|
|
Phlx Rulemaking Archive: 2004
We encourage the public to submit comments on the following Philadelphia Stock Exchange (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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Phlx File Number List for 2004
Additional Archives
2023 |
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
2004 |
2003 |
2002 |
2001 |
2000 |
1999 |
1998
Release No. |
Date |
Details |
Fourth Quarter |
SR-Phlx-2004-87 |
34-50946 |
Dec. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Phlx Rule 1072 in View of Commission Regulation SHO
Comments due: January 28, 2005
|
SR-Phlx-2004-82 |
34-50947 |
Dec. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to Short Sales.
Comments due: January 28, 2005
|
SR-Phlx-2004-66 |
34-50945 |
Dec. 29, 2004 |
Order Granting Accelerated Approval to Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A
|
SR-Phlx-2004-89 |
34-50911 |
Dec. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Changes to Its Automated Options Market (AUTOM) System
Comments due: January 19, 2005
|
SR-Phlx-2004-84 |
34-50901 |
Dec. 21, 2004 |
Notice of Filing of Proposed Rule Change to Eliminate the Public Order Exposure System Functionality from Phlx Rule 229
See also: Order: Rel. No. 34-51144
|
SR-Phlx-2004-90 |
34-50877 |
Dec. 17, 2004 |
Notice of Filing of Proposed Rule Change, Relating to Remote Streaming Quote Traders
See also: Order: Rel. No. 34-51126
|
SR-Phlx-2004-91 |
34-50856 |
Dec. 14, 2004 |
Notice of Filing of Proposed Rule Change to Establish a Directed Order Process for Orders Delivered to the Exchange Via AUTOM
See also: Order: Rel. No. 34-50856
Comments received are available for this notice.
|
SR-Phlx-2004-51 |
34-50851 |
Dec. 14, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Phlx Regulation 5, Visitors and Applicants
See also: Order: Rel. No. 34-51080
|
SR-Phlx-2004-86 |
34-50833 |
Dec. 10, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of an Exchange-Traded Fund Share
Comments due: January 7, 2005
|
SR-Phlx-2004-70 |
34-50836 |
Dec. 10, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Impose New License Fees and to Modify the Calculation of the Firm-Related Equity Option and Index Option Fee Cap
Comments due: January 7, 2005
|
SR-Phlx-2004-62 |
34-50832 |
Dec. 9, 2004 |
Order Granting Approval to Proposed Rule Change To Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed in Place
See also: Notice: Rel. No. 34-50591
|
SR-Phlx-2004-57 |
34-50788 |
Dec. 3, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1, 2, 3, and 4 Thereto Relating to the Trade Allocation Algorithm Applicable to Options Traded on the Exchange's Electronic Trading Platform, Phlx XL
Comments due: January 3, 2005
|
SR-Phlx-2004-80 |
34-50776 |
Dec. 1, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automatic Execution of Certain Orders in PACE During Locked Markets
Comments due: December 29, 2004
|
SR-Phlx-2004-71 |
34-50752 |
Nov. 29, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension Through April 30, 2005, of a Pilot Program to Disengage the Automatic Execution Feature (AUTO-X) of the Exchange’s Automated Options Market (AUTOM)
Comments due: December 27, 2004
|
SR-Phlx-2004-59 |
34-50751 |
Nov. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Minor Adjustments in the Calculation of the Nasdaq Composite Index®
Comments due: December 27, 2004
|
SR-Phlx-2004-66 |
34-50727 |
Nov. 23, 2004 |
Notice of Filing of Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A
Comments due: December 22, 2004
See also: Order: Rel. No. 34-50945
|
SR-Phlx-2004-74 |
34-50728 |
Nov. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to $5 Bid/Ask Differentials in Options Traded on the Exchange’s Electronic Trading Platform, Phlx XL
Comments due: December 22, 2004
|
