No. 34-60530

SR-BX-2009-020
34-60026 Jun. 2, 2009 Order Approving Proposed Rule Change Regarding Market Maker Obligations
See also:   Notice: Rel. No. 34-59804

SR-BX-2009-026
34-59999 May 28, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing
Comments due:  June 25, 2009

SR-BX-2009-027
34-59983 May 27, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing Exchange's Directed Order Process on the Boston Options Exchange Comments due:  June 23, 2009

SR-BX-2009-025
34-59919 May 14, 2009 Notice of Filing of Proposed Rule Change to Retroactively Amend the Fee Schedule to Clarify and Correct References to the Volume Discount Given to Market Makers
Comments due:  June 11, 2009
See also:   Order: Rel. No. 34-60163

SR-BX-2009-024
34-59918 May 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Clerical Corrections of the Rules of the Boston Options Exchange Facility
Comments due:  June 11, 2009

SR-BX-2009-021
34-59908 May 12, 2009 Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc.
Comments due:  June 9, 2009
See also:   Order: Rel. No. 34-60247

SR-BX-2009-023
34-59894 May 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Implement a Cap on Certain Fees for Members
Comments due:  June 5, 2009

SR-BX-2009-022
34-59865 May 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Volume Discount Given to Market Makers
Comments due:  June 2, 2009

SR-BX-2009-020
34-59804 Apr. 21, 2009 Notice of Filing of Proposed Rule Change Regarding Market Maker Obligations
Comments due:  May 19, 2009
See also:   Order: Rel. No. 34-60026

SR-BX-2009-019
34-59773 Apr. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due:  May 13, 2009
Additional File Nos.:   SR-NASDAQ-2009-032, SR-Phlx-2009-31

SR-BX-2009-014
34-59742 Apr. 9, 2009 Order Approving a Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility
See also:   Notice: Rel. No. 34-59475

SR-BX-2009-018
34-59682 Apr. 1, 2009 Notice of Filing of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System
Comments due:  April 29, 2009
First Quarter

SR-BX-2009-008
34-59654 Mar. 30, 2009 Order Approving Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer
See also:   Notice: Rel. No. 34-59407

SR-BX-2009-015
34-59638 Mar. 27, 2009 Order Granting Accelerated Approval of Proposed Rule Change Relating to Reduction of Certain Order Handling and Exposure Periods on the Boston Options Exchange Facility from Three Seconds to One Second
See also:   Notice: Rel. No. 34-59497

SR-BX-2009-017
34-59629 Mar. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program on the Boston Options Exchange Facility
Comments due:  April 23, 2009

SR-BX-2009-005
34-59615 Mar. 20, 2009 Order Approving Proposed Rule Change To Establish New Fees for Services Available to Members and Non-Members
See also:   Notice: Rel. No. 34-59307

SR-BX-2009-016
34-59589 Mar. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the $1 Strike Price Program on the Boston Options Exchange Facility
Comments due:  April 14, 2009

SR-BX-2009-015
34-59497 Mar. 4, 2009 Notice of Filing of Proposed Rule Change Relating to Order Handling and Exposure Periods on the Boston Options Exchange Facility
Comments due:  March 26, 2009
See also:   Order: Rel. No. 34-59638

SR-BX-2009-014
34-59475 Feb. 27, 2009 Notice of Filing of Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility
Comments due:  March 27, 2009
See also:   Order: Rel. No. 34-59742

SR-BX-2009-009
34-59460 Feb. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due:  March 27, 2009
Additional File Nos.:   SR-NASDAQ-2009-010, SR-Phlx-2009-14

SR-BX-2009-12
34-59452 Feb. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ OMX BX Equities System
Comments due:  March 25, 2009

SR-BX-2009-011
34-59419 Feb. 19, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series on the Boston Options Exchange Facility
Comments due:  March 18, 2009

