NASDAQ OMX PHLX LLC (Phlx) Rulemaking

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Chronological List
Third Quarter |  Second Quarter |  First Quarter

Phlx File Number List for 2017

Additional Archives

Chronological List for 2017

Release No. Date Details
Third Quarter
SR-Phlx-2017-55
34-81642 Sep. 18, 2017 Notice of Filing of Proposed Rule Change to amend certain sections of Rules 1024, Conduct of Accounts for Options Trading, and of 1025, Supervision of Accounts, to conform them more closely to comparable rules of the Chicago Board Options Exchange ("CBOE") and to make minor clarifications and corrections to the text
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2017-56
34-81630 Sep. 15, 2017 Order Approving Proposed Rule Change to a proposal to amend Rule 1027, Discretionary Accounts, to conform it more closely to a comparable rule of the Chicago Board Options Exchange ("CBOE") and to make minor corrections and clarifications
See also: Notice: Rel. No. 34-81270
SR-Phlx-2017-72
34-81583 Sep. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Missing Letter to Section IV, Part D of the Pricing Schedule
Comments due: 21 days after publication in the Federal Register
SR-Phlx-2017-34
34-81567 Sep. 11, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and Adopt Rule 1063(e)(v) to Add the Snapshot Functionality to the Options Floor Broker Management System
See also: Notice: Rel. No. 34-81230
SR-Phlx-2017-43
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-80811
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-Phlx-2017-47
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80967
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
SR-Phlx-2017-71
34-81501 Aug. 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 431, 432, and 835 to Conform them to Securities Exchange Act Rule 15c6-1(a), which Shortens the Settlement Cycle to Two Dates after the Trade Date, and to Interpret the Amended Rules to Exclude September 5, 2017 as the First Ex-Dividend Date Thereunder
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2017-69
34-81433 Aug. 18, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening
Comments due: September 14, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-67
34-81409 Aug. 16, 2017 Notice of Filing of Proposed Rule Change Related to the Floor Requirements
Comments due: September 12, 2017
SR-Phlx-2017-68
34-81401 Aug. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 925 to Create a Limited Exception to the Exchange's Procedures to Designate an Inactive Nominee as an Effective Permit Holder Intra-Day and Make a Non-Substantive Change to the Pricing Schedule
Comments due: September 11, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-65
34-81382 Aug. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Clarify When Nasdaq PSX Will Utilize the Secondary Source of Data Pursuant to Rule 3304
Comments due: September 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-64
34-81370 Aug. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: September 6, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-63
34-81374 Aug. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section A of its Pricing Schedule Relating to the Exchange's Monthly Permit Fees for PSX Only Members
Comments due: September 6, 2017
Additional Materials: Exhibit 3, Exhibit 5
SR-Phlx-2017-61
34-81362 Aug. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-66
34-81352 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-54
34-81343 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule with Respect to the Options Regulatory Fee
Comments due: September 5, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2017-04
34-81293 Aug. 2, 2017 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
See also: Notice: Rel. No. 34-80581, Notice: Rel. No. 34-80241, Notice: Rel. No. 34-79894
SR-Phlx-2017-56
34-81270 Jul. 31, 2017 Notice of Filing of Proposed Rule Change to a Proposal to Amend Rule 1027, Discretionary Accounts, to Conform it More Closely to a Comparable Rule of the Chicago Board Options Exchange (“CBOE”) and to Make Minor Corrections and Clarifications
Comments due: August, 25, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-81630
SR-Phlx-2017-57
34-81246 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012
Comments due: August 23, 2017
SR-Phlx-2017-34
34-81230 Jul. 27, 2017 Notice of Filing of Proposed Rule Change to Add Functionality to the Options Floor Broker Management System
Comments due: August 22, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81567
SR-Phlx-2017-47
34-81162 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 996A
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-80967
SR-Phlx-2017-43
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-80811, Notice: Rel. No. 34-81499
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-Phlx-2017-53
34-81117 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Phlx Pricing Schedule, Section IX
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-48
34-81116 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-52
34-81091 Jul. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017
Additional Materials: Exhibit 3, Exhibit 5
Second Quarter
SR-Phlx-2017-37
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
See also:  Notice: Rel. No. 34-80725
Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
SR-Phlx-2017-49
34-81069 Jun. 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delivery of Options Disclosure Documents and Special Statement for Uncovered Options Writers
Comments due: July 28, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-47
34-80967 Jun. 19, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rule 996A
Comments due: July 14, 2017
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-81162
Comments received are available for this proposal.
SR-Phlx-2017-39
34-80972 Jun. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1049, Communications to Customers
Comments due: July 14, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-44
34-80938 Jun. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exchange's Transaction Fees at Section VIII