SR-Phlx-2004-68 |
34-50723 |
Nov. 23, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due: December 22, 2004
|
SR-Phlx-2004-72 |
34-50722 |
Nov. 23, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due: December 22, 2004
|
SR-Phlx-2004-67 |
34-50676 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Assessing Index Option Charges for FXI Options
Comments due: December 14, 2004
|
SR-Phlx-2004-69 |
34-50679 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Summary of Index Option and FXI Options Charges Fee Schedule
Comments due: December 14, 2004
|
SR-Phlx-2004-62 |
34-50591 |
Oct. 26, 2004 |
Notice of Filing of Proposed Rule Change to Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed In Place
See also: Order: Rel. No. 34-50832
|
SR-Phlx-2004-61 |
34-50572 |
Oct. 20, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due: November 17, 2004
|
SR-Phlx-2004-64 |
34-50563 |
Oct. 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Change in Weighting Methodology of the Phlx/KBW Bank Index
Comments due: November 16, 2004
|
SR-Phlx-2004-16 |
34-50562 |
Oct. 19, 2004 |
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to Minimum Size Guarantees for Linkage Orders SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR-Phlx-2004-16
See also: Notice: Rel. No. 34-50342
|
Third Quarter |
SR-Phlx-2004-60 |
34-50471 |
Sep. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due: 21 days after publication in the Federal Register
|
SR-Phlx-2004-56 |
34-50420 |
Sep. 22, 2004 |
Order of Summary Abrogation
File No.: SR-Phlx-2004-50 |
SR-Phlx-2004-50 |
34-50420 |
Sep. 22, 2004 |
Order of Summary Abrogation
File No.: SR-Phlx-2004-56 |
SR-Phlx-2004-45 |
34-50416 |
Sep. 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 703 to Adopt a Tiered Late Filing Fee Schedule for Financial Reports
Comments due: October 19, 2004
|
SR-Phlx-2004-39 |
34-50401 |
Sep. 16, 2004 |
Order Approving Proposed Rule Change, and Amendment No. 1 thereto relating to Retroactive Application of Permit Holder Fees and Billing Policies
See also: Notice: Rel. No. 34-50129
|
SR-Phlx-2004-16 |
34-50342 |
Sep. 9, 2004 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Exchange Rules 1083(g) and (h), to Modify the Definitions of “Firm Customer Quote Size” and “Firm Principal Quote Size”
See also: Order: Rel. No. 34-50562
|
SR-Phlx-2004-54 |
34-50336 |
Sep. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Continuing Education Requirements for Registered Persons
Comments due: October 7, 2004
|
SR-Phlx-2004-48 |
34-50333 |
Sep. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to SIG Indices, LLLP Disclaimer
Comments due: 21 days after publication in the Federal Register
|
SR-Phlx-2004-49 |
34-50332 |
Sep. 9, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees Applicable to the Exchange’s Electronic Trading Platform, Phlx XL
Comments due: October 7, 2004
Additional Materials: Exhibits 2 and 3; Exhibit 4
|
SR-PHLX-2004-55 |
34-50276 |
Aug. 26, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to NASDAQ-100 Index Tracking StockSM Equity Transaction Charges
Comments due: September 23, 2004
|
SR-Phlx-2004-42 |
34-50229 |
Aug. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Unit Fixed Monthly Fee
Comments due: 21 days after publication in the Federal Register
|
SR-PHLX-2004-52 |
34-50174 |
Aug. 10, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its NASDAQ-100 Index Tracking StockSM Equity Transaction Charge to Replace the Total Shares Per Transaction Charge With a Single Per Share Charge
Comments due: September 7, 2004
|
SR-Phlx-2004-47 |
34-50159 |
Aug. 5, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Legal Fees Incurred by the Exchange
Comments due: October 7, 2004
Comments received electronically are available for this notice.
