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Phlx Rulemaking Archive: 2004

We encourage the public to submit comments on the following Philadelphia Stock Exchange (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

Phlx File Number List for 2004

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-Phlx-2004-87
34-50946 Dec. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Phlx Rule 1072 in View of Commission Regulation SHO
Comments due:  January 28, 2005

SR-Phlx-2004-82
34-50947 Dec. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to Short Sales.
Comments due:  January 28, 2005

SR-Phlx-2004-66
34-50945 Dec. 29, 2004 Order Granting Accelerated Approval to Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A

SR-Phlx-2004-89
34-50911 Dec. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Changes to Its Automated Options Market (AUTOM) System
Comments due:  January 19, 2005

SR-Phlx-2004-84
34-50901 Dec. 21, 2004 Notice of Filing of Proposed Rule Change to Eliminate the Public Order Exposure System Functionality from Phlx Rule 229
See also:  Order: Rel. No. 34-51144

SR-Phlx-2004-90
34-50877 Dec. 17, 2004 Notice of Filing of Proposed Rule Change, Relating to Remote Streaming Quote Traders
See also:  Order: Rel. No. 34-51126

SR-Phlx-2004-91
34-50856 Dec. 14, 2004 Notice of Filing of Proposed Rule Change to Establish a Directed Order Process for Orders Delivered to the Exchange Via AUTOM
See also:  Order: Rel. No. 34-50856
Comments received are available for this notice.

SR-Phlx-2004-51
34-50851 Dec. 14, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Phlx Regulation 5, Visitors and Applicants
See also:  Order: Rel. No. 34-51080

SR-Phlx-2004-86
34-50833 Dec. 10, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of an Exchange-Traded Fund Share
Comments due:  January 7, 2005

SR-Phlx-2004-70
34-50836 Dec. 10, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Impose New License Fees and to Modify the Calculation of the Firm-Related Equity Option and Index Option Fee Cap
Comments due:  January 7, 2005

SR-Phlx-2004-62
34-50832 Dec. 9, 2004 Order Granting Approval to Proposed Rule Change To Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed in Place
See also:  Notice: Rel. No. 34-50591

SR-Phlx-2004-57
34-50788 Dec. 3, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1, 2, 3, and 4 Thereto Relating to the Trade Allocation Algorithm Applicable to Options Traded on the Exchange's Electronic Trading Platform, Phlx XL
Comments due:  January 3, 2005

SR-Phlx-2004-80
34-50776 Dec. 1, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automatic Execution of Certain Orders in PACE During Locked Markets
Comments due:  December 29, 2004

SR-Phlx-2004-71
34-50752 Nov. 29, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension Through April 30, 2005, of a Pilot Program to Disengage the Automatic Execution Feature (AUTO-X) of the Exchange’s Automated Options Market (AUTOM)
Comments due:  December 27, 2004

SR-Phlx-2004-59
34-50751 Nov. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Minor Adjustments in the Calculation of the Nasdaq Composite Index®
Comments due:  December 27, 2004

SR-Phlx-2004-66
34-50727 Nov. 23, 2004 Notice of Filing of Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A
Comments due:  December 22, 2004
See also:  Order: Rel. No. 34-50945

SR-Phlx-2004-74
34-50728 Nov. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to $5 Bid/Ask Differentials in Options Traded on the Exchange’s Electronic Trading Platform, Phlx XL
Comments due:  December 22, 2004

SR-Phlx-2004-68
34-50723 Nov. 23, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due:  December 22, 2004

SR-Phlx-2004-72
34-50722 Nov. 23, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due:  December 22, 2004

SR-Phlx-2004-67
34-50676 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Assessing Index Option Charges for FXI Options
Comments due:  December 14, 2004

SR-Phlx-2004-69
34-50679 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Summary of Index Option and FXI Options Charges Fee Schedule
Comments due:  December 14, 2004

SR-Phlx-2004-62
34-50591 Oct. 26, 2004 Notice of Filing of Proposed Rule Change to Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed In Place
See also:  Order: Rel. No. 34-50832

