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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
Third Quarter |  Second Quarter |  First Quarter

Phlx File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-Phlx-2014-66
34-73791 Dec. 8, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2014-76
34-73719 Dec. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Anti-Internalization Functionality for Registered Market Makers on the PHLX Options Market
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2014-77
34-73688 Nov. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2014-73
34-73687 Nov. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fees
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2014-74
34-73660 Nov. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2014-75
34-73629 Nov. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule
Comments due: December 15, 2014

SR-Phlx-2014-71
34-73586 Nov. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation of the New Options Floor Broker Management System until November 3, 2015
Comments due: December 10, 2014

SR-Phlx-2014-72
34-73580 Nov. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL Executions in SPY and PIXL Pricing 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 October 31, 2014, NASDAQ OMX PHLX LLC ("Phlx" or "Exchange") filed with the Securities and Exchange Commission ("SEC" or "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: December 9, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-68
34-73548 Nov. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 4, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-67
34-73546 Nov. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Two Typographical Errors in Rule 3315
Comments due: December 4, 2014

SR-Phlx-2014-54
34-73545 Nov. 6, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Add a New Complex Order Process Called Legging Orders
Comments due: December 4, 2014
See also: Notice: 34-73152

SR-Phlx-2014-61
34-73516 Nov. 5, 2014 Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, In
Additional File Nos.: SR-BSECC-2014-001, SR-BX-2014-045, SR-NASDAQ-2014-093, SR-SCCP-2014-01
See also: Notice: Rel. No. 34-73194

SR-Phlx-2014-70
34-73535 Nov. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule Under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share and the Excess Order Fee
Comments due: December 3, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-69
34-73474 Oct. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: November 26, 2014
Comments received are available for this proposal.

SR-Phlx-2014-66
34-73441 Oct. 27, 2014 Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: November 21, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-64
34-73330 Oct. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Floor Procedure Advice F-27, Options Exchange Official Rulings
Comments due: November 6, 2014

SR-Phlx-2014-65
34-73311 Oct. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 705 (Fidelity Bonds)
Comments due: November 4, 2014

SR-Phlx-2014-23
34-73291 Oct. 2, 2014 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
See also: Notice: Rel. No. 34-72751, Notice: Rel. No. 34-72447, Notice: Rel. No. 34-72119

SR-Phlx-2014-63
34-73286 Oct. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 60
Comments due: October 29, 2014
Third Quarter

SR-Phlx-2014-59
34-73246 Sep. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Period of the New Options Floor Broker Management System until November 3, 2014
Comments due: October 24, 2014
Comments received are available for this proposal.

SR-Phlx-2014-61
34-73194 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
See also: Order: Rel. No. 34-73516

SR-Phlx-2014-54
34-73152 Sep. 19, 2014 Notice of Filing of Proposed Rule Change to Add a New Complex Order Process Called Legging Orders
Comments due: October 16, 2014
Additional Materials: Exhibit 5
See also: Notice and Order: 34-73545
Comments received are available for this proposal.

SR-Phlx-2014-60
34-73126 Sep. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: October 14, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-56
34-72969 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Information Related to Aggregation of Activity of Affiliates
Comments due: September 30, 2014

SR-Phlx-2014-57
34-72968 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-Phlx-2014-46
34-72949 Aug. 29, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
See also: Notice: Rel. No. 34-72664

SR-Phlx-2014-52
34-72807 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-51
34-72806 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-50
34-72796 Aug. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Simple Order Fees for Removing Liquidity in SPY Options
Comments due: September 4, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-53
34-72786 Aug. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: September 3, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-45
34-72784 Aug. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Fees
Comments due: September 3, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-23
34-72751 Aug. 4, 2014 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
Comments due: August 29, 2014
Rebuttal comments due: September 12, 2014
See also: Order: Rel. No. 34-73291, Notice: Rel. No. 34-72447, Notice: Rel. No. 34-72119
Comments received are available for this proposal.

SR-Phlx-2014-49
34-72713 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-Phlx-2014-46
34-72664 Jul. 24, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
Comments due: August 20, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72949
Comments received are available for this proposal.

