Nasdaq PHLX LLC (Phlx) Rulemaking

We encourage the public to submit comments on the following Nasdaq 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
First Quarter

Nasdaq PHLX LLC File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Second Quarter
SR-Phlx-2018-31
34-83080 Apr. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section II to Clarify Fees Applicable to Correcting "As/of" or "Reversal" Trades
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2018-30
34-83077 Apr. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq Phlx
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2018-14
34-83033 Apr. 11, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Adopt Protections for Butterfly Spreads and Box Spreads
Comments due:  days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2018-26
34-83016 Apr. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2018-28
34-83005 Apr. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 1101A
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
First Quarter
SR-Phlx-2018-22
34-82975 Mar. 30, 2018 Notice of Filing of Proposed Rule Change to Create a New Rule 1081, to Amend Electronic Market Maker Obligations and Quoting Requirements for Electronic ROTs, Which Will Be Defined to Include SQTs, RSQTs, Directed SQTs, Directed RSQTs, Specialists, and Remote Specialists
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-27
34-82968 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Volume Based Pricing
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-24
34-82932 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a) of Exchange Rule 1001, Position Limits, to Increase the Position Limits for Options
Comments due: April 18, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-23
34-82928 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 990 Regarding the Requirements for Securities Listed on the Exchange Issued By Nasdaq, Inc. or Its Affiliates
Comments due: April 17, 2018
SR-Phlx-2018-20
34-82866 Mar. 13, 2018 Notice of Filing of Proposed Rule Change to a Proposal to Amend Rule 1079, FLEX Index, Equity and Currency Options and Rule 1059, Accommodation Transactions
Comments due:  April 9, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-21
34-82865 Mar. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Transaction Fees at Section VIII
Comments due:  April 9, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-19
34-82813 Mar. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Data Feeds
Comments due: March 30, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-14
34-82766 Feb. 23, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Order Type Protections, Butterfly and Box Spread Protections for Complex Order Strategy Trades
Comments due:  March 22, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2018-16
34-82765 Feb. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1082 and Eliminate Obsolete Language Referring to Legacy Phlx XL System
Comments due:  March 22, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-17
34-82753 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VI.A. of the Exchange's Pricing Schedule to Clarify the Exchange's Billing Practices with Respect to Permit Fees
Comments due:  March 20, 2018
SR-Phlx-2018-13
34-82653 Feb. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule to Exclude NDX and NDXP Options from the Strategy Caps and from Special Pricing for FLEX Transactions
Comments due: March 6, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-15
34-82649 Feb. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Cross-Reference to Rule 124(d) from Rule 1092
Comments due: March 6, 2018
Additional Materials: Exhibit 5
SR-Phlx-2017-103
34-82611 Feb. 1, 2018 Order Approving a Proposed Rule Change to Expand the Short Term Option Series Program to Allow Monday Expirations for SPY Options
SR-Phlx-2018-12
34-82609 Jan. 31, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Execution Protections Rule
Comments due: February 27, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-11
34-82601 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 22, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-09
34-82577 Jan. 24, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate and Amend Rule 1080(l)
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-10
34-82569 Jan. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VIII of the Exchange's Pricing Schedule
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-03
34-82550 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 3215 and Commentary Thereto to Codify PSX Participant Risk Settings in PSX and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the PSX Participant
Comments due: February 16, 2018
SR-Phlx-2017-43
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, 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-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-2017-37
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
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-2018-06
34-82505 Jan. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Price Improvement XL Rule
Comments due: February 12, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-02
34-82499 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Pricing for NDXP
Comments due: February 9, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-08
34-82495 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fee Schedule at Chapter IX
Comments due: February 9, 2018
Additional Materials: Exhibit 5
SR-Phlx-2017-75
34-82474 Jan. 9, 2018 Order Granting Approval of a Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security
SR-Phlx-2018-05
34-82470 Jan. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Cross-Reference in Rule 1017 (Openings in Options)
Comments due: February 6, 2018
Additional Materials: Exhibit 5
SR-Phlx-2017-99
34-82445 Jan. 5, 2018 Order Granting Accelerated Approval of a Proposed Rule Change to Amend Rule 1059 to Make Permanent a Program that Allows Cabinet Trade Transactions to Take Place at a Price Below $1 Per Option Contract
SR-Phlx-2017-108
34-82442 Jan. 4, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: January 30, 2018
Additional Materials: Exhibit 5
SR-Phlx-2017-74
34-82425 Jan. 2, 2018 Notice of Withdrawal of a Proposed Rule Change to Introduce the Intellicator Analytic Tool


