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NASDAQ OMX BX, Inc. Rulemaking Archives: 2013

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-2013-063
34-71197 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Extranet Access Fee
Comments due: January 27, 2014
* Submit comments on SR-BX-2013-063

SR-BX-2013-064
34-71168 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in BX Rule 4751(b)
Comments due: January 17, 2014
* Submit comments on SR-BX-2013-064

SR-BX-2013-061
34-71107 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program
Comments due: January 13, 2014
Comments received are available for this proposal.
* Submit comments on SR-BX-2013-061

SR-BX-2013-059
34-71055 Dec. 12, 2013 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: January 8, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-BX-2013-059

SR-BX-2013-060
34-71039 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: January 7, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-060

SR-BX-2013-058
34-71035 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under Rule 7030(d) for Use of the Carteret Testing Facility Test Environment
Comments due: January 7, 2014
* Submit comments on SR-BX-2013-058

SR-BX-2013-057
34-71011 Dec. 6, 2013 Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: January 2, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-71353

SR-BX-2013-016
34-70756 Oct. 25, 2013 Order Disapproving Proposed Rule Change to Adopt a Directed Order Process
See also: Notice: Rel. No. 34-70295, Notice: Rel. No. 34-69684, Notice: Rel. No. 34-69040

SR-BX-2013-055
34-70746 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts
Comments due: November 19, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-055

SR-BX-2013-054
34-70655 Oct. 10, 2013 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 Greater
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-054
Third Quarter

SR-BX-2013-047
34-70568 Sep. 30, 2013 Order Approving a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
See also: Notice: Rel. No. 34-70158

SR-BX-2013-053
34-70542 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: October 24, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-053

SR-BX-2013-052
34-70539 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Certain Options Symbols
Comments due: October 24, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-052

SR-BX-2013-051
34-70339 Sep. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed for Connectivity to the Exchange Under Rule 7015 and Amend the Fees Assessed and Credits Paid Under Exchange Rule 7018(a)
Comments due: October 3, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-051

SR-BX-2013-049
34-70311 Sep. 4, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 1120 and Adopt a Corresponding Fee
Comments due: October 1, 2013
* Submit comments on SR-BX-2013-049

SR-BX-2013-016
34-70295 Aug. 30, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process
See also: Order: Rel. No. 34-70756, Notice: Rel. No. 34-69684, Notice: Rel. No. 34-69040

SR-BX-2013-050
34-70258 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: September 20, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-050

SR-BX-2013-048
34-70160 Aug. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX Connectivity Options and Fees
Comments due: September 6, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-048

SR-BX-2013-047
34-70158 Aug. 12, 2013 Notice of Filing of a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
Comments due: September 6, 2013
See also: Order: Rel. No. 34-70568

SR-BX-2013-044
34-70114 Aug. 5, 2013 Notice of Filing of Proposed Rule Change to Its Excess Order Fee under Rule 7018(d)
Comments due: August 30, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-044

SR-BX-2013-043
34-70111 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: August 30, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-043

SR-BX-2013-045
34-70107 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Comments due: August 30, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-045

SR-BX-2013-046
34-70095 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Options Fees and Rebates
Comments due: August 29, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-046

SR-BX-2013-042
34-70062 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Nullification of Trades Involving Catastrophic Errors
Comments due: August 26, 2013
* Submit comments on SR-BX-2013-042
Second Quarter

SR-BX-2013-036
34-69837 Jun. 24, 2013 Order Approving a Proposed Rule Change for Permanent Approval of a Pilot to Permit BX Options to Accept Inbound Options Orders from NASDAQ OMX PHLX LLC and NASDAQ Options Market
See also: Notice: Rel. No. 34-69576

SR-BX-2013-040
34-69821 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Chapter XV of the BX Options Rules
Comments due: July 18, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2013-041
34-69818 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4120 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on BX
Comments due: July 18, 2013
Additional Materials: Exhibit 5

SR-BX-2013-039
34-69784 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 15, 2013

SR-BX-2013-038
34-69753 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More under Rule 7018
Comments due: July 10, 2013
Additional Materials: Exhibit 5

SR-BX-2013-016
34-69684 Jun. 3, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process
Comments due: July 1, 2013
Rebuttal comments due: July 15, 2013
See also: Order: Rel. No. 34-70756, Notice: Rel. No. 34-70295, Notice: Rel. No. 34-69040
Comments received are available for this proposal.

