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
Third Quarter |  Second Quarter |  First Quarter

Phlx File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

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: Notice: Rel. No. 34-71891, Order: Rel. No. 34-70940, Notice: Rel. No. 34-70866

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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

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: 21 days after publication in the Federal Register

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: 21 days after publication in the Federal Register
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: 21 days after publication in the Federal Register
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: 21 days after publication in the Federal Register
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: 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

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: 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-2014-48
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: 21 days after publication in the Federal Register

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: 21 days after publication in the Federal Register
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: 21 days after publication in the Federal Register
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: 21 days after publication in the Federal Register
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: 21 days after publication in the Federal Register
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

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

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
34-72447 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: 07/17/2014