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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Nasdaq PHLX LLC File Number List for 2019
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-Phlx-2019-47 | ||
| 34-87489 | Nov. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2019-46 | ||
| 34-87403 | Oct. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 1097
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2019-43 | ||
| 34-87381 | Oct. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2019-45 | ||
| 34-87369 | Oct. 21, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-44 | ||
| 34-87356 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Phlx Rule 3312
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-38 | ||
| 34-87211 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Second Amended Limited Liability Company Agreement and By-Laws
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-40 | ||
| 34-87206 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 133
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-Phlx-2019-36 | ||
| 34-87109 | Sep. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule, at Equity 7, Section 3
Comments due: October 22, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-Phlx-2019-35 | ||
| 34-87094 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule, at Equity 7, Section 3
Comments due: October 21, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-37 | ||
| 34-87073 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Pricing of a Technology Infrastructure Migration
Comments due: October 21, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-33 | ||
| 34-86959 | Sep. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialists and Registered Options Traders
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-31 | ||
| 34-86844 | Aug. 30, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019 |
| SR-Phlx-2019-30 | ||
| 34-86795 | Aug. 28, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx Pricing at Options 7, Section 9, Titled Other Member Fees
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-28 | ||
| 34-86695 | Aug. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 605 and 1049 |
| SR-Phlx-2019-27 | ||
| 34-86610 | Aug. 8, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend SCAR Credits at Equity 7, Section 3(a)
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-25 | ||
| 34-86286 | Jul. 2, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1019, Adopt a New Rule 1073, Adopt a New Rule 1074, Rule 1080, Adopt a New Rule 1096, and Adopt a New Rule 1097
Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-Phlx-2019-20 | ||
| 34-86191 | Jun. 24, 2019 | Order Granting Approval of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades |
| SR-Phlx-2019-24 | ||
| 34-86140 | Jun. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 1034 to Extend Through December 31, 2019 or the Date of Permanent Approval, if earlier, the Penny Pilot Program in Options Classes in Certain Issues
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-23 | ||
| 34-86025 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 3, which Governs Pricing for Phlx Members Using the Nasdaq PSX System
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-22 | ||
| 34-85953 | May 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-20 | ||
| 34-85876 | May 16, 2019 | Notice of Filing of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades
Comments due: June 12, 2019 |
| SR-Phlx-2019-19 | ||
| 34-85862 | May 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 3 to Adopt a Qualified Market Maker Program and a Related Credit, and to Modify Two Existing Fees
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-18 | ||
| 34-85761 | May 2, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete and Relocate the Exchange's Current Registration, Qualification and Continuing Education Rules |
| SR-Phlx-2019-17 | ||
| 34-85740 | Apr. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Floor Trading Rules to Options 8
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-16 | ||
| 34-85692 | Apr. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Listing of P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-13 | ||
| 34-85669 | Apr. 17, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-06 | ||
| 34-85655 | Apr. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1080(m) Related to Routing to Away Markets
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-15 | ||
| 34-85654 | Apr. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-11 | ||
| 34-85629 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-14 | ||
| 34-85632 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-12 | ||
| 34-85579 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 133, Trading Halts Due to Extraordinary Market Volatility
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-09 | ||
| 34-85577 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the FBMS FIX Interface to Submit Orders to a Particular Floor Broker on the Options Floor |
| SR-Phlx-2019-07 | ||
| 34-85519 | Apr. 5, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend and Relocate the Qualified Contingent Cross Orders Rules
Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-Phlx-2019-05 | ||
| 34-85467 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify Replacement Issues That May Be Added to the Penny Pilot in Rule 1034
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-04 | ||
| 34-85366 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option Under Rule 3315
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-03 | ||
| 34-85262 | Mar. 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Option Floor Procedure Advice A-9 and Phlx Rules 1000 and 1066 and to Adopt a New Phlx Rule 1078
Comments due: April 3, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2018-83 | ||
| 34-85212 | Feb. 27, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend the Exchange's Port Fee Schedule |
| SR-Phlx-2019-02 | ||
| 34-85210 | Feb. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Terms of Index Option Contracts
Comments due: March 26, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2018-83 | ||
| 34-85152 | Feb. 15, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Exchanges' Port Fee Schedules
Comments due: March 15, 2019 Rebuttal comments due: March 29, 2019 Additional File No.: SR-BX-2018-066 |