SR-BX-2009-008
34-59407 Feb. 13, 2009 Notice of Filing of Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer
Comments due:  March 16, 2009
See also:   Order: Rel. No. 34-59654

SR-BX-2009-006
34-59341 Feb. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elminate the Market Hours Day Time-in-Force
Comments due:  March 2, 2009

SR-BX-2009-004
34-59337 Feb. 2, 2009 Notice of Filing of Proposed Rule Change to Establish Fees for Members
Comments due:  March 2, 2009

SR-BX-2009-002
34-59323 Jan. 30, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market
Comments due:  February 26, 2009

SR-BX-2009-007
34-59311 Jan. 28, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing Exchange’s Directed Order Process on the Boston Options Exchange Comments due:  February 25, 2009

SR-BX-2009-005
34-59307 Jan. 28, 2009 Notice of Filing of Proposed Rule Change To Establish New Fees for Services Available to Members and Non-Members
Comments due:  February 25, 2009
See also:   Order: Rel. No. 34-59615

SR-BX-2009-001
34-59261 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deferring Operation of its Listing Standards for Primary Listings and Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges
Comments due:  February 17, 2009

SR-BX-2009-003
34-59259 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Post-Only Order
Comments due:  February 17, 2009


BX File Number List for 2009

Release No. Date Details

SR-BX-2009-088
34-61342 Jan. 13, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Schedule of the Boston Options Exchange Facility
Comments due:  February 11, 2010
Additional Materials:   Exhibit 5

SR-BX-2009-087
34-61298 Jan. 6, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 2240 and 2250 To Reflect Changes to Corresponding FINRA Rules
Comments due:  February 4, 2010
Additional Materials:   Exhibit 5

SR-BX-2009-086
34-61261 Dec. 30, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Minimum Trading Increments on the Boston Options Exchange Facility
Comments due:  January 29, 2010
Additional Materials:   Exhibit 5

SR-BX-2009-085
34-61271 Dec. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Nasdaq Execution Services
Comments due:  January 29, 2010

SR-BX-2009-083
34-61229 Dec. 22, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Schedule of the Boston Options Exchange Facility
Comments due:  January 20, 2010
Additional Materials:   Exhibit 5

SR-BX-2009-082
34-61283 Jan. 4, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Facilitate Annual Membership Billing Conducted by BX Using the FINRA CRD System
Comments due:  February 1, 2010

SR-BX-2009-081
34-61197 Dec. 17, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 1160 to Reflect the Availability of the FINRA Contact System to NASDAQ OMX BX Members That Are Not Also Members of FINRA
Comments due:  January 19, 2010

SR-BX-2009-080
34-61129 Dec. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2330 and IM-2330 to Reflect Changes to Corresponding FINRA Rule
Comments due:  January 4, 2010

SR-BX-2009-079
34-61204 Dec. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-1002-1 to Reflect Changes to a Corresponding FINRA Rule
Comments due:  January 19, 2010
Additional Materials:   Exhibit 5

SR-BX-2009-078
34-61169 Dec. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend BOX Trading Rules Chapters III and XIV
Comments due:  January 12, 2010

SR-BX-2009-077
34-61112 Dec. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Several Market Data Products
Comments due:  December 31, 2009

SR-BX-2009-076
34-61065 Nov. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing the Exchange's Directed Order Process on the Boston Options Exchange
Comments due:  December 22, 2009

SR-BX-2009-075
34-61073 Nov. 30, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Definition of Material Changes in Business Operations found in the Membership Rules and to Make a Technical Correction
Comments due:  December 28, 2009

SR-BX-2009-074
34-61124 Dec. 7, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter XI (Communications with Public Customers)
Comments due:  January 4, 2010

SR-BX-2009-073
34-61041 Nov. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the $1.00 Strike Program to Allow Low-Strike LEAPS on the Boston Options Exchange Facility
Comments due:  December 21, 2009

SR-BX-2009-072
34-61017 Nov. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of the Boston Options Exchange Facility
Comments due:  December 15, 2009