Comments due: July 11, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-40
34-80820 May 31, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Openings in Options Rule
Comments due: June 27, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-43
34-80811 May 30, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499
Comments received are available for this proposal.
SR-Phlx-2017-41
34-80769 May 25, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012
Comments due: June 22, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-36
34-80755 May 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: June 21, 2017
SR-Phlx-2017-37
34-80725 May 18, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section XIV
Comments due: June 14, 2017
Additional Materials: Exhibit 3, Exhibit 5
See also: Order: Rel. No. 34-81067
Comments received are available for this proposal.
SR-Phlx-2017-33
34-80660 May 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3317 to Modify the Date of Appendix B Website Data Publication
Comments due: June 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-04
34-80581 May 3, 2017 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
Comments due: May 30, 2017
Rebuttal comments due: June 13, 2017
See also:  Order: Rel. No. 34-81293, Notice: Rel. No. 34-80241, Notice: Rel. No. 34-79894
SR-Phlx-2017-32
34-80504 Apr. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1002 of the Exchange's Rules to Establish Certain Exemptions from Exercise Limits
Comments due: May 18, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-31
34-80483 Apr. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Section VIII
Comments due: May 16, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-30
34-80474 Apr. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule
Comments due: May 12, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-29
34-80466 Apr. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates and Pricing for Multiply Listed Options
Comments due: May 12, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-27
34-80431 Apr. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors
Comments due: May 8, 2017
Additional Materials: Exhibit 5
First Quarter
SR-Phlx-2017-25
34-80305 Mar. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section VII(A)
Comments due: April 20, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-07
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79945
Additional File Nos.:  SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
SR-Phlx-2017-24
34-80244 Mar. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing for NDX and MNX
Comments due: April 10, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-23
34-80243 Mar. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Address of the Exchange and its Shareholder
Comments due: April 10, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-04
34-80241 Mar. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
See also:  Order: Rel. No. 34-81293, Notice: Rel. No. 34-80581, Notice: Rel. No. 34-79894
SR-Phlx-2017-22
34-80226 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 3317
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-18
34-80162 Mar. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 31, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-19
34-80119 Feb. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Qualified Contingent Cross Orders
Comments due: March 27, 2017
SR-Phlx-2017-16
34-80109 Feb. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017
Additional Materials: Exhibit 5
SR-Phlx-2016-105
34-80074 Feb. 21, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as modified by Amendment No. 1, to Amend Rules 501, 507, 508, 510, and 511 of the Exchange
Comments due: March 20, 2017
SR-Phlx-2017-15
34-80064 Feb. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend PIXL pricing
Comments due: March 17, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-09
34-80008 Feb. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections I and II of the Pricing Schedule
Comments due: March 9, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-13
34-80007 Feb. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy
Comments due: March 9, 2017
Additional Materials: Exhibit 5
SR-Phlx-2016-120
34-79996 Feb. 9, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1s, To Accept Orders Routed Inbound from the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC
See also: Notice: Rel. No. 34-79662, Notice: Rel. No. 34-79661, Notice: Rel. No. 34-79660
SR-Phlx-2017-07
34-79945 Feb. 2, 2017 Notice of Filing of Proposed Rule Change to Adopt the Rule 900A Series
Comments due: March 1, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80256
Comments received are available for this proposal.
SR-Phlx-2017-05
34-79905 Jan. 31, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error
Comments due: February 27, 2017
SR-Phlx-2017-04
34-79894 Jan. 30, 2017 Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
Comments due: February 24, 2017
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-81293, Notice: Rel. No. 34-80581, Notice: Rel. No. 34-79894
Comments received are available for this proposal.
SR-Phlx-2016-119
34-79835 Jan. 18, 2017 Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and to Make Pilot Program Permanent
See also: Notice: Rel. No. 34-79584
SR-Phlx-2016-82
34-79805 Jan. 17, 2017 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. , to Adopt a New Exception in Phlx Rule 1000(f) for Sub-MPV Split-Price Orders
Comments due: February 14, 2017
See also: Notice: Rel. No. 34-79345, Notice: Rel. No. 34-79023, Notice: Rel. No. 34-78593
SR-Phlx-2017-01
34-79782 Jan. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program
Comments due: February 9, 2017
SR-Phlx-2017-02
34-79751 Jan. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Regulatory Fee
Comments due: February 2, 2017
Additional Materials: Exhibit 5
SR-Phlx-2016-105
34-79724 Jan. 3, 2017 Notice of Filing of Proposed Rule Change to Amend Rules 501, 507, 508, 510, and 511
Comments due: January 30, 2017
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-80074
Comments received are available for this proposal.

