Nasdaq PHLX LLC (Phlx) Rulemaking Rulemaking
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Nasdaq PHLX LLC (Phlx) Rulemaking File Number List for 2021
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Chronological List for 2021
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| Release No. | Date | Details |
|---|---|---|
| Second Quarter | ||
| SR-Phlx-2021-30 | ||
| 34-91887 | May 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 7
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2021-28 | ||
| 34-91839 | May 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Phlx Listing Rules Related to Bid/Ask Differentials for Long-Term Options Series
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2020-41 | ||
| 34-91781 | May 5, 2021 | Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Options on a Nasdaq-100 Volatility Index
Comments due: June 1, 2021 |
| SR-Phlx-2021-27 | ||
| 34-91766 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Comments due: June 1, 2021 |
| SR-Phlx-2021-25 | ||
| 34-91751 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 1, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-24 | ||
| 34-91696 | Apr. 28, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Pricing Schedule at Options 7 to adopt pricing for index options on the Nasdaq 100 Micro Index
Comments due: May 26, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-22 | ||
| 34-91625 | Apr. 21, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7
Comments due: May 18, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-10 | ||
| 34-91614 | Apr. 20, 2021 | Order Approving a Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the Invesco QQQ TrustSM Series ETF Trust |
| SR-Phlx-2021-23 | ||
| 34-91579 | Apr. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Phlx Equity 4, Rule 3312 to the Close of Business on October 20, 2021
Comments due: May 12, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-07 | ||
| 34-91524 | Apr. 9, 2021 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Permit the Listing and Trading of Options Based on 1/100th the Value of the Nasdaq-100 Index |
| SR-Phlx-2021-14 | ||
| 34-91488 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Phlx Options Rules at Options 4 Under the Options 4 Title in the Exchanges Rulebooks Shell Structure
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-21 | ||
| 34-91484 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Nonstandard Expirations Pilot Program
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-19 | ||
| 34-91481 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 8, "Membership Fees."
Comments due: May 3. 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-17 | ||
| 34-91459 | Apr. 1, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the End of Day Summary Message on Nasdaq Last Sale Plus
Comments due: April 28, 2021 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-Phlx-2021-16 | ||
| 34-91418 | Mar. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 6, Part D to Reduce the Phlx Options Regulatory Fee
Comments due: April 22, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-13 | ||
| 34-91342 | Mar. 17, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 19, "Discretionary Power as to Customers' Accounts" and Adopt Two New Rules Within General 9 at Sections 30 and 45
Comments due: April 13, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-03 | ||
| 34-91299 | Mar. 11, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1, to Modify Phlx Options 8, Section 26, "Trading Halts, Business Continuity and Disaster Recovery"
Comments due: April 7, 2021 |
| SR-Phlx-2021-12 | ||
| 34-91285 | Mar. 9, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change to Amend Options 7, Section 3, "Rebates and Fees for Adding and Removing Liquidity in SPY"
Comments due: April 5, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-11 | ||
| 34-91263 | Mar. 5, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 3301B Regarding Reserve Orders
Comments due: April 1, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2020-41 | ||
| 34-91254 | Mar. 4, 2021 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Options on a Nasdaq-100 Volatility Index |
| SR-Phlx-2021-10 | ||
| 34-91238 | Mar. 2, 2021 | Notice of Filing of Proposed Rule Change to Permit Monday and Wednesday expirations for options listed pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust
Comments due: March 29, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-03 | ||
| 34-91220 | Feb. 26, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify Phlx Options 8, Section 26, "Trading Halts, Business Continuity and Disaster Recovery" |
| SR-Phlx-2021-07 | ||
| 34-91178 | Feb. 22, 2021 | Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of Options Based on 1/100th the Value of the Nasdaq-100 Index®
Comments due: March 19, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-Phlx-2021-09 | ||
| 34-91159 | Feb. 18, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3
Comments due: March 17, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-08 | ||
| 34-91142 | Feb. 17, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304
Comments due: March 16, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-05 | ||
| 34-91060 | Feb. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rules
Comments due: March 3, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-04 | ||
| 34-91058 | Feb. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Its PSX Equity and General Rules from Its Current Rulebook into Its New Rulebook Shell and Make Other Changes to the Phlx Rules
Comments due: March 3, 2021 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-Phlx-2021-01 | ||
| 34-90918 | Jan. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3
Comments due: February 9, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-02 | ||
| 34-90909 | Jan. 13, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Phlx Options 8, Section 28, "Responsibilities of Floor Brokers" and Section 30, "Crossing, Facilitation and Solicited Orders"
Comments due: February 11, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-03 | ||
| 34-90880 | Jan. 8, 2021 | Notice of Filing of Proposed Rule Change to Modify Phlx Options 8, Section 26, "Trading Halts, Business Continuity and Disaster Recovery"
Comments due: February 4, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
File Number List for 2021
| Release No. | Date | Details |
|---|---|---|
| SR-Phlx-2021-30 | ||
| 34-91887 | May 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 7
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2021-28 | ||
| 34-91839 | May 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Phlx Listing Rules Related to Bid/Ask Differentials for Long-Term Options Series
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2021-27 | ||
| 34-91766 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Comments due: June 1, 2021 |
| SR-Phlx-2021-25 | ||
| 34-91751 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 1, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-24 | ||
| 34-91696 | Apr. 28, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Pricing Schedule at Options 7 to adopt pricing for index options on the Nasdaq 100 Micro Index
Comments due: May 26, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-23 | ||
| 34-91579 | Apr. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Phlx Equity 4, Rule 3312 to the Close of Business on October 20, 2021
Comments due: May 12, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-22 | ||
| 34-91625 | Apr. 21, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7
Comments due: May 18, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-21 | ||
| 34-91484 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Nonstandard Expirations Pilot Program
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-19 | ||
| 34-91481 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 8, "Membership Fees."
