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 Archive: 2013

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
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Phlx File Number List for 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-Phlx-2013-129
34-71212 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System Changes
Comments due: January 28, 2014

SR-Phlx-2013-106
34-71177 Dec. 23, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
See also:  Notice: Rel. No. 34-70821

SR-Phlx-2013-127
34-71169 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in PSX Rule 3301(b)
Comments due: January 17, 2014

SR-Phlx-2013-123
34-71106 Dec. 17, 2013 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: January 13, 2014
Comments received are available for this proposal.

SR-Phlx-2013-121
34-71108 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Two Features Relating to Complex Orders
Comments due: January 13, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-120
34-71096 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program
Comments due: January 13, 2014

SR-Phlx-2013-119
34-71078 Dec. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Rebates for Transactions in Qualified Contingent Cross Orders
Comments due: January 9, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-117
34-71064 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Pricing Schedule
Comments due: January 8, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-118
34-71040 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: January 7, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-116
34-71036 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under the PHLX Pricing Schedule for Use of the Carteret Testing Facility Test Environment
Comments due: January 7, 2014

SR-Phlx-2013-115
34-71010 Dec. 6, 2013 Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: January 2, 2014
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71353

SR-Phlx-2013-101
34-71004 Dec. 6, 2013 Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program
See also:  Notice: Rel. No. 34-70682

SR-Phlx-2013-114
34-70969 Dec. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: December 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-113
34-70940 Nov. 25, 2013 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate
Comments due: December 20, 2013
See also: Order: Rel. No. 34-72633; Request for comment: Rel. No. 34-71891; Notice: Rel. No. 34-70866

SR-Phlx-2013-111
34-70874 Nov. 14, 2013 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: December 11, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-70866

SR-Phlx-2013-108
34-70879 Nov. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits
Comments due: December 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-113
34-70866 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Customer Rebate
Comments due: December 10, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-72633; Request for comment: Rel. No. 34-71891; Suspension of and Order: Rel. No. 34-70940

SR-Phlx-2013-112
34-70863 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the PIXL Auction Notification Requirements under Rule 1080
Comments due: December 10, 2013

SR-Phlx-2013-109
34-70850 Nov. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Box Spread Strategies
Comments due: December 9, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-110
34-70840 Nov. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: December 6, 2013

SR-Phlx-2013-106
34-70821 Nov. 6, 2013 Notice of Filing of Proposed Rule Change to Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
Comments due: December 4, 2013
See also:  Notice: Rel. No. 34-71177
Comments received are available for this proposal.

SR-Phlx-2013-105
34-70748 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish for PHLX Orders Managed Data Solution Fees for Non-Display Usage
Comments due: November 19, 2013

SR-Phlx-2013-104
34-70745 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts
Comments due: November 19, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-101
34-70682 Oct. 15, 2013 Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2013-99
34-70673 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying Rule 1014 Regarding Daily Quoting Obligations
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-76
34-70654 Oct. 10, 2013 Order Granting Approval to Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts
See also:  Notice: Rel. No. 34-70242

SR-Phlx-2013-100
34-70629 Oct. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System
Comments due: November 12, 2013

SR-Phlx-2013-96
34-70630 Oct. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Table of Contents of the Pricing Schedule
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Third Quarter

SR-Phlx-2013-97
34-70541 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: October 24, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-93
34-70472 Sep. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Minor Modification to Pricing Incentive Programs
Comments due: October 18, 2013

SR-Phlx-2013-95
34-70451 Sep. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Temporary Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: October 16, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-92
34-70416 Sep. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing Schedule Sections II and IV
Comments due: October 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-90
34-70371 Sep. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: October 8, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-85
34-70327 Sep. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 640, Continuing Education for Registered Persons and Adopt a Corresponding Fee
Comments due: October 2, 2013

SR-Phlx-2013-87
34-70278 Aug. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Commentary to Rule 1080 to Add a New PIXL ISO Order Type
Comments due: September 25, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-88
34-70271 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Trading Information and Rule Clarity to Phlx Participants
Comments due: September 24, 2013