Phlx File Number List for 2017

Release No. Date Details
SR-Phlx-2017-72
34-81583 Sep. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Missing Letter to Section IV, Part D of the Pricing Schedule
Comments due: 21 days after publication in the Federal Register
SR-Phlx-2017-71
34-81501 Aug. 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 431, 432, and 835 to Conform them to Securities Exchange Act Rule 15c6-1(a), which Shortens the Settlement Cycle to Two Dates after the Trade Date, and to Interpret the Amended Rules to Exclude September 5, 2017 as the First Ex-Dividend Date Thereunder
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2017-69
34-81433 Aug. 18, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening
Comments due: September 14, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-68
34-81401 Aug. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 925 to Create a Limited Exception to the Exchange's Procedures to Designate an Inactive Nominee as an Effective Permit Holder Intra-Day and Make a Non-Substantive Change to the Pricing Schedule
Comments due: September 11, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-67
34-81409 Aug. 16, 2017 Notice of Filing of Proposed Rule Change Related to the Floor Requirements
Comments due: September 12, 2017
SR-Phlx-2017-66
34-81352 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-65
34-81382 Aug. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Clarify When Nasdaq PSX Will Utilize the Secondary Source of Data Pursuant to Rule 3304
Comments due: September 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-64
34-81370 Aug. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: September 6, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-63
34-81374 Aug. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section A of its Pricing Schedule Relating to the Exchange's Monthly Permit Fees for PSX Only Members
Comments due: September 6, 2017
Additional Materials: Exhibit 3, Exhibit 5
SR-Phlx-2017-61
34-81362 Aug. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-57
34-81246 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012
Comments due: August 23, 2017
SR-Phlx-2017-56
34-81630 Sep. 15, 2017 Order Approving Proposed Rule Change to a proposal to amend Rule 1027, Discretionary Accounts, to conform it more closely to a comparable rule of the Chicago Board Options Exchange ("CBOE") and to make minor corrections and clarifications
34-81270 Jul. 31, 2017 Notice of Filing of Proposed Rule Change to a Proposal to Amend Rule 1027, Discretionary Accounts, to Conform it More Closely to a Comparable Rule of the Chicago Board Options Exchange (“CBOE”) and to Make Minor Corrections and Clarifications
Comments due: August, 25, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-55
34-81642 Sep. 18, 2017 Notice of Filing of Proposed Rule Change to amend certain sections of Rules 1024, Conduct of Accounts for Options Trading, and of 1025, Supervision of Accounts, to conform them more closely to comparable rules of the Chicago Board Options Exchange ("CBOE") and to make minor clarifications and corrections to the text
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2017-54
34-81343 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule with Respect to the Options Regulatory Fee
Comments due: September 5, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2017-53
34-81117 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Phlx Pricing Schedule, Section IX
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-52
34-81091 Jul. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017
Additional Materials: Exhibit 3, Exhibit 5
SR-Phlx-2017-49
34-81069 Jun. 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delivery of Options Disclosure Documents and Special Statement for Uncovered Options Writers
Comments due: July 28, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-48
34-81116 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-47
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80967
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
34-81162 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 996A
34-80967 Jun. 19, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rule 996A
Comments due: July 14, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2017-44
34-80938 Jun. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exchange's Transaction Fees at Section VIII
Comments due: July 11, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-43
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
Additional File Nos.:SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
34-80811 May 30, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2017-41
34-80769 May 25, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012
Comments due: June 22, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-40