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-17 | ||
| 34-91459 | Apr. 1, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the End of Day Summary Message on Nasdaq Last Sale Plus
Comments due: April 28, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-16 | ||
| 34-91418 | Mar. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 6, Part D to Reduce the Phlx Options Regulatory Fee
Comments due: April 22, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-14 | ||
| 34-91488 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Phlx Options Rules at Options 4 Under the Options 4 Title in the Exchanges Rulebooks Shell Structure
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-13 | ||
| 34-91342 | Mar. 17, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 19, "Discretionary Power as to Customers' Accounts" and Adopt Two New Rules Within General 9 at Sections 30 and 45
Comments due: April 13, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-12 | ||
| 34-91285 | Mar. 9, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change to Amend Options 7, Section 3, "Rebates and Fees for Adding and Removing Liquidity in SPY"
Comments due: April 5, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-11 | ||
| 34-91263 | Mar. 5, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 3301B Regarding Reserve Orders
Comments due: April 1, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-10 | ||
| 34-91614 | Apr. 20, 2021 | Order Approving a Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the Invesco QQQ TrustSM Series ETF Trust |
| 34-91238 | Mar. 2, 2021 | Notice of Filing of Proposed Rule Change to Permit Monday and Wednesday expirations for options listed pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust
Comments due: March 29, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-09 | ||
| 34-91159 | Feb. 18, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3
Comments due: March 17, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-08 | ||
| 34-91142 | Feb. 17, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304
Comments due: March 16, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-07 | ||
| 34-91524 | Apr. 9, 2021 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Permit the Listing and Trading of Options Based on 1/100th the Value of the Nasdaq-100 Index |
| 34-91178 | Feb. 22, 2021 | Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of Options Based on 1/100th the Value of the Nasdaq-100 Index®
Comments due: March 19, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-Phlx-2021-05 | ||
| 34-91060 | Feb. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rules
Comments due: March 3, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-04 | ||
| 34-91058 | Feb. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Its PSX Equity and General Rules from Its Current Rulebook into Its New Rulebook Shell and Make Other Changes to the Phlx Rules
Comments due: March 3, 2021 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-Phlx-2021-03 | ||
| 34-91299 | Mar. 11, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1, to Modify Phlx Options 8, Section 26, "Trading Halts, Business Continuity and Disaster Recovery"
Comments due: April 7, 2021 |
| 34-91220 | Feb. 26, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify Phlx Options 8, Section 26, "Trading Halts, Business Continuity and Disaster Recovery" |
| 34-90880 | Jan. 8, 2021 | Notice of Filing of Proposed Rule Change to Modify Phlx Options 8, Section 26, "Trading Halts, Business Continuity and Disaster Recovery"
Comments due: February 4, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-Phlx-2021-02 | ||
| 34-90909 | Jan. 13, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Phlx Options 8, Section 28, "Responsibilities of Floor Brokers" and Section 30, "Crossing, Facilitation and Solicited Orders"
Comments due: February 11, 2021 Additional Materials: Exhibit 5 |
| SR-Phlx-2021-01 | ||
| 34-90918 | Jan. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3
Comments due: February 9, 2021 Additional Materials: Exhibit 5 |