SR-Phlx-2013-84
34-70270 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 910 and Related Phlx Rules
Comments due: September 24, 2013

SR-Phlx-2013-89
34-70259 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: September 20, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-76
34-70242 Aug. 21, 2013 Notice of Filing of Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts
Comments due: September 17, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-70654

SR-Phlx-2013-82
34-70174 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx Connectivity Options and Fees
Comments due: September 9, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-81
34-70142 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 1015 Regarding Accommodation Claims
Comments due: September 4, 2013

SR-Phlx-2013-83
34-70141 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System Until the End of September 2013
Comments due: September 4, 2013

SR-Phlx-2013-79
34-70116 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delisting Series in the STOs and Opening up to Five Consecutive Weekly Expirations of STOs
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-80
34-70115 Aug. 5, 2013 Notice of Filing of Proposed Rule Changes to Its Excess Order Fee
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-77
34-70110 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-78
34-70101 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Halts or Suspension When an Exchange Trading System Experiences Technical Failure or Failures
Comments due: August 29, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-65
34-70026 Jul. 23, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction
See also:  Notice: Rel. No. 34-69829

SR-Phlx-2013-74
34-69989 Jul. 16, 2013 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, 2013

SR-Phlx-2013-71
34-69958 Jul. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Section I Pricing for Select Symbols
Comments due: August 6, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-72
34-69921 Jul. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Acceptable Complex Execution Parameter
Comments due: July 30, 2013

SR-Phlx-2013-73
34-69920 Jul. 2, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 1012 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Comments due: July 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-70
34-69901 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for the Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: July 29, 2013
Second Quarter

SR-Phlx-2013-69
34-69848 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Acceptable Trade Range for Orders and Quotes on PHLX XL
Comments due: July 22, 2013

SR-Phlx-2013-46
34-69845 Jun. 25, 2013 Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL
See also:  Notice: Rel. No. 34-69550

SR-Phlx-2013-68
34-69842 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Section B of Exchange's Pricing Schedule
Comments due: July 22, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-65
34-69829 Jun. 21, 2013 Notice of Filing of Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction
Comments due: July 29, 2013
See also:  Notice: Rel. No. 34-70026

SR-Phlx-2013-66
34-69817 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3100 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on NASDAQ OMX PSX
Comments due: July 18, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-67
34-69811 Jun. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of its New Options Floor Broker Management System
Comments due: July 17, 2013

SR-Phlx-2013-64
34-69786 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of 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: July 15, 2013

SR-Phlx-2013-61
34-69768 Jun. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend various sections of the Exchange's Pricing Schedule
Comments due: July 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-42
34-67956 Jun. 13, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.
See also:  Notice: Rel. No. 34-69498

SR-Phlx-2013-62
34-69752 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Introduce a Market Maker Peg Order for Use on NASDAQ OMX PSX
Comments due: July 10, 2013

SR-Phlx-2013-63
34-69732 Jun. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Order to Disseminate a Spot Price for Treasury Options
Comments due: July 8, 2013

SR-Phlx-2013-60
34-69717 Jun. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: July 5, 2013

SR-Phlx-2013-57
34-69683 Jun. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Typographical Errors in Respect of the Treasury Securities Options
Comments due: June 28, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-58
34-69672 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Permit Fees and Other Floor Fees
Comments due: June 26, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-59
34-69671 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to apply a Strategy Fee Cap to Jelly Rolls
Comments due: June 26, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-55
34-69633 May 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series Program
Comments due: June 20, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-56
34-69632 May 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text
Comments due: June 20, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-52
34-69612 May 21, 2013 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Lead Market Maker Program on the NASDAQ OMX PSX Market and to Make Related Changes to the Schedule Fees and Rebates for Execution of Quotes and Orders
Comments due: June 18, 2013

SR-Phlx-2013-54
34-69610 May 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3306 and Rule 3303 to Stipulate How Participants in NASDAQ OMX PSX May Modify Previously Entered Orders and to Describe How Modified Orders Are Processed
Comments due: June 14, 2013