SR-BX-2009-071
34-60934 Nov. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of the Boston Options Exchange Facility
Comments due:  December 3, 2009

SR-BX-2009-070
34-60958 Nov. 6, 2009 Notice of Filing of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System
Comments due:  December 4, 2009
Additional Materials:   Exhibit 5

SR-BX-2009-069
34-60950 Nov. 6, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add 75 Classes to the Penny Pilot Program
Comments due:  December 4, 2009

SR-BX-2009-068
34-60894 Oct. 28, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due:  November 25, 2009

SR-BX-2009-067
34-60886 Oct. 27, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of and Expand the Penny Pilot Program on the Boston Options Exchange Facility
Comments due:  November 24, 2009

SR-BX-2009-066
34-60832 Oct. 16, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Chapter XII of the BOX Rules
Comments due:  November 12, 2009

SR-BX-2009-063
34-60814 Oct. 13, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 on the Boston Options Exchange Facility
Comments due:  November 9, 2009

SR-BX-2009-062
34-60826 Oct. 14, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7015 Governing Access Services to Add an Additional Service and Related Fee, and to Make a Technical Change
Comments due:  November 12, 2009

SR-BX-2009-061
34-60845 Oct. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Additional File Nos.:  SR-NASDAQ-2009-087, SR-Phlx-2009-88
Comments due:  November 16, 2009

SR-BX-2009-060
34-60777 Oct. 2, 2009 Notice of Filing and Immediate Effectiveness of a Proposal to Amend Exchange Rule 11890 Governing Clearly Erroneous Executions
Comments due:  October 29, 2009

SR-BX-2009-059
34-60793 Oct. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Potential Payment Amounts Available Under Rule 4626
Comments due:  November 4, 2009

SR-BX-2009-058
34-60610 Sep. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility
Comments due:  September 29, 2009

SR-BX-2009-057
34-60596 Aug. 31, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Group, LLC
Comments due:  September 29, 2009

SR-BX-2009-056
34-60609 Sep. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility
Comments due:  September 29, 2009

SR-BX-2009-055
34-60863 Oct. 22, 2009 Order Approving a Proposed Rule Change to Retroactively Correct an Error in Rule 7018
34-60634 Sep. 8, 2009 Notice of Filing of Proposed Rule Change to Retroactively Correct an Error in Rule 7018
Comments due:  October 8, 2009

SR-BX-2009-053
34-60662 Sep. 11, 2009 Notice of Filing of Proposed Rule Change to Amend IM-2110-4 To Reflect Changes to a Corresponding FINRA Rule
Comments due:  October 13, 2009

SR-BX-2009-052
34-60633 Sep. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Audit Trail Information
Comments due:  October 6, 2009

SR-BX-2009-051
34-60571 Aug. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Flash and Cancel Orders
Comments due:  September 23, 2009

SR-BX-2009-050
34-60592 Aug. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System
Comments due:  September 29, 2009

SR-BX-2009-049
34-60603 Sep. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Error in Rule 7018
Comments due:  September 29, 2009

SR-BX-2009-048
34-60818 Oct. 13, 2009 Order Approving a Proposed Rule Change to Amend the Grandfathered Rules of the Exchange
34-60591 Aug. 31, 2009 Notice of Filing of Proposed Rule Change to amend the Grandfathered Rules of the Exchange
Comments due:  September 29, 2009

SR-BX-2009-047
34-60504 Aug. 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility
Comments due:  September 14, 2009

SR-BX-2009-046
34-60503 Aug. 14, 2009 Notice of Filing of Proposed Rule Change to Further Extend the Temporary Cap on Certain Fees for Members
Comments due:  September 11, 2009

SR-BX-2009-045
34-60416 Jul. 31, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Group, LLC
Comments due:  August 31, 2009

SR-BX-2009-044
34-60444 Aug. 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility to Implement the Non-Penny Pilot Class Pricing Structure
Comments due:  September 1, 2009