|
Second Quarter |
SR-Phlx-2004-39 |
34-50129 |
Jul. 30, 2004 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Retroactive Application of Permit Holder Fees
See also: Order: Rel. No. 34-50401
|
SR-Phlx-2004-44 |
34-50125 |
Jul. 30, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Relating to the Linkage Fee Pilot Program
Comments due: August 26, 2004
|
SR-PHLX-2004-40 |
34-50106 |
Jul. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Replace the Total Shares Per Transaction Charge With a Single Per Share Charge
Comments due: August 25, 2004
|
SR-Phlx-2003-59 |
34-50100 |
Jul. 27, 2004 |
Order Approving Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 6 and 7 to the Proposed Rule Change Relating to the Exchange’s New Electronic Trading Platform, “Phlx XL”
See also: Notice: Rel. No. 34-49832
|
SR-Phlx-2004-46 |
34-50070 |
Jul. 23, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to a Pilot Program to Deploy the Options Floor Broker Management System
Comments due: August 19, 2004
|
SR-Phlx-2004-27 |
34-49968 |
Jul. 2, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Processing of Satisfaction Orders following a Trade-Through Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Comments due: August 2, 2004
|
SR-Phlx-2004-26 |
34-49891 |
Jun. 17, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Sending Multiple Principal Acting as Agent Orders That Are Larger than the Firm Customer Quote Size
Comments due: July 19, 2004
|
SR-Phlx-2004-33 |
34-49881 |
Jun. 17, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Corporate Governance
Comments due: July 15, 2004
|
SR-Phlx-2004-35 |
34-49864 |
Jun. 15, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Extension of a Pilot Limiting Trade-Through Liability at the End of the Options Trading Session
Comments due: July 14, 2004
|
SR-Phlx-2004-32 |
34-49856 |
Jun. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 thereto, Relating to Permit Holder Fees
Comments due: July 12, 2004
|
SR-Phlx-2003-59 |
34-49832 |
Jun. 8, 2004 |
Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Relating to the Exchange’s New Electronic Trading Platform, “Phlx XL”
See also: Order: Rel. No. 34-50100
Additional Materials: Text of proposed rules also available
|
SR-Phlx-2004-22 |
34-49807 |
Jun. 4, 2004 |
Order Granting Approval of Proposed Rule Change Relating to Susquehanna Indices, LLP Disclaimer
See also: Notice: Rel. No. 34-49605
|
SR-Phlx-2004-38 |
34-49801 |
Jun. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005
Comments due: July 1, 2004
|
SR-Phlx-2003-68 |
34-49785 |
May 28, 2004 |
Order Granting Approval to Proposed Rule Change and Notice of Filing and Accelerated Approval of Amendment No. 3 Thereto adopting a new rule regarding nullification and adjustment of orders
See also: Notice: Rel. No. 34-49435
|
SR-Phlx-2004-31 |
34-49770 |
May 25, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Temporary Waiver of Equity Option and Index Option Specialist Transaction Fees and ROT Comparison Fees for New and Recent Options Listings
Comments due: June 23, 2004
|
SR-Phlx-2004-25 |
34-49751 |
May 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Broker-Dealer Equity Option Transaction Fees
Comments due: June 18, 2004
|
SR-Phlx-2004-34 |
34-49748 |
May 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Rescission of Commentary .01(f) to Exchange Rule 708
Comments due: June 16, 2004
|
SR-Phlx-2004-18 |
34-49697 |
May 13, 2004 |
Order Approving Proposed Rule Change to Make Permanent a Pilot Program Relating to the Book Sweep Function of the Exchange’s Automated Options Market System.
|
SR-Phlx-2004-30 |
34-49693 |
May 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Unit Fixed Monthly Fees
Comments due: June 9, 2004
|
SR-Phlx-2004-24 |
34-49690 |
May 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading Hours of Canadian Dollar Foreign Currency Options
Comments due: June 9, 2004
|
SR-PHLX-2004-28 |
34-49661 |
May 6, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Payment for Order Flow for the Top 120 Equity Options.