SR-Phlx-2013-51
34-69588 May 15, 2013 Notice of Filing of Proposed Rule Change to its Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: June 11, 2013

SR-Phlx-2013-50
34-69586 May 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Options
Comments due: June 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-53
34-69583 May 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Allow Cabinet Trading to Take Place Below $1 per Option Contract
Comments due: June 12, 2013

SR-Phlx-2013-45
34-69555 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options
Comments due: June 6, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2013-46
34-69550 May 9, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL
Comments due: June 5, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69845

SR-Phlx-2013-49
34-69548 May 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Sections of the Exchange's Pricing Schedule
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-48
34-69547 May 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Rebates Applicable to Qualified Contingent Cross Orders
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-44
34-69509 May 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Remote Streaming Quote Trader Fees and Reference a Remote Streaming Quote Trader Organization
Comments due: May 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-43
34-69500 May 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Application and Initiation Fees in Certain Circumstances
Comments due: May 29, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-42
34-69498 May 2, 2013 Notice of Filing of Proposed Rule Change for the Permanent Approval of the Exchange's Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.
Comments due: May 29, 2013
See also:  Order: Rel. No. 34-67956

SR-Phlx-2013-09
34-69471 Apr. 29, 2013 Order Approving Proposed Rule Change to Enhance the Functionality Offered on the Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
See also:  Notice: Rel. No. 34-68960

SR-Phlx-2013-40
34-69465 Apr. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Strategy Fee Caps
Comments due: May 23, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-24
34-69452 Apr. 25, 2013 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto to Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX
See also:  Notice: Rel. No. 34-69194

SR-Phlx-2013-03
34-69417 Apr. 19, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rules 507 and 1014 to Establish Remote Streaming Quote Trader Organizations
See also:  Notice: Rel. No. 34-68689

SR-Phlx-2013-38
34-69401 Apr. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Routing Fees
Comments due: May 15, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-35
34-69351 Apr. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options
Comments due: May 6, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-29
34-69344 Apr. 8, 2013 Order Granting Accelerated Approval of a Proposed Rule Change to Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
See also:  Notice: Rel. No. 34-69141

SR-Phlx-2013-21
34-69332 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations
See also:  Notice: Rel. No. 34-69068

SR-Phlx-2013-05
34-69304 Apr. 4, 2013 Order Granting Approval of Proposed Rule Change Regarding Catastrophic Errors
See also:  Notice: Rel. No. 34-68907

SR-Phlx-2013-37
34-69269 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its FLEX Option No Minimum Value Size Pilot Program to March 28, 2014
Comments due: April 29, 2013
First Quarter

SR-Phlx-2013-023
34-69253 Mar. 28, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Routing Fees and the Customer Rebate Program
Comments due: April 26, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-36
34-69241 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading QCC and PIXL Orders in Mini Options
Comments due: April 22, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-15
34-69229 Mar. 25, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit PSX to Accept Inbound Orders Routed by NASDAQ Execution Services LLC from the BX Equities Market
See also:  Notice: Rel. No. 34-68889

SR-Phlx-2013-26
34-69218 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 3100
Comments due: April 18, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-31
34-69204 Mar. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections I and II of the Pricing Schedule
Comments due: April 17, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-24
34-69194 Mar. 20, 2013 Notice of Filing of Proposed Rule Change to Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX
Comments due: April 16, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69452

SR-Phlx-2013-28
34-69182 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for PSX Managed Data Solutions (MDS)
Comments due: April 16, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-34
34-69162 Mar. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: April 12, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-30
34-69159 Mar. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 12, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-29
34-69141 Mar. 15, 2013 Notice of Filing of Proposed Rule Change to Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: April 4, 2013
See also:  Order: Rel. No. 34-69344
Comments received are available for this proposal.

