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NASDAQ OMX BX, Inc. Rulemaking

We encourage the public to submit comments on the following NASDAQ OMX BX, Inc. (BX) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Third Quarter |  Second Quarter |  First Quarter

BX File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-BX-2016-045
34-78431 Jul. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Tiers Related to SPY Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2016-044
34-78405 Jul. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due: 21 days after publication in the Federal Register

SR-BX-2016-034
34-78375 Jul. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Affiliated Entities
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2016-043
34-78361 Jul. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Adjustments to its Options Regulatory Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2016-040
34-78298 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Detection of Loss of Connection
Comments due: August 8, 2016
Additional Materials: Exhibit 5

SR-BX-2016-041
34-78278 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rule 7018
Comments due: August 5, 2016
Additional Materials: Exhibit 5

SR-BX-2016-032
34-78286 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Automated Removal of Quotes
Comments due: August 5, 2016
Additional Materials: Exhibit 5

SR-BX-2016-039
34-78250 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program
Comments due: August 3, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-BX-2016-038
34-78249 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend PRISM Pilot Program Through January 18, 2017
Comments due: August 3, 2016
Additional Materials: Exhibit 5

SR-BX-2016-037
34-78244 Jul. 7, 2016 Notice of Filing of Proposed Rule Change to Adopt Limit Order Protection
Comments due: August 3, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2016-033
34-78234 Jul. 6, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120
Comments due: August 2, 2016
Additional Materials: Exhibit 5
Second Quarter

SR-BX-2016-035
34-78199 Jun. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Professional Designation
Comments due: July 28, 2016
Additional Materials: Exhibit 5

SR-BX-2016-030
34-78125 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits
Comments due:  July 19, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-BX-2016-036
34-78107 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Options Quoting and Trading Activity
Comments due:  July 18, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2016-029
34-78064 Jun. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: July 11, 2016
Additional Materials: Exhibit 5

SR-BX-2016-021
34-78036 Jun. 10, 2016 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: July 7, 2016

SR-BX-2016-028
34-77914 May 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
Comments due: June 22, 2016
Additional Materials: Exhibit 5

SR-BX-2016-027
34-77892 May 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2
Comments due:  June 21, 2016
Additional Materials: Exhibit 5

SR-BX-2016-024
34-77799 May 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Maximum Number of Times an Order on BX May Be Updated Before the System Cancels the Order
Comments due: June 6, 2016
Additional Materials: Exhibit 5

SR-BX-2016-022
34-77719 Apr. 27, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due: May 24, 2016

SR-BX-2016-020
34-77590 Apr. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rule 7018(a)
Comments due:  May 9, 2016
Additional Materials: Exhibit 5
First Quarter

SR-BX-2016-019
34-77457 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 4770 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 22, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-BX-2016-018
34-77461 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete From the Exchange's Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants
Comments due: April 22, 2016
Additional Materials: Exhibit 5

SR-BX-2016-017
34-77429 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XI (Doing Business with the Public), Section 8 (Supervision of Accounts) of the Exchange’s Rulebook
Comments due: April 19, 2016

SR-BX-2016-014
34-77350 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 7018
Comments due: April 7, 2016
Additional Materials: Exhibit 5

SR-BX-2016-016
34-77339 Mar. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates to Adopt the Select Symbols Options Tier Schedule
Comments due: April 6, 2016
Additional Materials: Exhibit 5

SR-BX-2016-013
34-77282 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Rule 7015
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-BX-2016-008
34-77266 Mar. 1, 2016 Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection
See also: Notice: Rel. No. 34-77006

SR-BX-2016-012
34-77252 Feb. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend BX Options Chapter VII, Section 6
Comments due: March 25, 2016

SR-BX-2015-085
34-77165 Feb. 17, 2016 Order Approving Proposed Rule Changes, as Modified by Amendments Thereto, to Amend the By-Laws of NASDAQ, Inc.
Additional File Nos.: SR-BSECC-2015-002; SR-SCCP-2015-02; SR-NASDAQ-2015-160; SR-Phlx-2015-113
See also: Notice: Rel. No. 34-76808

SR-BX-2016-010
34-77129 Feb. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates Applicable to Firms and to Adopt Tiers Applicable to Options Overlying SPY
Comments due: March 11, 2016
Additional Materials: Exhibit 5

SR-BX-2016-007
34-77053 Feb. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due: March 2, 2016
Additional Materials: Exhibit 5

SR-BX-2016-008
34-77006 Feb. 1, 2016 Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection
Comments due: February 26, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-77266

SR-BX-2016-003
34-76952 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding SQF Port Fees
Comments due:  February 17, 2016
Additional Materials: Exhibit 5

SR-BX-2016-004
34-76947 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees
Comments due:  February 17, 2016
Additional Materials: Exhibit 5