SR-BX-2009-043
34-60668 Sep. 14, 2009 Order Approving Proposed Rule Change to Extend a Holiday for Certain Registration and Processing Fees for Associated Persons
34-60427 Aug. 4, 2009 Notice of Filing of Proposed Rule Change to Extend Fee Holiday for Registration of Associated Persons
Comments due:  August 31, 2009

SR-BX-2009-042
34-60383 Jul. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due:  August 20, 2009

SR-BX-2009-041
34-60686 Sep. 18, 2009 Order Approving a Proposed Rule Change to Eliminate Chapter V, Section 13 (Unusual Market Conditions) of the BOX Trading Rules and to Modify Related Rules
34-60465 Aug. 10, 2009 Notice of Filing of Proposed Rule Change To Eliminate Chapter V, Section 13 (Unusual Market Conditions) of the BOX Trading Rules and to Modify Related Rules
Comments due:  September 8, 2009

SR-BX-2009-040
34-60358 Jul. 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Amending the By-Laws of The NASDAQ OMX Group, Inc., Their Parent Company
Additional File No.:  SR-Phlx-2009-60
Comments due:  August 18, 2009

SR-BX-2009-038
34-60337 Jul. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program That Allows for No Minimum Size Order Requirement for the Price Improvement Period Process on the Boston Options Exchange Facility
Comments due:  August 14, 2009

SR-BX-2009-037
34-60270 Jul. 9, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Quarterly Options Series Pilot Program on the Boston Options Exchange Facility
Comments due:  August 7, 2009

SR-BX-2009-036
34-60257 Jul. 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Extend the Temporary Cap on Certain Fees for Members
Comments due:  August 4, 2009

SR-BX-2009-035
34-60349 Jul. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Procedures to Prevent Information Advantages Resulting From the Affiliation Between BOX and NOS
Comments due:  August 17, 2009

SR-BX-2009-034
34-60198 Jun. 30, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility
Comments due:  July 28, 2009

SR-BX-2009-033
34-60221 Jul. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the BOX Fee Schedule to Remove Three Classes From the Liquidity Make or Take Pricing Structure
Comments due:  July 30, 2009

SR-BX-2009-032
34-60213 Jul. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program on the Boston Options Exchange Facility
Comments due:  July 30, 2009
Comments received are available for this notice.

SR-BX-2009-031
34-60246 Jul. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Optional Anti-Internalization Functionality
Comments due:  August 4, 2009

SR-BX-2009-030
34-60174 Jun. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program for Linkage Fees on the Boston Options Exchange Facility
Comments due:  July 27, 2009

SR-BX-2009-029
34-60165 Jun. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Flash and Cancel Order
Comments due:  July 31, 2009

SR-BX-2009-028
34-60530 Aug. 18, 2009 Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt Rules to Implement the Options Order Protection and Locked/Crossed Market Plan
34-60158 Jun. 22, 2009 Notice of Filing of Proposed Rule Change to Adopt Rules to Implement the Options Order Protection and Locked/Crossed Market Plan
Comments due:  July 20, 2009

SR-BX-2009-027
34-59983 May 27, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing Exchange's Directed Order Process on the Boston Options Exchange Comments due:  June 23, 2009

SR-BX-2009-026
34-59999 May 28, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing
Comments due:  June 25, 2009

SR-BX-2009-025
34-60163 Jun. 23, 2009 Order Approving Proposed Rule Change to Retroactively Amend the Fee Schedule to Clarify and Correct References to the Volume Discount Given to Market Makers
34-59919 May 14, 2009 Notice of Filing of Proposed Rule Change to Retroactively Amend the Fee Schedule to Clarify and Correct References to the Volume Discount Given to Market Makers
Comments due:  June 11, 2009

SR-BX-2009-024
34-59918 May 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Clerical Corrections of the Rules of the Boston Options Exchange Facility
Comments due:  June 11, 2009