SR-Phlx-2013-113
34-72633 Jul. 16, 2014 Order Disapproving Proposed Rule Change to Offer a Rebate Based on Members' Aggregate Customer Volume in Multiply-listed Options Transacted on NASDAQ OMX PHLX LLC or its Affiliated Options Exchanges
See also:  

SR-Phlx-2014-47
34-72630 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section I and Section II of the Pricing Schedule
Comments due: August 12, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2014-48
34-72619 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL
Comments due: August 12, 2014

SR-Phlx-2014-44
34-72605 Jul. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of a Recent Proposal Relating to Joint Back Office Participants
Comments due: August 8, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-24
34-72603 Jul. 14, 2014 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Order Execution Algorithm of NASDAQ OMX PSX
See also: Notice: Rel. No. 34-72250

SR-Phlx-2014-43
34-72572 Jul. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: August 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-40
34-72546 Jul. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Midpoint Peg Post-Only Order and Modify the Minimum Quantity Order on NASDAQ OMX PSX
Comments due: August 1, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-41
34-72504 Jul. 1, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: July 29, 2014
Second Quarter

SR-Phlx-2014-34
34-72473 Jun. 25, 2014 Notice of Withdrawal of Proposed Rule Change to Delete the PHOTO Historical Data Product from Section IX of the Exchange's Options Fee Schedule
See also: Notice: Rel. No. 34-72225

SR-Phlx-2014-23
34-72447 Jun. 23, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
See also: Order: Rel. No. 34-73291, Notice: Rel. No. 34-72751, Notice: Rel. No. 34-72119

SR-Phlx-2014-27
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-BX-2014-021, 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
See also: Notice: Rel. No. 34-72055

SR-Phlx-2014-38
34-72395 Jun. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Multiply Listed Options
Comments due: July 11, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-39
34-72351 Jun. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 1080.08
Comments due: July 7, 2014

SR-Phlx-2014-36
34-72251 May 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 23, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-24
34-72250 May 23, 2014 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Order Execution Algorithm of NASDAQ OMX PSX
Comments due: June 20, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72603

SR-Phlx-2014-37
34-72245 May 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: June 20, 2014

SR-Phlx-2014-35
34-72229 May 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Accounts
Comments due: June 19, 2014

SR-Phlx-2014-34
34-72225 May 22, 2014 Notice of Filing of Proposed Rule Change to Delete From Section IX of the Exchange's Options Fee Schedule the PHOTO Historical Data Product
Comments due: June 19, 2014
See also: Notice: Rel. No. 34-72473

SR-Phlx-2014-32
34-72152 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Limitation on Entering Electronic Limit Orders From Off the Floor of the Exchange
Comments due: June 6, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-31
34-72136 May 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Rebates
Comments due: June 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-33
34-72135 May 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 2014
Comments due: June 5, 2014
Comments received are available for this proposal.

SR-Phlx-2014-23
34-72119 May 7, 2014 Notice of Filing of Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation and Solicited Orders in Open Outcry Trading
Comments due: June 3, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73291, Notice: Rel. No. 34-72751, Notice: Rel. No. 34-72447
Comments received are available for this proposal.

SR-Phlx-2014-26
34-72103 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-29
34-72095 May 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Pricing
Comments due: May 30, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-28
34-72094 May 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to JBO Orders
Comments due: May 30, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2014-30
34-72070 May 1, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Quarterly Options Series Program
Comments due: May 28, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-27
34-72055 Apr. 30, 2014 Notice of Filing of Proposed Rule Change to Add New Paragraphs (h) and (i) to Rule 3312, 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 PHLX LLC ("Phlx" 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-Phlx-2014-25
34-72027 Apr. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 1064 and 1080
Comments due: May 22, 2014

SR-Phlx-2014-22
34-71985 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations
Comments due: May 19, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-20
34-71906 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions
Comments due: May 5, 2014

SR-Phlx-2014-21
34-71901 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-Phlx-2013-113
34-71891 Apr. 7, 2014 Request for Comment and Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate
Comments due: April 25, 2014
Rebuttal Comments due: May 9, 2014 See also: Order: Rel. No. 34-72633; Suspension of and Order: Rel. No. 34-70940; Notice: Rel. No. 34-70866
First Quarter

SR-Phlx-2014-19
34-71822 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: April 23, 2014

SR-Phlx-2014-18
34-71783 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-Phlx-2014-16
34-71731 Mar. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction
Comments due: April 14, 2014