SR-Phlx-2013-20
34-69118 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Exchange Rule 1047(f) and (g) for Limit Up/Limit Down Situations
Comments due: April 8, 2013

SR-Phlx-2013-19
34-69076 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Fee Schedule Governing Order Routing for the NASDAQ OMX PSX Facility
Comments due: April 4, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-21
34-69068 Mar. 7, 2013 Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations
Comments due: March 28, 2013
See also:  Order: Rel. No. 34-69332

SR-Phlx-2013-18
34-69031 Mar. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Long-Term Index Options
Comments due: March 29, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-16
34-69005 Feb. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Transaction Fees for Options on Treasury Securities
Comments due: March 27, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-17
34-68984 Feb. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Routing Fees to C2
Comments due: March 22, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-09
34-68960 Feb. 20, 2013 Notice of Filing of Proposed Rule Change to Enhance the Functionality Offered on its Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
Comments due: March 19, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69471

SR-Phlx-2013-13
34-68924 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Customer Rebate Program and Other Technical Amendments
Comments due: March 13, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-14
34-68915 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013

SR-Phlx-2013-05
34-68907 Feb. 12, 2013 Notice of Filing of Proposed Rule Change Regarding Catastrophic Errors
Comments due: March 12, 2013
See also:  Order: Rel. No. 34-69304
Comments received are available for this proposal.

SR-Phlx-2013-15
34-68889 Feb. 8, 2013 Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit PSX to Accept Inbound Orders Routed by Nasdaq Execution Services LLC from the BX Equities Market
Comments due: March 7, 2013
See also:  Order: Rel. No. 34-69229

SR-Phlx-2013-10
34-68880 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Fees in Section II of the Pricing Schedule
Comments due: March 7, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-08
34-68838 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Routing Functionality of the NASDAQ OMX PSX Market
Comments due: March 5, 2013

SR-Phlx-2012-142
34-68823 Feb. 4, 2013 Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2012-002, SR-BX-2012-075, SR-NASDAQ-2012-142, SR-SCCP-2012-02
See also:  Notice: Rel. No. 34-68513

SR-Phlx-2013-12
34-68820 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Rule 3312, Entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-11
34-68816 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to Exchange Rule 133
Comments due: March 4, 2013

SR-Phlx-2013-06
34-68793 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Clarification to the Exchange's Pricing Schedule to Clarify When an Order is Adding or Removing Liquidity
Comments due: February 27, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-04
34-68698 Jan. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 15, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-03
34-68689 Jan. 18, 2013 Notice of Filing of Proposed Rule Change to Amend Exchange Rules 507 and 1014 to Establish Remote Streaming Quote Trader Organizations
Comments due: February 15, 2013
See also:  Notice: Rel. No. 34-69417

SR-Phlx-2013-01
34-68674 Jan. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Pricing Schedule
Comments due: February 13, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-02
34-68648 Jan. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Fees Assessed for Certain Co-location Services
Comments due: February 8, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2012-146
34-68582 Jan. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Caps
Comments due: January 31, 2013

SR-Phlx-2012-141
34-68577 Jan. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Professional Options Transaction Charges
Comments due: January 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2012-145
34-68576 Jan. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule for the Following Direct Data Feed Products: Top of Phlx Options Data Feed, the Top of Phlx Options Plus Orders Data Feed, the PHLX Orders Data Feed and the PHLX Depth of Market Data Feed
Comments due: January 30, 2013

SR-Phlx-2012-130
34-68574 Jan. 3, 2013 Order Approving Proposed Rule Change to Amend Performance Evaluations with Respect to Quote Submissions of Streaming Quote Traders and Remote Streaming Quote Traders
See also:  Notice: Rel. No. 34-68217


Phlx File Number List for 2013
Release No. Date Details

SR-Phlx-2013-129
34-71212 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System Changes
Comments due: January 28, 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

SR-Phlx-2013-127
34-71169 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in PSX Rule 3301(b)
Comments due: January 17, 2014

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-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-2013-123
34-71106 Dec. 17, 2013 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: January 13, 2014
Comments received are available for this proposal.

