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NASDAQ OMX BX, Inc. Rulemaking Archives: 2013
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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
BX File Number List for 2013
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2009
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-BX-2013-063 |
|
34-71197 |
Dec. 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Extranet Access Fee
Comments due: January 27, 2014
|
SR-BX-2013-064 |
|
34-71168 |
Dec. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in BX Rule 4751(b)
Comments due: January 17, 2014
|
SR-BX-2013-061 |
|
34-71107 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program
Comments due: January 13, 2014
Comments received
are available
for this proposal.
|
SR-BX-2013-059 |
|
34-71055 |
Dec. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: January 8, 2014
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-BX-2013-060 |
|
34-71039 |
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-BX-2013-058 |
|
34-71035 |
Dec. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under Rule 7030(d) for Use of the Carteret Testing Facility Test Environment
Comments due: January 7, 2014
|
SR-BX-2013-057 |
|
34-71011 |
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-BX-2013-016 |
|
34-70756 |
Oct. 25, 2013 |
Order Disapproving Proposed Rule Change to Adopt a Directed Order Process
See also:
Notice: Rel. No. 34-70295,
Notice: Rel. No. 34-69684,
Notice: Rel. No. 34-69040 |
SR-BX-2013-055 |
|
34-70746 |
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-BX-2013-054 |
|
34-70655 |
Oct. 10, 2013 |
Notice of Filing of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or Greater
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
| Third Quarter |
SR-BX-2013-047 |
|
34-70568 |
Sep. 30, 2013 |
Order Approving a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
See also:
Notice: Rel. No. 34-70158
|
SR-BX-2013-053 |
|
34-70542 |
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-BX-2013-052 |
|
34-70539 |
Sep. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Certain Options Symbols
Comments due: October 24, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-051 |
|
34-70339 |
Sep. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed for Connectivity to the Exchange Under Rule 7015 and Amend the Fees Assessed and Credits Paid Under Exchange Rule 7018(a)
Comments due: October 3, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-049 |
|
34-70311 |
Sep. 4, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 1120 and Adopt a Corresponding Fee
Comments due: October 1, 2013
|
SR-BX-2013-016 |
|
34-70295 |
Aug. 30, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process
See also:
Order: Rel. No. 34-70756,
Notice: Rel. No. 34-69684,
Notice: Rel. No. 34-69040 |
SR-BX-2013-050 |
|
34-70258 |
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-BX-2013-048 |
|
34-70160 |
Aug. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX Connectivity Options and Fees
Comments due: September 6, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-047 |
|
34-70158 |
Aug. 12, 2013 |
Notice of Filing of a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
Comments due: September 6, 2013
See also:
Order: Rel. No. 34-70568
|
SR-BX-2013-044 |
|
34-70114 |
Aug. 5, 2013 |
Notice of Filing of Proposed Rule Change to Its Excess Order Fee under Rule 7018(d)
Comments due: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-043 |
|
34-70111 |
Aug. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Rule Governing Modification of Orders 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-BX-2013-045 |
|
34-70107 |
Aug. 5, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 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: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-046 |
|
34-70095 |
Aug. 2, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Options Fees and Rebates
Comments due: August 29, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-042 |
|
34-70062 |
Jul. 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Nullification of Trades Involving Catastrophic Errors
Comments due: August 26, 2013
|
| Second Quarter |
SR-BX-2013-036 |
|
34-69837 |
Jun. 24, 2013 |
Order Approving a Proposed Rule Change for Permanent Approval of a Pilot to Permit BX Options to Accept Inbound Options Orders from NASDAQ OMX PHLX LLC and NASDAQ Options Market
See also:
Notice: Rel. No. 34-69576
|
SR-BX-2013-040 |
|
34-69821 |
Jun. 21, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Chapter XV of the BX Options Rules
Comments due: July 18, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-BX-2013-041 |
|
34-69818 |
Jun. 21, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4120 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on BX