Comments due: June 2, 2004
|
SR-Phlx-2004-22 |
34-49605 |
Apr. 22, 2004 |
Notice of Filing of Proposed Rule Change Relating to Susquehanna Indices LLP Disclaimer
Comments due: May 24, 2004
See also: Order: Rel. No. 34-49807
|
SR-Phlx-2003-54 |
34-49587 |
Apr. 21, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend Rules Relating to the Minimum Net Capital for Specialists in Index Fund Shares
Comments due: May 19, 2004
|
SR-Phlx-2003-71 |
34-49523 |
Apr. 2, 2004 |
Order Approving Proposed Rule Change Relating to Participation Guarantees for Floor Brokers Representing Crossing and Facilitation Orders in Index Options
|
SR-Phlx-2004-03 |
34-49514 |
Apr. 1, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1, Relating to the Rescission of Exchange Rule 713
Comments due: April 28, 2004
|
First Quarter |
SR-Phlx-2004-17 |
34-49467 |
Mar. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Equity and Index Option Fees
Comments due: April 21, 2004
|
SR-Phlx-2004-21 |
34-49459 |
Mar. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding the Book Sweep Function of the Exchange's Automated Options Market System
Comments due: April 20, 2004
|
SR-Phlx-2004-20 |
34-49457 |
Mar. 23, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to an Extension of Interpretation of PACE Guarantees in Securities Subject to ITS Plan Exemption
Comments due: April 19, 2004
|
SR-Phlx-2004-19 |
34-49456 |
Mar. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to the Execution of Market and Marketable Limit Orders in Certain Trust Shares and Trust Issued Receipts During a Locked Market
Comments due: April 19, 2004
|
SR-Phlx-2003-68 |
34-49435 |
Mar. 17, 2004 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Options Transactions Resulting from Obvious Errors
See also: Order: Rel. No. 34-49785
Comments due: April 19, 2004
|
SR-Phlx-2003-73 |
34-49098 |
Jan. 16, 2004 |
Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 Thereto Relating to the Demutualization of the Philadelphia Stock Exchange, Inc.
See also: Notice: Rel. No. 34-48847
|
SR-Phlx-2003-75 |
34-49050 |
Jan. 9, 2004 |
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change
|
Phlx File Number List for 2004 |
Release No. |
Date |
Details |
SR-Phlx-2004-96 |
34-51096 |
Jan. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to its Equity Option Specialist Deficit (Shortfall) Fee
Comments due: February 28, 2005
|
SR-Phlx-2004-95 |
34-51179 |
Feb. 9, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Limitation of the Net Inbound ITS Credit to Certain Phlx and SCCP Fees and Transaction-Related Charges
Comments due: March 9, 2005
|
SR-Phlx-2004-94 |
34-51024 |
Jan. 11, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Increasing the Firm-Related Equity Option and Index Option Comparison and Transaction Cap
Comments due: February 9, 2005
|
SR-Phlx-2004-93 |
34-50958 |
Jan. 4, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Maximum Order Delivery Size Over the AUTOM System
Comments due: February 1, 2005
|
SR-Phlx-2004-92 |
34-51036 |
Jan. 13, 2005 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Adopting Phlx Rule 1017, Openings in Options, on a Permanent Basis
Comments due: February 14, 2005
|
SR-Phlx-2004-91 |
34-51759 |
May 27, 2005 |
Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto to Establish a Directed Order Process for Orders Delivered to the Phlx Via AUTOM
Comments due: June 27, 2005
Comments received are available for this notice.
|
34-50856 |
Dec. 14, 2004 |
Notice of Filing of Proposed Rule Change to Establish a Directed Order Process for Orders Delivered to the Exchange Via AUTOM
Comments due: January 12, 2005
Comments received electronically are available for this notice.