SR-Phlx-2014-14
34-71716 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options
Comments due: April 9, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-13
34-71674 Mar. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-15
34-71673 Mar. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-12
34-71569 Feb. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-10
34-71559 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-Phlx-2014-011
34-71535 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ OMX PSX's Optional Anti-Internalization Functionality
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-08
34-71529 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Monthly Strategy Cap
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-09
34-71520 Feb. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: March 11, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-06
34-71491 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options
Comments due: March 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-07
34-71470 Feb. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Process
Comments due: March 3, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-04
34-71417 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-Phlx-2014-05
34-71416 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: 
Comments due: February 24, 2014

SR-Phlx-2013-115
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-BX-2013-057, SR-NASDAQ-2013-148, SR-SCCP-2013-01
See also:  Notice: Rel. No. 34-71010

SR-Phlx-2013-125
34-71258 Jan. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-03
34-71257 Jan. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: February 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-124
34-71256 Jan. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiply Listed Options Fees
Comments due: February 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-01
34-71236 Jan. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that an Extranet Access Fee is Not Charged
Comments due: January 31, 2014

SR-Phlx-2013-128
34-71228 Jan. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Describe the Application of Fees Assessed for Connectivity to the Carteret Test Environment under Chapter VIII of the Exchange's Pricing Schedule
Comments due: January 29, 2014


Phlx File Number List for 2014
Release No. Date Details

SR-Phlx-2014-77
34-73688 Nov. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2014-76
34-73719 Dec. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Anti-Internalization Functionality for Registered Market Makers on the PHLX Options Market
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2014-75
34-73629 Nov. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule
Comments due: December 15, 2014

SR-Phlx-2014-74
34-73660 Nov. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2014-73
34-73687 Nov. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fees
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2014-72
34-73580 Nov. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL Executions in SPY and PIXL Pricing 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 October 31, 2014, NASDAQ OMX PHLX LLC ("Phlx" or "Exchange") filed with the Securities and Exchange Commission ("SEC" or "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: December 9, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-71
34-73586 Nov. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation of the New Options Floor Broker Management System until November 3, 2015
Comments due: December 10, 2014

SR-Phlx-2014-70
34-73535 Nov. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule Under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share and the Excess Order Fee
Comments due: December 3, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-69
34-73474 Oct. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: November 26, 2014
Comments received are available for this proposal.

SR-Phlx-2014-68
34-73548 Nov. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 4, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-67
34-73546 Nov. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Two Typographical Errors in Rule 3315
Comments due: December 4, 2014

SR-Phlx-2014-66

SR-Phlx-2014-66
34-73791 Dec. 8, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: 21 days after publication in the Federal Register
34-73441 Oct. 27, 2014 Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: November 21, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-65
34-73311 Oct. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 705 (Fidelity Bonds)
Comments due: November 4, 2014

SR-Phlx-2014-64
34-73330 Oct. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Floor Procedure Advice F-27, Options Exchange Official Rulings
Comments due: November 6, 2014

SR-Phlx-2014-63
34-73286 Oct. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 60
Comments due: October 29, 2014

SR-Phlx-2014-61
34-73516 Nov. 5, 2014 Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, In
Additional File Nos.: SR-BSECC-2014-001, SR-BX-2014-045, SR-NASDAQ-2014-093, SR-SCCP-2014-01
34-73194 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-Phlx-2014-60
34-73126 Sep. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: October 14, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-59
34-73246 Sep. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Period of the New Options Floor Broker Management System until November 3, 2014
Comments due: October 24, 2014
Comments received are available for this proposal.

SR-Phlx-2014-57
34-72968 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-Phlx-2014-56
34-72969 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Information Related to Aggregation of Activity of Affiliates
Comments due: September 30, 2014

SR-Phlx-2014-54
34-73545 Nov. 6, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Add a New Complex Order Process Called Legging Orders
Comments due: December 4, 2014
34-73152 Sep. 19, 2014 Notice of Filing of Proposed Rule Change to Add a New Complex Order Process Called Legging Orders
Comments due: October 16, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2014-53
34-72786 Aug. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: September 3, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-52
34-72807 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-51
34-72806 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-50
34-72796 Aug. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Simple Order Fees for Removing Liquidity in SPY Options
Comments due: September 4, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-49
34-72713 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-Phlx-2014-48
34-72619 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL
Comments due: August 12, 2014