SR-Phlx-2013-121
34-71108 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Two Features Relating to Complex Orders
Comments due: January 13, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-120
34-71096 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program
Comments due: January 13, 2014

SR-Phlx-2013-119
34-71078 Dec. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Rebates for Transactions in Qualified Contingent Cross Orders
Comments due: January 9, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-118
34-71040 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: January 7, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-117
34-71064 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Pricing Schedule
Comments due: January 8, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-116
34-71036 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under the PHLX Pricing Schedule for Use of the Carteret Testing Facility Test Environment
Comments due: January 7, 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
34-71010 Dec. 6, 2013 Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-114
34-70969 Dec. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: December 30, 2013
Additional Materials:  Exhibit 5

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:  
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
34-70940 Nov. 25, 2013 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate
Comments due: December 20, 2013
34-70866 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Customer Rebate
Comments due: December 10, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2013-112
34-70863 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the PIXL Auction Notification Requirements under Rule 1080
Comments due: December 10, 2013

SR-Phlx-2013-111
34-70874 Nov. 14, 2013 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: December 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-110
34-70840 Nov. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: December 6, 2013

SR-Phlx-2013-109
34-70850 Nov. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Box Spread Strategies
Comments due: December 9, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-108
34-70879 Nov. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits
Comments due: December 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-106
34-71177 Dec. 23, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
34-70821 Nov. 6, 2013 Notice of Filing of Proposed Rule Change to Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
Comments due: December 4, 2013
Comments received are available for this proposal.

SR-Phlx-2013-105
34-70748 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish for PHLX Orders Managed Data Solution Fees for Non-Display Usage
Comments due: November 19, 2013

SR-Phlx-2013-104
34-70745 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts
Comments due: November 19, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-101
34-71004 Dec. 6, 2013 Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program
34-70682 Oct. 15, 2013 Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2013-100
34-70629 Oct. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System
Comments due: November 12, 2013

SR-Phlx-2013-99
34-70673 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying Rule 1014 Regarding Daily Quoting Obligations
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-97
34-70541 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: October 24, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-96
34-70630 Oct. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Table of Contents of the Pricing Schedule
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-95
34-70451 Sep. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Temporary Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: October 16, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-93
34-70472 Sep. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Minor Modification to Pricing Incentive Programs
Comments due: October 18, 2013

SR-Phlx-2013-92
34-70416 Sep. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing Schedule Sections II and IV
Comments due: October 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-90
34-70371 Sep. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: October 8, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-89
34-70259 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: September 20, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-88
34-70271 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Trading Information and Rule Clarity to Phlx Participants
Comments due: September 24, 2013

SR-Phlx-2013-87
34-70278 Aug. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Commentary to Rule 1080 to Add a New PIXL ISO Order Type
Comments due: September 25, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-85
34-70327 Sep. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 640, Continuing Education for Registered Persons and Adopt a Corresponding Fee
Comments due: October 2, 2013

SR-Phlx-2013-84
34-70270 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 910 and Related Phlx Rules
Comments due: September 24, 2013

SR-Phlx-2013-83
34-70141 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System Until the End of September 2013
Comments due: September 4, 2013

SR-Phlx-2013-82
34-70174 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx Connectivity Options and Fees
Comments due: September 9, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-81
34-70142 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 1015 Regarding Accommodation Claims
Comments due: September 4, 2013

SR-Phlx-2013-80
34-70115 Aug. 5, 2013 Notice of Filing of Proposed Rule Changes to Its Excess Order Fee
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-79
34-70116 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delisting Series in the STOs and Opening up to Five Consecutive Weekly Expirations of STOs
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-78
34-70101 Aug. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Halts or Suspension When an Exchange Trading System Experiences Technical Failure or Failures
Comments due: August 29, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-77
34-70110 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-76
34-70654 Oct. 10, 2013 Order Granting Approval to Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts
See also:  Notice: Rel. No. 34-70242
34-70242 Aug. 21, 2013 Notice of Filing of Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts
Comments due: September 17, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-74
34-69989 Jul. 16, 2013 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, 2013

SR-Phlx-2013-73
34-69920 Jul. 2, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 1012 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Comments due: July 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-72
34-69921 Jul. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Acceptable Complex Execution Parameter
Comments due: July 30, 2013

