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
2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998
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 |