SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NASDAQ OMX PHLX LLC (Phlx) Rulemaking

We encourage the public to submit comments on the following NASDAQ OMX PHLX LLC (Phlx) 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
First Quarter

Phlx File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
First Quarter

SR-Phlx-2016-16
34-77076 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Obsolete Rules 1000C 1009C
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2016-10
34-77054 Feb. 4, 2016 Notice of Filing of Proposed Rule Change Relating to Professional Customer Definition
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2016-04
34-77032 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2016-12
34-77007 Feb. 1, 2016 Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2015-94
34-76989 Jan. 28, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options
See also: Notice: Rel. No. 34-76593

SR-Phlx-2016-07
34-76984 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Minor Changes to Rule 1064, Crossing, Facilitation and Solicited Orders
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-Phlx-2016-06
34-76966 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Quote Spread Parameter Provision
Comments due: February 17, 2016

SR-Phlx-2016-03
34-76929 Jan. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Nonsubstantive, Clarifying Amendments to Several Rules Relating to the Clearing of Exchange Options Transactions
Comments due: February 16, 2016
Additional Materials: Exhibit 5

SR-Phlx-2016-02
34-76910 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Obsolete Rules 1000B 1012B and to Amend Rule 722
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-Phlx-2016-01
34-76902 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Phlx Rules 792, 794, 797, and 798
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-Phlx-2015-118
34-76880 Jan. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a)(4) of Rule 640, Continuing Education for Registered Persons
Comments due: February 9, 2016
Additional Materials: Exhibit 5

SR-Phlx-2015-115
34-76867 Jan. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VIII of the Pricing Schedule
Comments due: February 5, 2016
Additional Materials: Exhibit 5

SR-Phlx-2015-109
34-76858 Jan. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Permit Fees
Comments due: February 4, 2016


Phlx File Number List for 2016
Release No. Date Details

SR-Phlx-2016-16
34-77076 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Obsolete Rules 1000C 1009C
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2016-12
34-77007 Feb. 1, 2016 Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2016-10
34-77054 Feb. 4, 2016 Notice of Filing of Proposed Rule Change Relating to Professional Customer Definition
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2016-07
34-76984 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Minor Changes to Rule 1064, Crossing, Facilitation and Solicited Orders
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-Phlx-2016-06
34-76966 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Quote Spread Parameter Provision
Comments due: February 17, 2016

SR-Phlx-2016-04
34-77032 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2016-03
34-76929 Jan. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Nonsubstantive, Clarifying Amendments to Several Rules Relating to the Clearing of Exchange Options Transactions
Comments due: February 16, 2016
Additional Materials: Exhibit 5

SR-Phlx-2016-02
34-76910 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Obsolete Rules 1000B 1012B and to Amend Rule 722
Comments due: February 11, 2016
Additional Materials: Exhibit 5

SR-Phlx-2016-01
34-76902 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Phlx Rules 792, 794, 797, and 798
Comments due: February 11, 2016
Additional Materials: Exhibit 5

 

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


Modified: 02/10/2016