SR-BX-2013-037
34-69677 May 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Fees and Rebates
Comments due: June 27, 2013
Additional Materials: Exhibit 5

SR-BX-2013-029
34-69607 May 20, 2013 Order Approving Proposed Rule Change Relating to Board of Director Qualifications
See also: Notice: Rel. No. 34-69280

SR-BX-2013-036
34-69576 May 15, 2013 Notice of Filing of Proposed Rule Change for Permanent Approval of a Pilot to Permit BX Options to Accept Inbound Options Orders from NASDAQ OMX PHLX LLC and NASDAQ Options Services LLC
Comments due: June 11, 2013
See also: Order: Rel. No. 34-69837

SR-BX-2013-035
34-69549 May 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct BX Rule 2140(c)
Comments due: June 5, 2013

SR-BX-2013-033
34-69525 May 6, 2013 Notice of Filing of Proposed Rule Change to Amend BX Rule 4756 and Rule 4763 to Stipulate How Participants in the NASDAQ OMX BX Equities Market May Modify Previously Entered Orders and to Describe How Modified Orders are Processed
Comments due: May 31, 2013
* Submit comments on SR-BX-2013-033

SR-BX-2013-034
34-69522 May 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filed by NASDAQ OMX BX, Inc. to its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More Under Rule 7018
Comments due: May 31, 2013
Additional Materials: Exhibit 5

SR-BX-2013-031
34-69456 Apr. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text
Comments due: May 22, 2013
Additional Materials: Exhibit 5

SR-BX-2013-030
34-69392 Apr. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 16, 2013
Additional Materials: Exhibit 5

SR-BX-2013-026
34-69343 Apr. 8, 2013 Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
See also: Notice: Rel. No. 34-69140

SR-BX-2013-022
34-69334 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
See also: Notice: Rel. No. 34-69070

SR-BX-2013-029
34-69280 Apr. 2, 2013 Notice of Filing of Proposed Rule Change Relating to Board of Director Qualifications
Comments due: April 29, 2013
See also: Order: Rel. No. 34-69607
First Quarter

SR-BX-2013-013
34-69232 Mar. 25, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Receive Inbound Orders Routed by NASDAQ Execution Services LLC from PSX
See also: Notice: Rel. No. 34-68890

SR-BX-2013-023
34-69230 Mar. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 23, 2013
Additional Materials: Exhibit 5

SR-BX-2013-025
34-69219 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 4120
Comments due: April 18, 2013
Additional Materials: Exhibit 5

SR-BX-2013-028
34-69184 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 16, 2013
Additional Materials: Exhibit 5

SR-BX-2013-024
34-69179 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits
Comments due: April 15, 2013
Additional Materials: Exhibit 5

SR-BX-2013-026
34-69140 Mar. 15, 2013 Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
Comments due: April 4, 2013
See also: Order: Rel. No. 34-69343
Comments received are available for this proposal.

SR-BX-2013-021
34-69119 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Chapter V, Section 3(d) and (e)
Comments due: April 8, 2013

SR-BX-2013-020
34-69071 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors
Comments due: April 4, 2013

SR-BX-2013-022
34-69070 Mar. 7, 2013 Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
Comments due: March 29, 2013
See also: Order: Rel. No. 34-69334

SR-BX-2013-019
34-69053 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Routing
Comments due: April 3, 2013
Additional Materials: Exhibit 5

SR-BX-2013-018
34-69041 Mar. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for Managed Data Solutions (MDS)
Comments due: April 2, 2013
Additional Materials: Exhibit 5

SR-BX-2013-016
34-69040 Mar. 5, 2013 Notice of Filing of Proposed Rule Change to Adopt a Directed Order Process
Comments due: April 1, 2013
See also: Order: Rel. No. 34-70756, Notice: Rel. No. 34-70295, Notice: Rel. No. 34-69684
Comments received are available for this proposal.

SR-BX-2013-017
34-68977 Feb. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments due: March 25, 2013
Additional Materials: Exhibit 5

SR-BX-2013-014
34-68950 Feb. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 19, 2013
Additional Materials: Exhibit 5

SR-BX-2013-012
34-68916 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013

SR-BX-2013-011
34-68909 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Execution
Comments due: March 13, 2013

SR-BX-2013-013
34-68890 Feb. 8, 2013 Notice of Filing of Proposed Rule Change Requesting Permanent Approval of a Pilot Program to Receive Inbound Equities Orders from PSX through NES
Comments due: March 7, 2013
See also: Order: Rel. No. 34-69232

SR-BX-2013-008
34-68840 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Routing Functionality to the NASDAQ OMX BX Equities Market
Comments due: March 5, 2013

SR-BX-2012-075
34-68823 Feb. 4, 2013 Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2012-002, SR-NASDAQ-2012-142, SR-Phlx-2012-142, SR-SCCP-2012-02
See also: Notice: Rel. No. 34-68514

SR-BX-2013-010
34-68818 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: February 28, 2013
Additional Materials: Exhibit 5

