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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
First Quarter

Phlx File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

SR-Phlx-2014-22
34-71985 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2014-20
34-71906 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions
Comments due: May 5, 2014

SR-Phlx-2014-21
34-71901 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2013-113
34-71891 Apr. 7, 2014 Request for Comment and Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate
Comments due: April 25, 2014
Rebuttal Comments due: May 9, 2014 See also: Suspension of and Order: Rel. No. 34-70940; Notice: Rel. No. 34-70866
First Quarter

SR-Phlx-2014-19
34-71822 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: April 23, 2014

SR-Phlx-2014-18
34-71783 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-16
34-71731 Mar. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction
Comments due: April 14, 2014

SR-Phlx-2014-14
34-71716 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options
Comments due: April 9, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-13
34-71674 Mar. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-15
34-71673 Mar. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-12
34-71569 Feb. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-10
34-71559 Feb. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014

SR-Phlx-2014-011
34-71535 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ OMX PSX's Optional Anti-Internalization Functionality
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-08
34-71529 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Monthly Strategy Cap
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-09
34-71520 Feb. 11, 2014 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 11, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-06
34-71491 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options
Comments due: March 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-07
34-71470 Feb. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Process
Comments due: March 3, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-04
34-71417 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-05
34-71416 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: 
Comments due: February 24, 2014

SR-Phlx-2013-115
34-71353 Jan. 17, 2014 Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2013-001, SR-BX-2013-057, SR-NASDAQ-2013-148, SR-SCCP-2013-01
See also:  Notice: Rel. No. 34-71010

SR-Phlx-2013-125
34-71258 Jan. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-03
34-71257 Jan. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: February 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2013-124
34-71256 Jan. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiply Listed Options Fees
Comments due: February 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-01
34-71236 Jan. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that an Extranet Access Fee is Not Charged
Comments due: January 31, 2014

SR-Phlx-2013-128
34-71228 Jan. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Describe the Application of Fees Assessed for Connectivity to the Carteret Test Environment under Chapter VIII of the Exchange's Pricing Schedule
Comments due: January 29, 2014


Phlx File Number List for 2014
Release No. Date Details

SR-Phlx-2014-22
34-71985 Apr. 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-Phlx-2014-21
34-71901 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-Phlx-2014-20
34-71906 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions
Comments due: May 5, 2014

SR-Phlx-2014-19
34-71822 Mar. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: April 23, 2014

SR-Phlx-2014-18
34-71783 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-16
34-71731 Mar. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction
Comments due: April 14, 2014

SR-Phlx-2014-15
34-71673 Mar. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-14
34-71716 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options
Comments due: April 9, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-13
34-71674 Mar. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-12
34-71569 Feb. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-011
34-71535 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ OMX PSX's Optional Anti-Internalization Functionality
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-10
34-71559 Feb. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014

SR-Phlx-2014-09
34-71520 Feb. 11, 2014 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 11, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-08
34-71529 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Monthly Strategy Cap
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-07
34-71470 Feb. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Process
Comments due: March 3, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-06
34-71491 Feb. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options
Comments due: March 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-05
34-71416 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: February 24, 2014

SR-Phlx-2014-04
34-71417 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: 
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-03
34-71257 Jan. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: February 4, 2014
Additional Materials:  Exhibit 5

SR-Phlx-2014-01
34-71236 Jan. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that an Extranet Access Fee is Not Charged
Comments due: January 31, 2014

 

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


Modified: 04/23/2014