SR-Phlx-2013-71
34-69958 Jul. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Section I Pricing for Select Symbols
Comments due: August 6, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-70
34-69901 Jul. 1, 2013

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for the Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: July 29, 2013


SR-Phlx-2013-69
34-69848 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Acceptable Trade Range for Orders and Quotes on PHLX XL
Comments due: July 22, 2013

SR-Phlx-2013-68
34-69842 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Section B of Exchange's Pricing Schedule
Comments due: July 22, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-67
34-69811 Jun. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of its New Options Floor Broker Management System
Comments due: July 17, 2013

SR-Phlx-2013-66
34-69817 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3100 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on NASDAQ OMX PSX
Comments due: July 18, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-65
34-70026 Jul. 23, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction
34-69829 Jun. 21, 2013 Notice of Filing of Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction
Comments due: July 18, 2013

SR-Phlx-2013-64
34-69786 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of 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: July 15, 2013

SR-Phlx-2013-63
34-69732 Jun. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Order to Disseminate a Spot Price for Treasury Options
Comments due: July 8, 2013

SR-Phlx-2013-62
34-69752 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Introduce a Market Maker Peg Order for Use on NASDAQ OMX PSX
Comments due: July 10, 2013

SR-Phlx-2013-61
34-69768 Jun. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend various sections of the Exchange's Pricing Schedule
Comments due: July 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-60
34-69717 Jun. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: July 5, 2013

SR-Phlx-2013-59
34-69671 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to apply a Strategy Fee Cap to Jelly Rolls
Comments due: June 26, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-58
34-69672 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Permit Fees and Other Floor Fees
Comments due: June 26, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-57
34-69683 Jun. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Typographical Errors in Respect of the Treasury Securities Options
Comments due: June 28, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-56
34-69632 May 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text
Comments due: June 20, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-55
34-69633 May 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series Program
Comments due: June 20, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-54
34-69610 May 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3306 and Rule 3303 to Stipulate How Participants in NASDAQ OMX PSX May Modify Previously Entered Orders and to Describe How Modified Orders Are Processed
Comments due: June 14, 2013

SR-Phlx-2013-53
34-69583 May 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Allow Cabinet Trading to Take Place Below $1 per Option Contract
Comments due: June 12, 2013

SR-Phlx-2013-52
34-69612 May 21, 2013 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Lead Market Maker Program on the NASDAQ OMX PSX Market and to Make Related Changes to the Schedule Fees and Rebates for Execution of Quotes and Orders
Comments due: June 18, 2013

SR-Phlx-2013-51
34-69588 May 15, 2013 Notice of Filing of Proposed Rule Change to its Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: June 11, 2013

SR-Phlx-2013-50
34-69586 May 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Options
Comments due: June 11, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-49
34-69548 May 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Sections of the Exchange's Pricing Schedule
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-48
34-69547 May 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Rebates Applicable to Qualified Contingent Cross Orders
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-46
34-69845 Jun. 25, 2013 Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL
34-69550 May 9, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-45
34-69555 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options
Comments due: June 6, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2013-44
34-69509 May 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Remote Streaming Quote Trader Fees and Reference a Remote Streaming Quote Trader Organization
Comments due: May 30, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-43
34-69500 May 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Application and Initiation Fees in Certain Circumstances
Comments due: May 29, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-42
34-67956 Jun. 13, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.
34-69498 May 2, 2013 Notice of Filing of Proposed Rule Change for the Permanent Approval of the Exchange's Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.
Comments due: May 29, 2013

SR-Phlx-2013-40
34-69465 Apr. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Strategy Fee Caps
Comments due: May 23, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-38
34-69401 Apr. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Routing Fees
Comments due: May 15, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-37
34-69269 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its FLEX Option No Minimum Value Size Pilot Program to March 28, 2014
Comments due: April 29, 2013

SR-Phlx-2013-36
34-69241 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading QCC and PIXL Orders in Mini Options
Comments due: April 22, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-35
34-69351 Apr. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options
Comments due: May 6, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-34
34-69162 Mar. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: April 12, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-31
34-69204 Mar. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections I and II of the Pricing Schedule
Comments due: April 17, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-30
34-69159 Mar. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 12, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-29
34-69344 Apr. 8, 2013 Order Granting Accelerated Approval of a Proposed Rule Change to Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
34-69141 Mar. 15, 2013 Notice of Filing of Proposed Rule Change to Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: April 4, 2013
Comments received are available for this proposal.