SR-BX-2013-009
34-68815 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the delay of the operative date of a rule change to Exchange Rule 4121
Comments due: March 4, 2013

SR-BX-2013-005
34-68717 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials: Exhibit 5

SR-BX-2013-006
34-68719 Jan. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials: Exhibit 5

SR-BX-2012-063
34-68641 Jan. 11, 2013 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Listing Rules for Compensation Committees to Comply with Rule 10C-1 under the Act and Make Other Related Changes
Comments due: February 12, 2013
See also:  Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68018

SR-BX-2013-003
34-68625 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees Assessed for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials: Exhibit 5

SR-BX-2013-002
34-68608 Jan. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials: Exhibit 5

SR-BX-2012-074
34-68556 Jan. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot Options Fees
Comments due: January 29, 2013
Additional Materials: Exhibit 5


BX File Number List for 2013
Release No. Date Details

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
* Submit comments on SR-BX-2013-065

SR-BX-2013-064
34-71168 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in BX Rule 4751(b)
Comments due: 21 days after publication in the Federal Register
* Submit comments on SR-BX-2013-064

SR-BX-2013-063
34-71197 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Extranet Access Fee
Comments due: January 27, 2014
* Submit comments on SR-BX-2013-063

SR-BX-2013-061
34-71107 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program
Comments due: January 13, 2014
Comments received are available for this proposal.
* Submit comments on SR-BX-2013-061

SR-BX-2013-060
34-71039 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: January 7, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-060

SR-BX-2013-059
34-71055 Dec. 12, 2013 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: January 8, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-BX-2013-059

SR-BX-2013-058
34-71035 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under Rule 7030(d) for Use of the Carteret Testing Facility Test Environment
Comments due: January 7, 2014
* Submit comments on SR-BX-2013-058

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
34-71011 Dec. 6, 2013 Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: January 2, 2014
Additional Materials: Exhibit 5

SR-BX-2013-055
34-70746 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts
Comments due: November 19, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-055

SR-BX-2013-054
34-70655 Oct. 10, 2013 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 Greater
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-054

SR-BX-2013-053
34-70542 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: October 24, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-053

SR-BX-2013-052
34-70539 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Certain Options Symbols
Comments due: October 24, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-052

SR-BX-2013-051
34-70339 Sep. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed for Connectivity to the Exchange Under Rule 7015 and Amend the Fees Assessed and Credits Paid Under Exchange Rule 7018(a)
Comments due: October 3, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-051

SR-BX-2013-050
34-70258 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: September 20, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-050

SR-BX-2013-049
34-70311 Sep. 4, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 1120 and Adopt a Corresponding Fee
Comments due: October 1, 2013
* Submit comments on SR-BX-2013-049

SR-BX-2013-048
34-70160 Aug. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX Connectivity Options and Fees
Comments due: September 6, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-048

SR-BX-2013-047
34-70568 Sep. 30, 2013 Order Approving a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
See also: Notice: Rel. No. 34-70158
34-70158 Aug. 12, 2013 Notice of Filing of a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
Comments due: September 6, 2013

SR-BX-2013-046
34-70095 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Options Fees and Rebates
Comments due: August 29, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-046

SR-BX-2013-045
34-70107 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Comments due: August 30, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-045

SR-BX-2013-044
34-70114 Aug. 5, 2013 Notice of Filing of Proposed Rule Change to Its Excess Order Fee under Rule 7018(d)
Comments due: August 30, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-044

SR-BX-2013-043
34-70111 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: August 30, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BX-2013-043

SR-BX-2013-042
34-70062 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Nullification of Trades Involving Catastrophic Errors
Comments due: August 26, 2013
* Submit comments on SR-BX-2013-042

SR-BX-2013-041
34-69818 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4120 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on BX
Comments due: July 18, 2013
Additional Materials: Exhibit 5

SR-BX-2013-040
34-69821 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Chapter XV of the BX Options Rules
Comments due: July 18, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2013-039
34-69784 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 15, 2013

SR-BX-2013-038
34-69753 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More under Rule 7018
Comments due: July 10, 2013
Additional Materials: Exhibit 5

SR-BX-2013-037
34-69677 May 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Fees and Rebates
Comments due: June 27, 2013
Additional Materials: Exhibit 5

SR-BX-2013-036
34-69837 Jun. 24, 2013 Order Approving a Proposed Rule Change for Permanent Approval of a Pilot to Permit BX Options to Accept Inbound Options Orders from NASDAQ OMX PHLX LLC and NASDAQ Options Market
34-69576 May 15, 2013 Notice of Filing of Proposed Rule Change for Permanent Approval of a Pilot to Permit BX Options to Accept Inbound Options Orders from NASDAQ OMX PHLX LLC and NASDAQ Options Services LLC
Comments due: June 11, 2013