Comments due: July 18, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-039 |
|
34-69784 |
Jun. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 15, 2013
|
SR-BX-2013-038 |
|
34-69753 |
Jun. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More under Rule 7018
Comments due: July 10, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-016 |
|
34-69684 |
Jun. 3, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process
Comments due: July 1, 2013
Rebuttal comments due: July 15, 2013
See also:
Order: Rel. No. 34-70756,
Notice: Rel. No. 34-70295,
Notice: Rel. No. 34-69040
Comments received
are available
for this proposal. |
SR-BX-2013-037 |
|
34-69677 |
May 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Fees and Rebates
Comments due: June 27, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-029 |
|
34-69607 |
May 20, 2013 |
Order Approving Proposed Rule Change Relating to Board of Director Qualifications
See also:
Notice: Rel. No. 34-69280
|
SR-BX-2013-036 |
|
34-69576 |
May 15, 2013 |
Notice of Filing of Proposed Rule Change for Permanent Approval of a Pilot to Permit BX Options to Accept Inbound Options Orders from NASDAQ OMX PHLX LLC and NASDAQ Options Services LLC
Comments due: June 11, 2013
See also:
Order: Rel. No. 34-69837
|
SR-BX-2013-035 |
|
34-69549 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct BX Rule 2140(c)
Comments due: June 5, 2013
|
SR-BX-2013-033 |
|
34-69525 |
May 6, 2013 |
Notice of Filing of Proposed Rule Change to Amend BX Rule 4756 and Rule 4763 to Stipulate How Participants in the NASDAQ OMX BX Equities Market May Modify Previously Entered Orders and to Describe How Modified Orders are Processed
Comments due: May 31, 2013
|
SR-BX-2013-034 |
|
34-69522 |
May 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filed by NASDAQ OMX BX, Inc. to its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More Under Rule 7018
Comments due: May 31, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-031 |
|
34-69456 |
Apr. 25, 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: May 22, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-030 |
|
34-69392 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 16, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-026 |
|
34-69343 |
Apr. 8, 2013 |
Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
See also:
Notice: Rel. No. 34-69140
|
SR-BX-2013-022 |
|
34-69334 |
Apr. 5, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
See also:
Notice: Rel. No. 34-69070
|
SR-BX-2013-029 |
|
34-69280 |
Apr. 2, 2013 |
Notice of Filing of Proposed Rule Change Relating to Board of Director Qualifications
Comments due: April 29, 2013
See also:
Order: Rel. No. 34-69607
|
| First Quarter |
SR-BX-2013-013 |
|
34-69232 |
Mar. 25, 2013 |
Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Receive Inbound Orders Routed by NASDAQ Execution Services LLC from PSX
See also:
Notice: Rel. No. 34-68890
|
SR-BX-2013-023 |
|
34-69230 |
Mar. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 23, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-025 |
|
34-69219 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 4120
Comments due: April 18, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-028 |
|
34-69184 |
Mar. 19, 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 16, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-024 |
|
34-69179 |
Mar. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits
Comments due: April 15, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-026 |
|
34-69140 |
Mar. 15, 2013 |
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
Comments due: April 4, 2013
See also:
Order: Rel. No. 34-69343
Comments received
are available
for this proposal.
|
SR-BX-2013-021 |
|
34-69119 |
Mar. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Chapter V, Section 3(d) and (e)
Comments due: April 8, 2013
|
SR-BX-2013-020 |
|
34-69071 |
Mar. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors
Comments due: April 4, 2013
|
SR-BX-2013-022 |
|
34-69070 |
Mar. 7, 2013 |
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
Comments due: March 29, 2013
See also:
Order: Rel. No. 34-69334
|
SR-BX-2013-019 |
|
34-69053 |
Mar. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Routing
Comments due: April 3, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-018 |
|
34-69041 |
Mar. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for Managed Data Solutions (MDS)
Comments due: April 2, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-016 |
|
34-69040 |
Mar. 5, 2013 |
Notice of Filing of Proposed Rule Change to Adopt a Directed Order Process
Comments due: April 1, 2013
See also:
Order: Rel. No. 34-70756,
Notice: Rel. No. 34-70295,
Notice: Rel. No. 34-69684
Comments received
are available
for this proposal.