|
SR-Phlx-2004-90 |
34-51126 |
Feb. 2, 2005 |
Order Approving Proposed Rule Change Relating to Remote Streaming Quote Traders
|
34-50877 |
Dec. 17, 2004 |
Notice of Filing of Proposed Rule Change, Relating to Remote Streaming Quote Traders
Comments due: January 18, 2005
|
SR-Phlx-2004-89 |
34-50911 |
Dec. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Changes to Its Automated Options Market (AUTOM) System
Comments due: January 19, 2005
|
SR-Phlx-2004-86 |
34-50833 |
Dec. 10, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of an Exchange-Traded Fund Share
Comments due: January 7, 2005
|
SR-Phlx-2004-87 |
34-50946 |
Dec. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Phlx Rule 1072 in View of Commission Regulation SHO
Comments due: January 28, 2005
|
SR-Phlx-2004-84 |
34-51144 |
Feb. 7, 2005 |
Order Granting Approval to Proposed Rule Change to Eliminate the Public Order Exposure System Functionality from Phlx Rule 229
|
34-50901 |
Dec. 21, 2004 |
Notice of Filing of Proposed Rule Change to Eliminate the Public Order Exposure System Functionality from Phlx Rule 229
Comments due: January 19, 2005
|
SR-Phlx-2004-83 |
34-51715 |
May 19, 2005 |
Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto Relating to the Matching of Certain Incoming Orders with Certain Phlx Existing Orders Through the PACE System
Comments due: June 15, 2005
|
34-51394 |
Mar. 18, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Matching of Certain Incoming Orders with Certain Phlx Existing Orders
|
SR-Phlx-2004-82 |
34-50947 |
Dec. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to Short Sales.
Comments due: January 28, 2005
|
SR-Phlx-2004-80 |
34-50776 |
Dec. 1, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automatic Execution of Certain Orders in PACE During Locked Markets
Comments due: December 29, 2004
|
SR-Phlx-2004-75 |
34-51476 |
Apr. 5, 2005 |
Order Granting Approval to Proposed Rule Change Relating to Floor Official Conflicts of Interest
|
34-51272 |
Feb. 28, 2005 |
Notice of Filing of Proposed Rule Change Relating to Floor Official Conflicts of Interest
|
SR-Phlx-2004-74 |
34-50728 |
Nov. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to $5 Bid/Ask Differentials in Options Traded on the Exchange’s Electronic Trading Platform, Phlx XL
Comments due: December 22, 2004
|
SR-Phlx-2004-73 |
34-51064 |
Jan. 21, 2005 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 thereto To Require Immediate Display of Customer Options Limit Orders
Comments due: February 18, 2005
|
SR-Phlx-2004-72 |
34-50722 |
Nov. 23, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due: December 22, 2004
|
SR-Phlx-2004-71 |
34-50752 |
Nov. 29, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension Through April 30, 2005, of a Pilot Program to Disengage the Automatic Execution Feature (AUTO-X) of the Exchange’s Automated Options Market (AUTOM)
Comments due: December 27, 2004
|
SR-Phlx-2004-70 |
34-50836 |
Dec. 10, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Impose New License Fees and to Modify the Calculation of the Firm-Related Equity Option and Index Option Fee Cap
Comments due: January 7, 2005
|
SR-Phlx-2004-69 |
34-50679 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Summary of Index Option and FXI Options Charges Fee Schedule
Comments due: December 14, 2004
|
SR-Phlx-2004-68 |
34-50723 |
Nov. 23, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due: December 22, 2004
|
SR-Phlx-2004-67 |
34-50676 |
Nov. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Assessing Index Option Charges for FXI Options
Comments due: December 14, 2004
|
SR-Phlx-2004-66 |
34-50945 |
Dec. 29, 2004 |
Order Granting Accelerated Approval to Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A
|
34-50727 |
Nov. 23, 2004 |
Notice of Filing of Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A
Comments due: December 22, 2004
|
SR-Phlx-2004-65 |
34-51926 |
Jun. 27, 2005 |
Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Relating to Back-up Trading Arrangements
|
34-51718 |
May 19, 2005 |
Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Backup Trading Arrangements
Additional Materials:
|
SR-Phlx-2004-64 |
34-50563 |
Oct. 19, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Change in Weighting Methodology of the Phlx/KBW Bank Index