SR-BX-2013-035
34-69549 May 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct BX Rule 2140(c)
Comments due: June 5, 2013

SR-BX-2013-034
34-69522 May 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filed by NASDAQ OMX BX, Inc. to its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More Under Rule 7018
Comments due: May 31, 2013
Additional Materials: Exhibit 5

SR-BX-2013-033
34-69525 May 6, 2013 Notice of Filing of Proposed Rule Change to Amend BX Rule 4756 and Rule 4763 to Stipulate How Participants in the NASDAQ OMX BX Equities Market May Modify Previously Entered Orders and to Describe How Modified Orders are Processed
Comments due: May 31, 2013
* Submit comments on SR-BX-2013-033

SR-BX-2013-031
34-69456 Apr. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text
Comments due: May 22, 2013
Additional Materials: Exhibit 5

SR-BX-2013-030
34-69392 Apr. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 16, 2013
Additional Materials: Exhibit 5

SR-BX-2013-029
34-69607 May 20, 2013 Order Approving Proposed Rule Change Relating to Board of Director Qualifications
See also: Notice: Rel. No. 34-69280
34-69280 Apr. 2, 2013 Notice of Filing of Proposed Rule Change Relating to Board of Director Qualifications
Comments due: April 29, 2013

SR-BX-2013-028
34-69184 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 16, 2013
Additional Materials: Exhibit 5

SR-BX-2013-026
34-69343 Apr. 8, 2013 Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
34-69140 Mar. 15, 2013 Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
Comments due: April 4, 2013
Comments received are available for this proposal.

SR-BX-2013-025
34-69219 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 4120
Comments due: April 18, 2013
Additional Materials: Exhibit 5

SR-BX-2013-024
34-69179 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits
Comments due: April 15, 2013
Additional Materials: Exhibit 5

SR-BX-2013-023
34-69230 Mar. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 23, 2013
Additional Materials: Exhibit 5

SR-BX-2013-022
34-69334 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
34-69070 Mar. 7, 2013 Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
Comments due: March 29, 2013

SR-BX-2013-021
34-69119 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Chapter V, Section 3(d) and (e)
Comments due: April 8, 2013

SR-BX-2013-020
34-69071 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors
Comments due: April 4, 2013

SR-BX-2013-019
34-69053 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Routing
Comments due: April 3, 2013
Additional Materials: Exhibit 5

SR-BX-2013-018
34-69041 Mar. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for Managed Data Solutions (MDS)
Comments due: April 2, 2013
Additional Materials: Exhibit 5

SR-BX-2013-017
34-68977 Feb. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments due: March 25, 2013
Additional Materials: Exhibit 5

SR-BX-2013-016
34-70756 Oct. 25, 2013 Order Disapproving Proposed Rule Change to Adopt a Directed Order Process
34-70295 Aug. 30, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process
34-69684 Jun. 3, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process
Comments due: July 1, 2013
Rebuttal comments due: July 15, 2013
Comments received are available for this proposal.
34-69040 Mar. 5, 2013 Notice of Filing of Proposed Rule Change to Adopt a Directed Order Process
Comments due: April 1, 2013
Comments received are available for this proposal.

SR-BX-2013-014
34-68950 Feb. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 19, 2013
Additional Materials: Exhibit 5

SR-BX-2013-013
34-69232 Mar. 25, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Receive Inbound Orders Routed by NASDAQ Execution Services LLC from PSX
34-68890 Feb. 8, 2013 Notice of Filing of Proposed Rule Change Requesting Permanent Approval of a Pilot Program to Receive Inbound Equities Orders from PSX through NES
Comments due: March 7, 2013

SR-BX-2013-012
34-68916 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013

SR-BX-2013-011
34-68909 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Execution
Comments due: March 13, 2013

SR-BX-2013-010
34-68818 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: February 28, 2013
Additional Materials: Exhibit 5

SR-BX-2013-009
34-68815 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the delay of the operative date of a rule change to Exchange Rule 4121
Comments due: March 4, 2013

SR-BX-2013-008
34-68840 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Routing Functionality to the NASDAQ OMX BX Equities Market
Comments due: March 5, 2013

SR-BX-2013-006
34-68719 Jan. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials: Exhibit 5

SR-BX-2013-005
34-68717 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials: Exhibit 5

SR-BX-2013-003
34-68625 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees Assessed for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials: Exhibit 5

SR-BX-2013-002
34-68608 Jan. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/bx/bxarchive/bxarchive2013.shtml


Modified: 01/24/2014