| SR-Phlx-2018-72 | ||
| 34-85136 | Feb. 14, 2019 | Order Approving a Proposed Rule Change to Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions
Additional Materials: Exhibit 3 |
| SR-Phlx-2019-01 | ||
| 34-85125 | Feb. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: March 13, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2018-72 | ||
| 34-84981 | Jan. 9, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions |
Nasdaq PHLX LLC File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-Phlx-2019-47 | ||
| 34-87489 | Nov. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2019-46 | ||
| 34-87403 | Oct. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 1097
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2019-45 | ||
| 34-87369 | Oct. 21, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-44 | ||
| 34-87356 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Phlx Rule 3312
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-43 | ||
| 34-87381 | Oct. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-Phlx-2019-40 | ||
| 34-87206 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 133
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-38 | ||
| 34-87211 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Second Amended Limited Liability Company Agreement and By-Laws
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-37 | ||
| 34-87073 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Pricing of a Technology Infrastructure Migration
Comments due: October 21, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-36 | ||
| 34-87109 | Sep. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule, at Equity 7, Section 3
Comments due: October 22, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-Phlx-2019-35 | ||
| 34-87094 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule, at Equity 7, Section 3
Comments due: October 21, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-33 | ||
| 34-86959 | Sep. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialists and Registered Options Traders
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-31 | ||
| 34-86844 | Aug. 30, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019 |
| SR-Phlx-2019-30 | ||
| 34-86795 | Aug. 28, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx Pricing at Options 7, Section 9, Titled Other Member Fees
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-28 | ||
| 34-86695 | Aug. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 605 and 1049 |
| SR-Phlx-2019-27 | ||
| 34-86610 | Aug. 8, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend SCAR Credits at Equity 7, Section 3(a)
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-25 | ||
| 34-86286 | Jul. 2, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1019, Adopt a New Rule 1073, Adopt a New Rule 1074, Rule 1080, Adopt a New Rule 1096, and Adopt a New Rule 1097
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-24 | ||
| 34-86140 | Jun. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 1034 to Extend Through December 31, 2019 or the Date of Permanent Approval, if earlier, the Penny Pilot Program in Options Classes in Certain Issues
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-23 | ||
| 34-86025 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 3, which Governs Pricing for Phlx Members Using the Nasdaq PSX System
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-22 | ||
| 34-85953 | May 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-20 | ||
| 34-86191 | Jun. 24, 2019 | Order Granting Approval of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades |
| 34-85876 | May 16, 2019 | Notice of Filing of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades
Comments due: June 12, 2019 |
| SR-Phlx-2019-19 | ||
| 34-85862 | May 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 3 to Adopt a Qualified Market Maker Program and a Related Credit, and to Modify Two Existing Fees
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-18 | ||
| 34-85761 | May 2, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete and Relocate the Exchange's Current Registration, Qualification and Continuing Education Rules |
| SR-Phlx-2019-17 | ||
| 34-85740 | Apr. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Floor Trading Rules to Options 8
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-16 | ||
| 34-85692 | Apr. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Listing of P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-15 | ||
| 34-85654 | Apr. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-14 | ||
| 34-85632 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-13 | ||
| 34-85669 | Apr. 17, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-12 | ||
| 34-85579 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 133, Trading Halts Due to Extraordinary Market Volatility
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-11 | ||
| 34-85629 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-09 | ||
| 34-85577 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the FBMS FIX Interface to Submit Orders to a Particular Floor Broker on the Options Floor |
| SR-Phlx-2019-07 | ||
| 34-85519 | Apr. 5, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend and Relocate the Qualified Contingent Cross Orders Rules
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-06 | ||
| 34-85655 | Apr. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1080(m) Related to Routing to Away Markets
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-05 | ||
| 34-85467 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify Replacement Issues That May Be Added to the Penny Pilot in Rule 1034
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-04 | ||
| 34-85366 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option Under Rule 3315
Additional Materials: Exhibit 5 |
| SR-Phlx-2019-03 | ||
| 34-85262 | Mar. 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Option Floor Procedure Advice A-9 and Phlx Rules 1000 and 1066 and to Adopt a New Phlx Rule 1078
Comments due: April 3, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-02 | ||
| 34-85210 | Feb. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Terms of Index Option Contracts
Comments due: March 26, 2019 Additional Materials: Exhibit 5 |
| SR-Phlx-2019-01 | ||
| 34-85125 | Feb. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: March 13, 2019 Additional Materials: Exhibit 5 |