|
SR-BX-2013-017 |
|
34-68977 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments due: March 25, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-014 |
|
34-68950 |
Feb. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 19, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-012 |
|
34-68916 |
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-BX-2013-011 |
|
34-68909 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Execution
Comments due: March 13, 2013
|
SR-BX-2013-013 |
|
34-68890 |
Feb. 8, 2013 |
Notice of Filing of Proposed Rule Change Requesting Permanent Approval of a Pilot Program to Receive Inbound Equities Orders from PSX through NES
Comments due: March 7, 2013
See also:
Order: Rel. No. 34-69232
|
SR-BX-2013-008 |
|
34-68840 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Routing Functionality to the NASDAQ OMX BX Equities Market
Comments due: March 5, 2013
|
SR-BX-2012-075 |
|
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-NASDAQ-2012-142, SR-Phlx-2012-142, SR-SCCP-2012-02
See also:
Notice: Rel. No. 34-68514
|
SR-BX-2013-010 |
|
34-68818 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: February 28, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-009 |
|
34-68815 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the delay of the operative date of a rule change to Exchange Rule 4121
Comments due: March 4, 2013
|
SR-BX-2013-005 |
|
34-68717 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-006 |
|
34-68719 |
Jan. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2012-063 |
|
34-68641 |
Jan. 11, 2013 |
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Listing Rules for Compensation Committees to Comply with Rule 10C-1 under the Act and Make Other Related Changes
Comments due: February 12, 2013
See also:
Notice: Rel. No. 34-68313,
Notice: Rel. No. 34-68018
|
SR-BX-2013-003 |
|
34-68625 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees Assessed for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-002 |
|
34-68608 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2012-074 |
|
34-68556 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot Options Fees
Comments due: January 29, 2013
Additional Materials:
Exhibit 5
|
| BX File Number List for 2013 |
| Release No. |
Date |
Details |
SR-BX-2013-065 |
|
34-71286 |
Jan. 10, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: February 6, 2014
|
SR-BX-2013-064 |
|
34-71168 |
Dec. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in BX Rule 4751(b)
Comments due: 21 days after publication in the Federal Register
|
SR-BX-2013-063 |
|
34-71197 |
Dec. 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Extranet Access Fee
Comments due: January 27, 2014
|
SR-BX-2013-061 |
|
34-71107 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program
Comments due: January 13, 2014
Comments received
are available
for this proposal.
|
SR-BX-2013-060 |
|
34-71039 |
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-BX-2013-059 |
|
34-71055 |
Dec. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More
Comments due: January 8, 2014
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-BX-2013-058 |
|
34-71035 |
Dec. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under Rule 7030(d) for Use of the Carteret Testing Facility Test Environment
Comments due: January 7, 2014
|
SR-BX-2013-057 |
|
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-NASDAQ-2013-148, SR-Phlx-2013-115, SR-SCCP-2013-01
|
|
34-71011 |
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-BX-2013-055 |
|
34-70746 |
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-BX-2013-054 |
|
34-70655 |
Oct. 10, 2013 |
Notice of Filing of Proposed Rule Change to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or Greater
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-053 |
|
34-70542 |
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-BX-2013-052 |
|
34-70539 |
Sep. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Certain Options Symbols
Comments due: October 24, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-051 |
|
34-70339 |
Sep. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed for Connectivity to the Exchange Under Rule 7015 and Amend the Fees Assessed and Credits Paid Under Exchange Rule 7018(a)
Comments due: October 3, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-050 |
|
34-70258 |
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-BX-2013-049 |
|
34-70311 |
Sep. 4, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 1120 and Adopt a Corresponding Fee
Comments due: October 1, 2013
|
SR-BX-2013-048 |
|
34-70160 |
Aug. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX Connectivity Options and Fees
Comments due: September 6, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-047 |
|
34-70568 |
Sep. 30, 2013 |
Order Approving a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
See also:
Notice: Rel. No. 34-70158
|
|
34-70158 |
Aug. 12, 2013 |
Notice of Filing of a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
Comments due: September 6, 2013
|
SR-BX-2013-046 |
|
34-70095 |
Aug. 2, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Options Fees and Rebates
Comments due: August 29, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-045 |
|
34-70107 |
Aug. 5, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 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: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-044 |
|
34-70114 |
Aug. 5, 2013 |
Notice of Filing of Proposed Rule Change to Its Excess Order Fee under Rule 7018(d)
Comments due: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-043 |
|
34-70111 |
Aug. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Rule Governing Modification of Orders 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-BX-2013-042 |
|
34-70062 |
Jul. 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Nullification of Trades Involving Catastrophic Errors
Comments due: August 26, 2013
|
SR-BX-2013-041 |
|
34-69818 |
Jun. 21, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4120 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on BX
Comments due: July 18, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-040 |
|
34-69821 |
Jun. 21, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Chapter XV of the BX Options Rules
