SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NASDAQ OMX PHLX LLC (Phlx) Rulemaking

We encourage the public to submit comments on the following NASDAQ OMX 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
Second Quarter |  First Quarter

Phlx File Number List for 2015

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

SR-Phlx-2014-66
34-75300 Jun. 25, 2015 Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
See also: Notice: Rel. No. 34-74746, Notice: Rel. No. 34-74167, Notice: Rel. No. 34-73791, Notice: Rel. No. 34-73441

SR-Phlx-2015-29
34-75293 Jun. 24, 2015 Notice of Filing of Amendment No. and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend and Restate Certain Rules that Govern the NASDAQ OMX PS
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2015-54
34-75286 Jun. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange’s Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2015-51
34-75256 Jun. 22, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Price Protection
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2015-49
34-75189 Jun. 17, 2015 Notice of Filing of Proposed Rule Change to Rule 1080.07
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2015-48
34-75142 Jun. 10, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange’s Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: July 7, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-46
34-75053 May 19, 2015 Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: June 23, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-45
34-75041 May 26, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange’s Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: June 22, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-39
34-74967 May 14, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Public Disclosure of Sources of Data Utilized By PSX
Comments due: June 10, 2015

SR-Phlx-2015-29
34-74954 May 13, 2015 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend and Restate Certain Rules that Govern the NASDAQ PSX
See also: Notice: Rel. No. 34-74618

SR-Phlx-2015-43
34-74919 May 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1092
Comments due: June 4, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-37
34-74874 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules to Describe How All-or-None Orders Are Handled by Its New Options Floor Broker Management System
Comments due: June 1, 2015

SR-Phlx-2015-36
34-74833 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phlx Permit Fee, Order Entry Port Fee, Clearing Trade Interface Port Fee, and Active Specialized Quote Feed Port Fee
Comments due:  May 26, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-35
34-74801 Apr. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Outdated Rule Language Contained in Rule 019 and Options Floor Procedures Advices
Comments due: May 20, 2015
Additional Materials: Exhibit 5

SR-Phlx-2014-66
34-74746 Apr. 16, 2015 Notice of Filing of Amendment No. 2 and Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2, to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due:  May 7, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75300, Notice: Rel. No. 34-74167, Notice: Rel. No. 34-73791, Notice: Rel. No. 34-73441

SR-Phlx-2015-31
34-74631 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Move the Rule Text of Current Rule 1070, Customer Complaints, Into Rule 1028, Confirmations, To Accommodate an Upcoming Rulebook Reorganization
Comments due: April 29, 2015

SR-NASDAQ-2015-30
34-74629 Apr. 1, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7001(c)
Comments due: April 28, 2015

SR-Phlx-2015-32
34-74628 Apr. 1, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3301(h)
Comments due: April 28, 2015
Additional Materials: Exhibit 5
First Quarter

SR-Phlx-2015-29
34-74618 Mar. 31, 2015 Notice of Proposed Rule Change to Amend and Restate Certain Rules that Govern the NASDAQ OMX PSX
Comments due: April 27, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-74954
Comments received are available for this proposal.

SR-Phlx-2015-28
34-74592 Mar. 26, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Harmonization of Phlx Rules
Comments due: April 22, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-27
34-74553 Mar. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Surveillance Agreements
Comments due: April 16, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-023
34-74533 Mar. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Updating to Certain Phlx Rules
Comments due: April 15, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-25
34-74531 Mar. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule's Preface and Sections I, II and IV
Comments due: April 15, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-22
34-74481 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding FLEX No Minimum Value Size Pilot
Comments due: April 7, 2015

SR-Phlx-2015-21
34-74460 Mar. 10, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebate Program, Multiply Listed Options, PIXL Pricing
Comments due: April 6, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-10
34-74453 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1082.02 and .03
Comments due: April 2, 2015

SR-Phlx-2015-20
34-74434 Mar. 4, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend One Aspect of the Administration of Income Generated By Payment For Order Flow Fees
Comments due: March 31, 2015

SR-Phlx-2015-19
34-74337 Feb. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Exchange Rule 1047(f)(v)
Comments due: March 19, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-14
34-74292 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-15
34-74272 Feb. 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Remote Streaming Quote Traders
Comments due: March 13, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-11
34-74197 Feb. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add New Rule 1016 to Authorize the Exchange to Share Phlx XL Participant-Designated Risk Settings in Phlx XL
Comments due: March 2, 2015

SR-Phlx-2015-08
34-74170 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule Under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due:  February 25, 2015
Additional Materials: Exhibit 5

SR-Phlx-2014-66
34-74167 Jan. 28, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due:  February 24, 2015
Rebuttal comments due:  March 10, 2015
See also: Notice: Rel. No. 34-75300, Notice: Rel. No. 34-74746, Notice: Rel. No. 34-73791, Notice: Rel. No. 34-73441
Comments received are available for this proposal.