SR-Phlx-2004-61
34-50572 Oct. 20, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due:  November 17, 2004

SR-Phlx-2004-64
34-50563 Oct. 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Change in Weighting Methodology of the Phlx/KBW Bank Index
Comments due:  November 16, 2004

SR-Phlx-2004-16
34-50562 Oct. 19, 2004 Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to Minimum Size Guarantees for Linkage Orders SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR-Phlx-2004-16
See also:  Notice: Rel. No. 34-50342
Third Quarter

SR-Phlx-2004-60
34-50471 Sep. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due:  21 days after publication in the Federal Register

SR-Phlx-2004-56
34-50420 Sep. 22, 2004 Order of Summary Abrogation
File No.: SR-Phlx-2004-50

SR-Phlx-2004-50
34-50420 Sep. 22, 2004 Order of Summary Abrogation
File No.: SR-Phlx-2004-56

SR-Phlx-2004-45
34-50416 Sep. 21, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 703 to Adopt a Tiered Late Filing Fee Schedule for Financial Reports
Comments due:  October 19, 2004

SR-Phlx-2004-39
34-50401 Sep. 16, 2004 Order Approving Proposed Rule Change, and Amendment No. 1 thereto relating to Retroactive Application of Permit Holder Fees and Billing Policies
See also:  Notice: Rel. No. 34-50129

SR-Phlx-2004-16
34-50342 Sep. 9, 2004 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Exchange Rules 1083(g) and (h), to Modify the Definitions of “Firm Customer Quote Size” and “Firm Principal Quote Size”
See also:  Order: Rel. No. 34-50562

SR-Phlx-2004-54
34-50336 Sep. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Continuing Education Requirements for Registered Persons
Comments due:  October 7, 2004

SR-Phlx-2004-48
34-50333 Sep. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to SIG Indices, LLLP Disclaimer
Comments due:  21 days after publication in the Federal Register

SR-Phlx-2004-49
34-50332 Sep. 9, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees Applicable to the Exchange’s Electronic Trading Platform, Phlx XL
Comments due:  October 7, 2004
Additional Materials: Exhibits 2 and 3; Exhibit 4

SR-PHLX-2004-55
34-50276 Aug. 26, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to NASDAQ-100 Index Tracking StockSM Equity Transaction Charges
Comments due:  September 23, 2004

SR-Phlx-2004-42
34-50229 Aug. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Unit Fixed Monthly Fee
Comments due:  21 days after publication in the Federal Register

SR-PHLX-2004-52
34-50174 Aug. 10, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its NASDAQ-100 Index Tracking StockSM Equity Transaction Charge to Replace the Total Shares Per Transaction Charge With a Single Per Share Charge
Comments due:  September 7, 2004

SR-Phlx-2004-47
34-50159 Aug. 5, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Legal Fees Incurred by the Exchange
Comments due:  October 7, 2004
Comments received electronically are available for this notice.
Second Quarter

SR-Phlx-2004-39
34-50129 Jul. 30, 2004 Notice of Filing of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Retroactive Application of Permit Holder Fees
See also:  Order: Rel. No. 34-50401

SR-Phlx-2004-44
34-50125 Jul. 30, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Relating to the Linkage Fee Pilot Program
Comments due:  August 26, 2004

SR-PHLX-2004-40
34-50106 Jul. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Replace the Total Shares Per Transaction Charge With a Single Per Share Charge
Comments due:  August 25, 2004

SR-Phlx-2003-59
34-50100 Jul. 27, 2004 Order Approving Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 6 and 7 to the Proposed Rule Change Relating to the Exchange’s New Electronic Trading Platform, “Phlx XL”
See also:  Notice: Rel. No. 34-49832

SR-Phlx-2004-46
34-50070 Jul. 23, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to a Pilot Program to Deploy the Options Floor Broker Management System
Comments due:  August 19, 2004

SR-Phlx-2004-27
34-49968 Jul. 2, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Processing of Satisfaction Orders following a Trade-Through Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Comments due:  August 2, 2004