Nasdaq PHLX LLC File Number List for 2018

Release No. Date Details
SR-Phlx-2018-31
34-83080 Apr. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section II to Clarify Fees Applicable to Correcting "As/of" or "Reversal" Trades
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2018-30
34-83077 Apr. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq Phlx
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2018-28
34-83005 Apr. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 1101A
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2018-27
34-82968 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Volume Based Pricing
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-26
34-83016 Apr. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-Phlx-2018-24
34-82932 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a) of Exchange Rule 1001, Position Limits, to Increase the Position Limits for Options
Comments due: April 18, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-23
34-82928 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 990 Regarding the Requirements for Securities Listed on the Exchange Issued By Nasdaq, Inc. or Its Affiliates
Comments due: April 17, 2018
SR-Phlx-2018-22
34-82975 Mar. 30, 2018 Notice of Filing of Proposed Rule Change to Create a New Rule 1081, to Amend Electronic Market Maker Obligations and Quoting Requirements for Electronic ROTs, Which Will Be Defined to Include SQTs, RSQTs, Directed SQTs, Directed RSQTs, Specialists, and Remote Specialists
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-21
34-82865 Mar. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Transaction Fees at Section VIII
Comments due:  April 9, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-20
34-82866 Mar. 13, 2018 Notice of Filing of Proposed Rule Change to a Proposal to Amend Rule 1079, FLEX Index, Equity and Currency Options and Rule 1059, Accommodation Transactions
Comments due:  April 9, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-19
34-82813 Mar. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Data Feeds
Comments due: March 30, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-17
34-82753 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VI.A. of the Exchange's Pricing Schedule to Clarify the Exchange's Billing Practices with Respect to Permit Fees
Comments due:  March 20, 2018
SR-Phlx-2018-16
34-82765 Feb. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1082 and Eliminate Obsolete Language Referring to Legacy Phlx XL System
Comments due:  March 22, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-15
34-82649 Feb. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Cross-Reference to Rule 124(d) from Rule 1092
Comments due: March 6, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-14
34-83033 Apr. 11, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Adopt Protections for Butterfly Spreads and Box Spreads
Comments due:  days after publication in the Federal Register
Additional Materials: Exhibit 5
34-82766 Feb. 23, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Order Type Protections, Butterfly and Box Spread Protections for Complex Order Strategy Trades
Comments due:  March 22, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-Phlx-2018-13
34-82653 Feb. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule to Exclude NDX and NDXP Options from the Strategy Caps and from Special Pricing for FLEX Transactions
Comments due: March 6, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-12
34-82609 Jan. 31, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Execution Protections Rule
Comments due: February 27, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-11
34-82601 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 23, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-10
34-82569 Jan. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VIII of the Exchange's Pricing Schedule
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-09
34-82577 Jan. 24, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate and Amend Rule 1080(l)
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-08
34-82495 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fee Schedule at Chapter IX
Comments due: February 9, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-06
34-82505 Jan. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Price Improvement XL Rule
Comments due: February 12, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-05
34-82470 Jan. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend a Cross-Reference in Rule 1017 (Openings in Options)
Comments due: February 6, 2018
Additional Materials: Exhibit 5
SR-Phlx-2018-03
34-82550 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 3215 and Commentary Thereto to Codify PSX Participant Risk Settings in PSX and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the PSX Participant
Comments due: February 16, 2018
SR-Phlx-2018-02
34-82499 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Pricing for NDXP
Comments due: February 9, 2018
Additional Materials: Exhibit 5