SR-Phlx-2015-09
34-74145 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-05
34-74125 Jan. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to MNX and NDX
Comments due:  February 19, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-07
34-74099 Jan. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Pilot Program
Comments due:  February 17, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-Phlx-2015-06
34-74062 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Sections II and IV of the Pricing Schedule
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-01
34-74059 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebate Program
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-04
34-74022 Jan. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extranet Access Fee
Comments due:  February 5, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-03
34-74012 Jan. 7, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program in Rule 1059, Accommodation Transactions
Comments due:  February 3, 2015

SR-Phlx-2014-79
34-74003 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Rule Governing Modification of Orders on its NASDAQ OMX PSX Facility ("PSX") in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due:  February 2, 2015
Additional Materials: Exhibit 5

SR-Phlx-2014-83
34-74000 Jan. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees
Comments due:  February 2, 2015
Additional Materials: Exhibit 5

SR-Phlx-2014-81
34-73988 Jan. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extranet Access Fee
Comments due:  January 30, 2015
Additional Materials: Exhibit 5


Phlx File Number List for 2015
Release No. Date Details

SR-Phlx-2015-54
34-75286 Jun. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange’s Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2015-51
34-75256 Jun. 22, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Price Protection
Comments due: 21 days after publication in the Federal Register

SR-Phlx-2015-49
34-75189 Jun. 17, 2015 Notice of Filing of Proposed Rule Change to Rule 1080.07
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2015-48
34-75142 Jun. 10, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange’s Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: July 7, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-46
34-75053 May 19, 2015 Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: June 23, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-45
34-75041 May 26, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange’s Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: June 22, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-43
34-74919 May 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1092
Comments due: June 4, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-39
34-74967 May 14, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Public Disclosure of Sources of Data Utilized By PSX
Comments due: June 10, 2015

SR-Phlx-2015-37
34-74874 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules to Describe How All-or-None Orders Are Handled by Its New Options Floor Broker Management System
Comments due: June 1, 2015

SR-Phlx-2015-36
34-74833 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phlx Permit Fee, Order Entry Port Fee, Clearing Trade Interface Port Fee, and Active Specialized Quote Feed Port Fee
Comments due:  May 26, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-35
34-74801 Apr. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Outdated Rule Language Contained in Rule 019 and Options Floor Procedures Advices
Comments due: May 20, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-32
34-74628 Apr. 1, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3301(h)
Comments due: April 28, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-31
34-74631 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Move the Rule Text of Current Rule 1070, Customer Complaints, Into Rule 1028, Confirmations, To Accommodate an Upcoming Rulebook Reorganization
Comments due: April 29, 2015

SR-NASDAQ-2015-030
34-74629 Apr. 1, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7001(c)
Comments due: April 28, 2015

SR-Phlx-2015-29
34-75293 Jun. 24, 2015 Notice of Filing of Amendment No. and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend and Restate Certain Rules that Govern the NASDAQ OMX PS
Comments due: 21 days after publication in the Federal Register
34-74954 May 13, 2015 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend and Restate Certain Rules that Govern the NASDAQ PSX
34-74618 Mar. 31, 2015 Notice of Proposed Rule Change to Amend and Restate Certain Rules that Govern the NASDAQ OMX PSX
Comments due: April 27, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-Phlx-2015-28
34-74592 Mar. 26, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Harmonization of Phlx Rules
Comments due: April 22, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-27
34-74553 Mar. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Surveillance Agreements
Comments due: April 16, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-25
34-74531 Mar. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule's Preface and Sections I, II and IV
Comments due: April 15, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-023
34-74533 Mar. 19, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Updating to Certain Phlx Rules
Comments due: April 15, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-22
34-74481 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding FLEX No Minimum Value Size Pilot
Comments due: April 7, 2015

SR-Phlx-2015-21
34-74460 Mar. 10, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebate Program, Multiply Listed Options, PIXL Pricing
Comments due: April 6, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-20
34-74434 Mar. 4, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend One Aspect of the Administration of Income Generated By Payment For Order Flow Fees
Comments due: March 31, 2015

SR-Phlx-2015-19
34-74337 Feb. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Exchange Rule 1047(f)(v)
Comments due: March 19, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-15
34-74272 Feb. 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Remote Streaming Quote Traders
Comments due: March 13, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-14
34-74292 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-11
34-74197 Feb. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add New Rule 1016 to Authorize the Exchange to Share Phlx XL Participant-Designated Risk Settings in Phlx XL
Comments due: March 2, 2015

SR-Phlx-2015-10
34-74453 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1082.02 and .03
Comments due: April 2, 2015

SR-Phlx-2015-09
34-74145 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due:  February 19, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-08
34-74170 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule Under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due:  February 25, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-07
34-74099 Jan. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Pilot Program
Comments due:  February 17, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-Phlx-2015-06
34-74062 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Sections II and IV of the Pricing Schedule
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-05
34-74125 Jan. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to MNX and NDX
Comments due:  February 19, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-04
34-74022 Jan. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extranet Access Fee
Comments due:  February 5, 2015
Additional Materials: Exhibit 5

SR-Phlx-2015-03
34-74012 Jan. 7, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program in Rule 1059, Accommodation Transactions
Comments due:  February 3, 2015

SR-Phlx-2015-01
34-74059 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebate Program
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/phlx.shtml


Modified: 06/26/2015