SR-Phlx-2004-26
34-49891 Jun. 17, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Sending Multiple Principal Acting as Agent Orders That Are Larger than the Firm Customer Quote Size
Comments due:  July 19, 2004

SR-Phlx-2004-33
34-49881 Jun. 17, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Corporate Governance
Comments due:  July 15, 2004

SR-Phlx-2004-35
34-49864 Jun. 15, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Extension of a Pilot Limiting Trade-Through Liability at the End of the Options Trading Session
Comments due:  July 14, 2004

SR-Phlx-2004-32
34-49856 Jun. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 thereto, Relating to Permit Holder Fees
Comments due:  July 12, 2004

SR-Phlx-2003-59
34-49832 Jun. 8, 2004 Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Relating to the Exchange’s New Electronic Trading Platform, “Phlx XL”
See also:  Order: Rel. No. 34-50100
Additional Materials: Text of proposed rules also available

SR-Phlx-2004-22
34-49807 Jun. 4, 2004 Order Granting Approval of Proposed Rule Change Relating to Susquehanna Indices, LLP Disclaimer
See also:  Notice: Rel. No. 34-49605

SR-Phlx-2004-38
34-49801 Jun. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005
Comments due:  July 1, 2004

SR-Phlx-2003-68
34-49785 May 28, 2004 Order Granting Approval to Proposed Rule Change and Notice of Filing and Accelerated Approval of Amendment No. 3 Thereto adopting a new rule regarding nullification and adjustment of orders
See also:  Notice: Rel. No. 34-49435

SR-Phlx-2004-31
34-49770 May 25, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Temporary Waiver of Equity Option and Index Option Specialist Transaction Fees and ROT Comparison Fees for New and Recent Options Listings
Comments due:  June 23, 2004

SR-Phlx-2004-25
34-49751 May 21, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Broker-Dealer Equity Option Transaction Fees
Comments due:  June 18, 2004

SR-Phlx-2004-34
34-49748 May 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Rescission of Commentary .01(f) to Exchange Rule 708
Comments due:  June 16, 2004

SR-Phlx-2004-18
34-49697 May 13, 2004 Order Approving Proposed Rule Change to Make Permanent a Pilot Program Relating to the Book Sweep Function of the Exchange’s Automated Options Market System.

SR-Phlx-2004-30
34-49693 May 12, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Unit Fixed Monthly Fees
Comments due:  June 9, 2004

SR-Phlx-2004-24
34-49690 May 12, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading Hours of Canadian Dollar Foreign Currency Options
Comments due:  June 9, 2004

SR-PHLX-2004-28
34-49661 May 6, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Payment for Order Flow for the Top 120 Equity Options.
Comments due:  June 2, 2004

SR-Phlx-2004-22
34-49605 Apr. 22, 2004 Notice of Filing of Proposed Rule Change Relating to Susquehanna Indices LLP Disclaimer
Comments due:  May 24, 2004
See also:  Order: Rel. No. 34-49807

SR-Phlx-2003-54
34-49587 Apr. 21, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 to Amend Rules Relating to the Minimum Net Capital for Specialists in Index Fund Shares
Comments due:  May 19, 2004

SR-Phlx-2003-71
34-49523 Apr. 2, 2004 Order Approving Proposed Rule Change Relating to Participation Guarantees for Floor Brokers Representing Crossing and Facilitation Orders in Index Options

SR-Phlx-2004-03
34-49514 Apr. 1, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1, Relating to the Rescission of Exchange Rule 713
Comments due:  April 28, 2004
First Quarter

SR-Phlx-2004-17
34-49467 Mar. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Equity and Index Option Fees
Comments due:  April 21, 2004

SR-Phlx-2004-21
34-49459 Mar. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding the Book Sweep Function of the Exchange's Automated Options Market System
Comments due:  April 20, 2004

SR-Phlx-2004-20
34-49457 Mar. 23, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to an Extension of Interpretation of PACE Guarantees in Securities Subject to ITS Plan Exemption
Comments due:  April 19, 2004