Comments due: November 16, 2004
|
SR-Phlx-2004-62 |
34-50832 |
Dec. 9, 2004 |
Order Granting Approval to Proposed Rule Change To Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed in Place
|
34-50591 |
Oct. 26, 2004 |
Notice of Filing of Proposed Rule Change to Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed In Place
Comments due: November 22, 2004
|
SR-Phlx-2004-61 |
34-50572 |
Oct. 20, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due: November 17, 2004
|
SR-Phlx-2004-60 |
34-50471 |
Sep. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due: October 26, 2004
|
SR-Phlx-2004-59 |
34-50751 |
Nov. 29, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Minor Adjustments in the Calculation of the Nasdaq Composite Index®
Comments due: December 27, 2004
|
SR-Phlx-2004-57 |
34-50788 |
Dec. 3, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1, 2, 3, and 4 Thereto Relating to the Trade Allocation Algorithm Applicable to Options Traded on the Exchange's Electronic Trading Platform, Phlx XL
Comments due: January 3, 2005
|
SR-Phlx-2004-56 |
34-50420 |
Sep. 22, 2004 |
Order of Summary Abrogation
File No.: SR-Phlx-2004-50 |
SR-PHLX-2004-55 |
34-50276 |
Aug. 26, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to NASDAQ-100 Index Tracking StockSM Equity Transaction Charges
Comments due: September 23, 2004
|
SR-Phlx-2004-54 |
34-50336 |
Sep. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Continuing Education Requirements for Registered Persons
Comments due: October 7, 2004
|
SR-PHLX-2004-52 |
34-50174 |
Aug. 10, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its NASDAQ-100 Index Tracking StockSM Equity Transaction Charge to Replace the Total Shares Per Transaction Charge With a Single Per Share Charge
Comments due: September 7, 2004
|
SR-Phlx-2004-51 |
34-51080 |
Jan. 26, 2005 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Phlx Regulation 5, Visitors and Applicants
|
34-50851 |
Dec. 14, 2004 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Phlx Regulation 5, Visitors and Applicants
Comments due: January 17, 2005
|
SR-Phlx-2004-50 |
34-50420 |
Sep. 22, 2004 |
Order of Summary Abrogation
File No.: SR-Phlx-2004-56
|
SR-Phlx-2004-49 |
34-50332 |
Sep. 9, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees Applicable to the Exchange’s Electronic Trading Platform, Phlx XL
Comments due: October 7, 2004
Additional Materials: Exhibits 2 and 3; Exhibit 4
|
SR-Phlx-2004-48 |
34-50333 |
Sep. 9, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to SIG Indices, LLLP Disclaimer
Comments due: 21 days after publication in the Federal Register
|
SR-Phlx-2004-47 |
34-50159 |
Aug. 5, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Legal Fees Incurred by the Exchange
Comments due: October 7, 2004
Comments received electronically are available for this notice.
|
SR-Phlx-2004-46 |
34-50070 |
Jul. 23, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to a Pilot Program to Deploy the Options Floor Broker Management System
Comments due: August 19, 2004
|
SR-Phlx-2004-45 |
34-50416 |
Sep. 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 703 to Adopt a Tiered Late Filing Fee Schedule for Financial Reports
Comments due: October 19, 2004
|
SR-Phlx-2004-44 |
34-50125 |
Jul. 30, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Relating to the Linkage Fee Pilot Program
Comments due: August 26, 2004
|
SR-Phlx-2004-42 |
34-50229 |
Aug. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Unit Fixed Monthly Fee
Comments due: 21 days after publication in the Federal Register
|
SR-Phlx-2004-40 |
34-50106 |
Jul. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Replace the Total Shares Per Transaction Charge With a Single Per Share Charge
Comments due: August 25, 2004
|
SR-Phlx-2004-39 |
34-50401 |
Sep. 16, 2004 |
Order Approving Proposed Rule Change, and Amendment No. 1 thereto relating to Retroactive Application of Permit Holder Fees and Billing Policies |
34-50129 |
Jul. 30, 2004 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Retroactive Application of Permit Holder Fees
Comments due: August 27, 2004 |
SR-Phlx-2004-38 |
34-49801 |
Jun. 3, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005
Comments due: July 1, 2004
|
SR-Phlx-2004-37 |
34-53356 |