SR-Phlx-2013-28
34-69182 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for PSX Managed Data Solutions (MDS)
Comments due: April 16, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-26
34-69218 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 3100
Comments due: April 18, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-24
34-69452 Apr. 25, 2013 Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto to Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX
34-69194 Mar. 20, 2013 Notice of Filing of Proposed Rule Change to Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX
Comments due: April 16, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-023
34-69253 Mar. 28, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Routing Fees and the Customer Rebate Program
Comments due: April 26, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-21
34-69332 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations
34-69068 Mar. 7, 2013 Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations
Comments due: March 28, 2013

SR-Phlx-2013-20
34-69118 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Exchange Rule 1047(f) and (g) for Limit Up/Limit Down Situations
Comments due: April 8, 2013

SR-Phlx-2013-19
34-69076 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Fee Schedule Governing Order Routing for the NASDAQ OMX PSX Facility
Comments due: April 4, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-18
34-69031 Mar. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Long-Term Index Options
Comments due: March 29, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-17
34-68984 Feb. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Routing Fees to C2
Comments due: March 22, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-16
34-69005 Feb. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Transaction Fees for Options on Treasury Securities
Comments due: March 27, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-15
34-69229 Mar. 25, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit PSX to Accept Inbound Orders Routed by NASDAQ Execution Services LLC from the BX Equities Market
34-68889 Feb. 8, 2013 Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit PSX to Accept Inbound Orders Routed by Nasdaq Execution Services LLC from the BX Equities Market
Comments due: March 7, 2013

SR-Phlx-2013-14
34-68915 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013

SR-Phlx-2013-13
34-68924 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Customer Rebate Program and Other Technical Amendments
Comments due: March 13, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-12
34-68820 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Rule 3312, Entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-11
34-68816 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to Exchange Rule 133
Comments due: March 4, 2013

SR-Phlx-2013-10
34-68880 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Fees in Section II of the Pricing Schedule
Comments due: March 7, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-09
34-69471 Apr. 29, 2013 Order Approving Proposed Rule Change to Enhance the Functionality Offered on the Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
34-68960 Feb. 20, 2013 Notice of Filing of Proposed Rule Change to Enhance the Functionality Offered on its Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
Comments due: March 19, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-08
34-68838 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Routing Functionality of the NASDAQ OMX PSX Market
Comments due: March 5, 2013

SR-Phlx-2013-06
34-68793 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Clarification to the Exchange's Pricing Schedule to Clarify When an Order is Adding or Removing Liquidity
Comments due: February 27, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-05
34-69304 Apr. 4, 2013 Order Granting Approval of Proposed Rule Change Regarding Catastrophic Errors
34-68907 Feb. 12, 2013 Notice of Filing of Proposed Rule Change Regarding Catastrophic Errors
Comments due: March 12, 2013
Comments received are available for this proposal.

SR-Phlx-2013-04
34-68698 Jan. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 15, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-03
34-69417 Apr. 19, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rules 507 and 1014 to Establish Remote Streaming Quote Trader Organizations
34-68689 Jan. 18, 2013 Notice of Filing of Proposed Rule Change to Amend Exchange Rules 507 and 1014 to Establish Remote Streaming Quote Trader Organizations
Comments due: February 15, 2013

SR-Phlx-2013-02
34-68648 Jan. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Fees Assessed for Certain Co-location Services
Comments due: February 8, 2013
Additional Materials:  Exhibit 5

SR-Phlx-2013-01
34-68674 Jan. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Pricing Schedule
Comments due: February 13, 2013
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2013.shtml


Modified: 11/26/2014