SR-BX-2009-023
34-59894 May 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Implement a Cap on Certain Fees for Members
Comments due:  June 5, 2009

SR-BX-2009-022
34-59865 May 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Volume Discount Given to Market Makers
Comments due:  June 2, 2009

SR-BX-2009-021
34-60247 Jul. 6, 2009 Order Approving Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc.
34-59908 May 12, 2009 Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc.
Comments due:  June 9, 2009

SR-BX-2009-020
34-60026 Jun. 2, 2009 Order Approving Proposed Rule Change Regarding Market Maker Obligations
34-59804 Apr. 21, 2009 Notice of Filing of Proposed Rule Change Regarding Market Maker Obligations
Comments due:  May 19, 2009

SR-BX-2009-019
34-59773 Apr. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due:  May 13, 2009
Additional File Nos.:   SR-NASDAQ-2009-032, SR-Phlx-2009-31

SR-BX-2009-018
34-59682 Apr. 1, 2009 Notice of Filing of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System
Comments due:  April 29, 2009

SR-BX-2009-017
34-59629 Mar. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program on the Boston Options Exchange Facility
Comments due:  April 23, 2009

SR-BX-2009-016
34-59589 Mar. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the $1 Strike Price Program on the Boston Options Exchange Facility
Comments due:  April 14, 2009

SR-BX-2009-015
34-59638 Mar. 27, 2009 Order Granting Accelerated Approval of Proposed Rule Change Relating to Reduction of Certain Order Handling and Exposure Periods on the Boston Options Exchange Facility from Three Seconds to One Second
34-59497 Mar. 4, 2009 Notice of Filing of Proposed Rule Change Relating to Order Handling and Exposure Periods on the Boston Options Exchange Facility
Comments due:  March 26, 2009

SR-BX-2009-014
34-59742 Apr. 9, 2009 Order Approving a Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility
34-59475 Feb. 27, 2009 Notice of Filing of Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility
Comments due:  March 27, 2009

SR-BX-2009-12
34-59452 Feb. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ OMX BX Equities System
Comments due:  March 25, 2009

SR-BX-2009-011
34-59419 Feb. 19, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series on the Boston Options Exchange Facility
Comments due:  March 18, 2009

SR-BX-2009-009
34-59460 Feb. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due:  March 27, 2009
Additional File Nos.:   SR-NASDAQ-2009-010, SR-Phlx-2009-14

SR-BX-2009-008
34-59654 Mar. 30, 2009 Order Approving Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer
34-59407 Feb. 13, 2009 Notice of Filing of Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer
Comments due:  March 16, 2009

SR-BX-2009-007
34-59311 Jan. 28, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing Exchange’s Directed Order Process on the Boston Options Exchange Comments due:  February 25, 2009

SR-BX-2009-006
34-59341 Feb. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elminate the Market Hours Day Time-in-Force
Comments due:  March 2, 2009

SR-BX-2009-005
34-59615 Mar. 20, 2009 Order Approving Proposed Rule Change To Establish New Fees for Services Available to Members and Non-Members
34-59307 Jan. 28, 2009 Notice of Filing of Proposed Rule Change To Establish New Fees for Services Available to Members and Non-Members
Comments due:  February 25, 2009

SR-BX-2009-004
34-59337 Feb. 2, 2009 Notice of Filing of Proposed Rule Change to Establish Fees for Members
Comments due:  March 2, 2009

SR-BX-2009-003
34-59259 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Post-Only Order
Comments due:  February 17, 2009

SR-BX-2009-002
34-59323 Jan. 30, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market
Comments due:  February 26, 2009

SR-BX-2009-001
34-59261 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deferring Operation of its Listing Standards for Primary Listings and Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges
Comments due:  February 17, 2009

 

http://www.sec.gov/rules/sro/bx/bxarchive/bxarchive2009.shtml


Modified: 07/15/2014