SR-Phlx-2014-47
34-72630 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section I and Section II of the Pricing Schedule
Comments due: August 12, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2014-46
34-72949 Aug. 29, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
34-72664 Jul. 24, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
Comments due: August 20, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2014-45
34-72784 Aug. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Fees
Comments due: September 3, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-44
34-72605 Jul. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of a Recent Proposal Relating to Joint Back Office Participants
Comments due: August 8, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-43
34-72572 Jul. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: August 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-41
34-72504 Jul. 1, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: July 29, 2014

SR-Phlx-2014-40
34-72546 Jul. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Midpoint Peg Post-Only Order and Modify the Minimum Quantity Order on NASDAQ OMX PSX
Comments due: August 1, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-39
34-72351 Jun. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 1080.08
Comments due: July 7, 2014

SR-Phlx-2014-38
34-72395 Jun. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Multiply Listed Options
Comments due: July 11, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-37
34-72245 May 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: June 20, 2014

SR-Phlx-2014-36
34-72251 May 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 23, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-35
34-72229 May 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Accounts
Comments due: June 19, 2014

SR-Phlx-2014-34
34-72473 Jun. 25, 2014 Notice of Withdrawal of Proposed Rule Change to Delete the PHOTO Historical Data Product from Section IX of the Exchange's Options Fee Schedule
34-72225 May 22, 2014 Notice of Filing of Proposed Rule Change to Delete From Section IX of the Exchange's Options Fee Schedule the PHOTO Historical Data Product
Comments due: June 19, 2014

SR-Phlx-2014-33
34-72135 May 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 2014
Comments due: June 5, 2014
Comments received are available for this proposal.

SR-Phlx-2014-32
34-72152 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Limitation on Entering Electronic Limit Orders From Off the Floor of the Exchange
Comments due: June 6, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-31
34-72136 May 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Rebates
Comments due: June 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-30
34-72070 May 1, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Quarterly Options Series Program
Comments due: May 28, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-29
34-72095 May 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Pricing
Comments due: May 30, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-28
34-72094 May 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to JBO Orders
Comments due: May 30, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2014-27
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-BX-2014-021, 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
34-72055 Apr. 30, 2014 Notice of Filing of Proposed Rule Change to Add New Paragraphs (h) and (i) to Rule 3312, 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 PHLX LLC ("Phlx" 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-Phlx-2014-26
34-72103 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-25
34-72027 Apr. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 1064 and 1080
Comments due: May 22, 2014

SR-Phlx-2014-24
34-72603 Jul. 14, 2014 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Order Execution Algorithm of NASDAQ OMX PSX
34-72250 May 23, 2014 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Order Execution Algorithm of NASDAQ OMX PSX
Comments due: June 20, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-23
34-73291 Oct. 2, 2014 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
See also: Order: Rel. No. 34-73291, Notice: Rel. No. 34-72751, Notice: Rel. No. 34-72447, Notice: Rel. No. 34-72119
34-72751 Aug. 4, 2014 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
Comments due: August 29, 2014
Rebuttal comments due: September 12, 2014
Comments received are available for this proposal.
34-72447 Jun. 23, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
34-72119 May 7, 2014 Notice of Filing of Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation and Solicited Orders in Open Outcry Trading
Comments due: June 3, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2014-22
34-71985 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations
Comments due: May 19, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-21
34-71901 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-Phlx-2014-20
34-71906 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions
Comments due: May 5, 2014

SR-Phlx-2014-19
34-71822 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: April 23, 2014

SR-Phlx-2014-18
34-71783 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-Phlx-2014-16
34-71731 Mar. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction
Comments due: April 14, 2014

SR-Phlx-2014-15
34-71673 Mar. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-14
34-71716 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options
Comments due: April 9, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-13
34-71674 Mar. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-12
34-71569 Feb. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-011
34-71535 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ OMX PSX's Optional Anti-Internalization Functionality
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-10
34-71559 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-Phlx-2014-09
34-71520 Feb. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: March 11, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-08
34-71529 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Monthly Strategy Cap
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-07
34-71470 Feb. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Process
Comments due: March 3, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-06
34-71491 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options
Comments due: March 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-05
34-71416 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-Phlx-2014-04
34-71417 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: 
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-03
34-71257 Jan. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: February 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-01
34-71236 Jan. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that an Extranet Access Fee is Not Charged
Comments due: January 31, 2014

 

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


Modified: 12/09/2014