SR-BX-2016-001
34-76915 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 7018
Comments due:  February 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2016-002
34-76875 Jan. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a)(6) of Rule 1120 (Continuing Education Requirements)
Comments due: February 9, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2015-087
34-76868 Jan. 11, 2016 Notice of Filing and Immediate Effectiveness of
Comments due: February 5, 2016
Additional Materials: Exhibit 5

SR-BX-2015-088
34-76831 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay of Implementation of Kill Switch
Comments due: February 1, 2016

SR-BX-2015-086
34-76829 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Retail Price Improvement Program
Comments due: February 1, 2016
Additional Materials: Exhibit 5


BX File Number List for 2016
Release No. Date Details

SR-BX-2016-045
34-78431 Jul. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Tiers Related to SPY Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2016-044
34-78405 Jul. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due: 21 days after publication in the Federal Register

SR-BX-2016-043
34-78361 Jul. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Adjustments to its Options Regulatory Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2016-041
34-78278 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rule 7018
Comments due: August 5, 2016
Additional Materials: Exhibit 5

SR-BX-2016-040
34-78298 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Detection of Loss of Connection
Comments due: August 8, 2016
Additional Materials: Exhibit 5

SR-BX-2016-039
34-78250 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program
Comments due: August 3, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-BX-2016-038
34-78249 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend PRISM Pilot Program Through January 18, 2017
Comments due: August 3, 2016
Additional Materials: Exhibit 5

SR-BX-2016-037
34-78244 Jul. 7, 2016 Notice of Filing of Proposed Rule Change to Adopt Limit Order Protection
Comments due: August 3, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2016-036
34-78107 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Options Quoting and Trading Activity
Comments due:  July 18, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2016-035
34-78199 Jun. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Professional Designation
Comments due: July 28, 2016
Additional Materials: Exhibit 5

SR-BX-2016-034
34-78375 Jul. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Affiliated Entities
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BX-2016-033
34-78234 Jul. 6, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120
Comments due: August 2, 2016
Additional Materials: Exhibit 5

SR-BX-2016-032
34-78286 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Automated Removal of Quotes
Comments due: August 5, 2016
Additional Materials: Exhibit 5

SR-BX-2016-030
34-78125 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits
Comments due:  July 19, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-BX-2016-029
34-78064 Jun. 14, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: July 11, 2016
Additional Materials: Exhibit 5

SR-BX-2016-028
34-77914 May 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
Comments due: June 22, 2016
Additional Materials: Exhibit 5

SR-BX-2016-027
34-77892 May 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2
Comments due:  June 21, 2016
Additional Materials: Exhibit 5

SR-BX-2016-024
34-77799 May 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Maximum Number of Times an Order on BX May Be Updated Before the System Cancels the Order
Comments due: June 6, 2016
Additional Materials: Exhibit 5

SR-BX-2016-022
34-77719 Apr. 27, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due: May 24, 2016

SR-BX-2016-021
34-78036 Jun. 10, 2016 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: July 7, 2016

SR-BX-2016-020
34-77590 Apr. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rule 7018(a)
Comments due:  May 9, 2016
Additional Materials: Exhibit 5

SR-BX-2016-019
34-77457 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 4770 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 22, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-BX-2016-018
34-77461 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete From the Exchange's Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants
Comments due: April 22, 2016
Additional Materials: Exhibit 5

SR-BX-2016-017
34-77429 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XI (Doing Business with the Public), Section 8 (Supervision of Accounts) of the Exchange’s Rulebook
Comments due: April 19, 2016

SR-BX-2016-016
34-77339 Mar. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates to Adopt the Select Symbols Options Tier Schedule
Comments due: April 6, 2016
Additional Materials: Exhibit 5

SR-BX-2016-014
34-77350 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 7018
Comments due: April 7, 2016
Additional Materials: Exhibit 5

SR-BX-2016-013
34-77282 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Rule 7015
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-BX-2016-012
34-77252 Feb. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend BX Options Chapter VII, Section 6
Comments due: March 25, 2016

SR-BX-2016-010
34-77129 Feb. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates Applicable to Firms and to Adopt Tiers Applicable to Options Overlying SPY
Comments due: March 11, 2016
Additional Materials: Exhibit 5

SR-BX-2016-008
34-77266 Mar. 1, 2016 Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection
34-77006 Feb. 1, 2016 Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection
Comments due: February 26, 2016
Additional Materials: Exhibit 5

SR-BX-2016-007
34-77053 Feb. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due: March 2, 2016
Additional Materials: Exhibit 5

SR-BX-2016-004
34-76947 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees
Comments due:  February 17, 2016
Additional Materials: Exhibit 5

SR-BX-2016-003
34-76952 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding SQF Port Fees
Comments due:  February 17, 2016
Additional Materials: Exhibit 5

SR-BX-2016-002
34-76875 Jan. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a)(6) of Rule 1120 (Continuing Education Requirements)
Comments due: February 9, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BX-2016-001
34-76915 Jan. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 7018
Comments due:  February 11, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

 

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


Modified: 07/29/2016