Feb. 23, 2006 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to Its Audit Committee
Comments due: March 23, 2006
|
34-52777 |
Nov. 16, 2005 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Increase the Size of the Audit Committee
Comments due: December 19, 2005
|
SR-Phlx-2004-35 |
34-49864 |
Jun. 15, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Extension of a Pilot Limiting Trade-Through Liability at the End of the Options Trading Session
Comments due: July 14, 2004
|
SR-Phlx-2004-34 |
34-49748 |
May 20, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Rescission of Commentary .01(f) to Exchange Rule 708
Comments due: June 16, 2004
|
SR-Phlx-2004-33 |
34-49881 |
Jun. 17, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Corporate Governance
Comments due: July 15, 2004
|
SR-Phlx-2004-32 |
34-49856 |
Jun. 15, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 thereto, Relating to Permit Holder Fees
Comments due: July 12, 2004
|
SR-Phlx-2004-31 |
34-49770 |
May 25, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Temporary Waiver of Equity Option and Index Option Specialist Transaction Fees and ROT Comparison Fees for New and Recent Options Listings
Comments due: June 23, 2004
|
SR-Phlx-2004-30 |
34-49693 |
May 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Unit Fixed Monthly Fees
Comments due: June 9, 2004
|
SR-PHLX-2004-28 |
34-49661 |
May 6, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Payment for Order Flow for the Top 120 Equity Options.
Comments due: June 2, 2004
|
SR-Phlx-2004-27 |
34-49968 |
Jul. 2, 2004 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Processing of Satisfaction Orders following a Trade-Through Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Comments due: August 2, 2004
|
SR-Phlx-2004-26 |
34-49891 |
Jun. 17, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Sending Multiple Principal Acting as Agent Orders That Are Larger than the Firm Customer Quote Size
Comments due: July 19, 2004
|
SR-Phlx-2004-25 |
34-49751 |
May 21, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Broker-Dealer Equity Option Transaction Fees
Comments due: June 18, 2004
|
SR-Phlx-2004-24 |
34-49690 |
May 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading Hours of Canadian Dollar Foreign Currency Options
Comments due: June 9, 2004
|
SR-Phlx-2004-22 |
34-49807 |
Jun. 4, 2004 |
Order Granting Approval of Proposed Rule Change Relating to Susquehanna Indices, LLP Disclaimer
|
34-49605 |
Apr. 22, 2004 |
Notice of Filing of Proposed Rule Change Relating to Susquehanna Indices LLP Disclaimer
Comments due: May 24, 2004
|
SR-Phlx-2004-21 |
34-49459 |
Mar. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding the Book Sweep Function of the Exchange's Automated Options Market System
Comments due: April 20, 2004
|
SR-Phlx-2004-20 |
34-49457 |
Mar. 23, 2004 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to an Extension of Interpretation of PACE Guarantees in Securities Subject to ITS Plan Exemption
Comments due: April 19, 2004
|
SR-Phlx-2004-19 |
34-49456 |
Mar. 22, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to the Execution of Market and Marketable Limit Orders in Certain Trust Shares and Trust Issued Receipts During a Locked Market
Comments due: April 19, 2004
|
SR-Phlx-2004-18 |
34-49697 |
May 13, 2004 |
Order Approving Proposed Rule Change to Make Permanent a Pilot Program Relating to the Book Sweep Function of the Exchange’s Automated Options Market System.
|
SR-Phlx-2004-17 |
34-49467 |
Mar. 24, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Equity and Index Option Fees
Comments due: April 21, 2004
|
SR-Phlx-2004-16 |
34-50562 |
Oct. 19, 2004 |
Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to Minimum Size Guarantees for Linkage Orders SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR-Phlx-2004-16
|
34-50342 |
Sep. 9, 2004 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Exchange Rules 1083(g) and (h), to Modify the Definitions of “Firm Customer Quote Size” and “Firm Principal Quote Size”
Comments due: October 7, 2004
|
SR-Phlx-2004-03 |
34-49514 |
Apr. 1, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1, Relating to the Rescission of Exchange Rule 713
Comments due: April 28, 2004
|
http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2004.shtml
|