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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 2015

Additional Archives


Chronological List
Release No. Date Details
First Quarter

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: 21 days after publication in the Federal Register
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: 21 days after publication in the Federal Register
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. 34-73791, 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 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on January 13, 2015, NASDAQ OMX PHLX LLC ("Phlx" or "Exchange") filed with the Securities and Exchange Commission ("SEC" or "Commission") the proposed rule change as described in Items I, II, and III, below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
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 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on January 2, 2015, NASDAQ OMX PHLX LLC ("Phlx" or "Exchange") filed with the Securities and Exchange Commission ("SEC" or "Commission") the proposed rule change as described in Items I, II, and III, below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
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-2015-19
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: 21 days after publication in the Federal Register
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: 21 days after publication in the Federal Register
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-2015-09
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 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on January 13, 2015, NASDAQ OMX PHLX LLC ("Phlx" or "Exchange") filed with the Securities and Exchange Commission ("SEC" or "Commission") the proposed rule change as described in Items I, II, and III, below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
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 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on January 2, 2015, NASDAQ OMX PHLX LLC ("Phlx" or "Exchange") filed with the Securities and Exchange Commission ("SEC" or "Commission") the proposed rule change as described in Items I, II, and III, below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due:  February 12, 2015
Additional Materials: Exhibit 5

 

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


Modified: 02/26/2015