34-80820 May 31, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Openings in Options Rule
Comments due: June 27, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-39
34-80972 Jun. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1049, Communications to Customers
Comments due: July 14, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-37
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
34-80725 May 18, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section XIV
Comments due: June 14, 2017
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2017-36
34-80755 May 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: June 21, 2017
SR-Phlx-2017-34
34-81567 Sep. 11, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and Adopt Rule 1063(e)(v) to Add the Snapshot Functionality to the Options Floor Broker Management System
34-81230 Jul. 27, 2017 Notice of Filing of Proposed Rule Change to Add Functionality to the Options Floor Broker Management System
Comments due: August 22, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-33
34-80660 May 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3317 to Modify the Date of Appendix B Website Data Publication
Comments due: June 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-32
34-80504 Apr. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1002 of the Exchange's Rules to Establish Certain Exemptions from Exercise Limits
Comments due: May 18, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-31
34-80483 Apr. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Section VIII
Comments due: May 16, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-30
34-80474 Apr. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule
Comments due: May 12, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-29
34-80466 Apr. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates and Pricing for Multiply Listed Options
Comments due: May 12, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-27
34-80431 Apr. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors
Comments due: May 8, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-25
34-80305 Mar. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section VII(A)
Comments due: April 20, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-24
34-80244 Mar. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing for NDX and MNX
Comments due: April 10, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-23
34-80243 Mar. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Address of the Exchange and its Shareholder
Comments due: April 10, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-22
34-80226 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 3317
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-19
34-80119 Feb. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Qualified Contingent Cross Orders
Comments due: March 27, 2017
SR-Phlx-2017-18
34-80162 Mar. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 31, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-16
34-80109 Feb. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-15
34-80064 Feb. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend PIXL pricing
Comments due: March 17, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-13
34-80007 Feb. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy
Comments due: March 9, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-09
34-80008 Feb. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections I and II of the Pricing Schedule
Comments due: March 9, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-07
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
Additional File Nos.:  SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
34-79945 Feb. 2, 2017 Notice of Filing of Proposed Rule Change to Adopt the Rule 900A Series
Comments due: March 1, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2017-05
34-79905 Jan. 31, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error
Comments due: February 27, 2017
SR-Phlx-2017-04
34-81293 Aug. 2, 2017 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
34-80581 May 3, 2017 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
Comments due: May 30, 2017
Rebuttal comments due: June 13, 2017
34-80241 Mar. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
34-79894 Jan. 30, 2017 Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
Comments due: February 24, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2017-02
34-79751 Jan. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Regulatory Fee
Comments due: February 2, 2017
Additional Materials: Exhibit 5
SR-Phlx-2017-01
34-79782 Jan. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program
Comments due: February 9, 2017

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