Comments due: July 18, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-BX-2013-039 |
|
34-69784 |
Jun. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 15, 2013
|
SR-BX-2013-038 |
|
34-69753 |
Jun. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More under Rule 7018
Comments due: July 10, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-037 |
|
34-69677 |
May 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Fees and Rebates
Comments due: June 27, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-036 |
|
34-69837 |
Jun. 24, 2013 |
Order Approving a Proposed Rule Change for Permanent Approval of a Pilot to Permit BX Options to Accept Inbound Options Orders from NASDAQ OMX PHLX LLC and NASDAQ Options Market
|
|
34-69576 |
May 15, 2013 |
Notice of Filing of Proposed Rule Change for Permanent Approval of a Pilot to Permit BX Options to Accept Inbound Options Orders from NASDAQ OMX PHLX LLC and NASDAQ Options Services LLC
Comments due: June 11, 2013
|
SR-BX-2013-035 |
|
34-69549 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct BX Rule 2140(c)
Comments due: June 5, 2013
|
SR-BX-2013-034 |
|
34-69522 |
May 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filed by NASDAQ OMX BX, Inc. to its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More Under Rule 7018
Comments due: May 31, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-033 |
|
34-69525 |
May 6, 2013 |
Notice of Filing of Proposed Rule Change to Amend BX Rule 4756 and Rule 4763 to Stipulate How Participants in the NASDAQ OMX BX Equities Market May Modify Previously Entered Orders and to Describe How Modified Orders are Processed
Comments due: May 31, 2013
|
SR-BX-2013-031 |
|
34-69456 |
Apr. 25, 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: May 22, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-030 |
|
34-69392 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 16, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-029 |
|
34-69607 |
May 20, 2013 |
Order Approving Proposed Rule Change Relating to Board of Director Qualifications
See also:
Notice: Rel. No. 34-69280
|
|
34-69280 |
Apr. 2, 2013 |
Notice of Filing of Proposed Rule Change Relating to Board of Director Qualifications
Comments due: April 29, 2013
|
SR-BX-2013-028 |
|
34-69184 |
Mar. 19, 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 16, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-026 |
|
34-69343 |
Apr. 8, 2013 |
Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
|
|
34-69140 |
Mar. 15, 2013 |
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
Comments due: April 4, 2013
Comments received
are available
for this proposal.
|
SR-BX-2013-025 |
|
34-69219 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 4120
Comments due: April 18, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-024 |
|
34-69179 |
Mar. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits
Comments due: April 15, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-023 |
|
34-69230 |
Mar. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 23, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-022 |
|
34-69334 |
Apr. 5, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
|
|
34-69070 |
Mar. 7, 2013 |
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
Comments due: March 29, 2013
|
SR-BX-2013-021 |
|
34-69119 |
Mar. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Chapter V, Section 3(d) and (e)
Comments due: April 8, 2013
|
SR-BX-2013-020 |
|
34-69071 |
Mar. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors
Comments due: April 4, 2013
|
SR-BX-2013-019 |
|
34-69053 |
Mar. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Routing
Comments due: April 3, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-018 |
|
34-69041 |
Mar. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for Managed Data Solutions (MDS)
Comments due: April 2, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-017 |
|
34-68977 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments due: March 25, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-016 |
|
34-70756 |
Oct. 25, 2013 |
Order Disapproving Proposed Rule Change to Adopt a Directed Order Process |
|
34-70295 |
Aug. 30, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process
|
|
34-69684 |
Jun. 3, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process
Comments due: July 1, 2013
Rebuttal comments due: July 15, 2013
Comments received
are available
for this proposal. |
|
34-69040 |
Mar. 5, 2013 |
Notice of Filing of Proposed Rule Change to Adopt a Directed Order Process
Comments due: April 1, 2013
Comments received
are available
for this proposal.
|
SR-BX-2013-014 |
|
34-68950 |
Feb. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 19, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-013 |
|
34-69232 |
Mar. 25, 2013 |
Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Receive Inbound Orders Routed by NASDAQ Execution Services LLC from PSX
|
|
34-68890 |
Feb. 8, 2013 |
Notice of Filing of Proposed Rule Change Requesting Permanent Approval of a Pilot Program to Receive Inbound Equities Orders from PSX through NES
Comments due: March 7, 2013
|
SR-BX-2013-012 |
|
34-68916 |
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-BX-2013-011 |
|
34-68909 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Execution
Comments due: March 13, 2013
|
SR-BX-2013-010 |
|
34-68818 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: February 28, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-009 |
|
34-68815 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the delay of the operative date of a rule change to Exchange Rule 4121
Comments due: March 4, 2013
|
SR-BX-2013-008 |
|
34-68840 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Routing Functionality to the NASDAQ OMX BX Equities Market
Comments due: March 5, 2013
|
SR-BX-2013-006 |
|
34-68719 |
Jan. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-005 |
|
34-68717 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-003 |
|
34-68625 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees Assessed for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials:
Exhibit 5
|
SR-BX-2013-002 |
|
34-68608 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials:
Exhibit 5
|
http://www.sec.gov/rules/sro/bx/bxarchive/bxarchive2013.shtml
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