SR-Phlx-2004-19
34-49456 Mar. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to the Execution of Market and Marketable Limit Orders in Certain Trust Shares and Trust Issued Receipts During a Locked Market
Comments due:  April 19, 2004

SR-Phlx-2003-68
34-49435 Mar. 17, 2004 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Options Transactions Resulting from Obvious Errors
See also:  Order: Rel. No. 34-49785
Comments due:  April 19, 2004

SR-Phlx-2003-73
34-49098 Jan. 16, 2004 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 Thereto Relating to the Demutualization of the Philadelphia Stock Exchange, Inc.
See also:  Notice: Rel. No. 34-48847

SR-Phlx-2003-75
34-49050 Jan. 9, 2004 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change


Phlx File Number List for 2004

Release No. Date Details

SR-Phlx-2004-96
34-51096 Jan. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to its Equity Option Specialist Deficit (Shortfall) Fee
Comments due:  February 28, 2005

SR-Phlx-2004-95
34-51179 Feb. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Limitation of the Net Inbound ITS Credit to Certain Phlx and SCCP Fees and Transaction-Related Charges
Comments due:  March 9, 2005

SR-Phlx-2004-94
34-51024 Jan. 11, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Increasing the Firm-Related Equity Option and Index Option Comparison and Transaction Cap
Comments due:  February 9, 2005

SR-Phlx-2004-93
34-50958 Jan. 4, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Maximum Order Delivery Size Over the AUTOM System
Comments due:  February 1, 2005

SR-Phlx-2004-92
34-51036 Jan. 13, 2005 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Adopting Phlx Rule 1017, Openings in Options, on a Permanent Basis
Comments due:  February 14, 2005

SR-Phlx-2004-91
34-51759 May 27, 2005 Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto to Establish a Directed Order Process for Orders Delivered to the Phlx Via AUTOM
Comments due:  June 27, 2005
Comments received are available for this notice.
34-50856 Dec. 14, 2004 Notice of Filing of Proposed Rule Change to Establish a Directed Order Process for Orders Delivered to the Exchange Via AUTOM
Comments due:  January 12, 2005
Comments received electronically are available for this notice.

SR-Phlx-2004-90
34-51126 Feb. 2, 2005 Order Approving Proposed Rule Change Relating to Remote Streaming Quote Traders
34-50877 Dec. 17, 2004 Notice of Filing of Proposed Rule Change, Relating to Remote Streaming Quote Traders
Comments due:  January 18, 2005

SR-Phlx-2004-89
34-50911 Dec. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Changes to Its Automated Options Market (AUTOM) System
Comments due:  January 19, 2005

SR-Phlx-2004-86
34-50833 Dec. 10, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of an Exchange-Traded Fund Share
Comments due:  January 7, 2005

SR-Phlx-2004-87
34-50946 Dec. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amending Phlx Rule 1072 in View of Commission Regulation SHO
Comments due:  January 28, 2005

SR-Phlx-2004-84
34-51144 Feb. 7, 2005 Order Granting Approval to Proposed Rule Change to Eliminate the Public Order Exposure System Functionality from Phlx Rule 229
34-50901 Dec. 21, 2004 Notice of Filing of Proposed Rule Change to Eliminate the Public Order Exposure System Functionality from Phlx Rule 229
Comments due:  January 19, 2005

SR-Phlx-2004-83
34-51715 May 19, 2005 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto Relating to the Matching of Certain Incoming Orders with Certain Phlx Existing Orders Through the PACE System
Comments due:  June 15, 2005
34-51394 Mar. 18, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Matching of Certain Incoming Orders with Certain Phlx Existing Orders

SR-Phlx-2004-82
34-50947 Dec. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to Short Sales.
Comments due:  January 28, 2005

SR-Phlx-2004-80
34-50776 Dec. 1, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automatic Execution of Certain Orders in PACE During Locked Markets
Comments due:  December 29, 2004

SR-Phlx-2004-75
34-51476 Apr. 5, 2005 Order Granting Approval to Proposed Rule Change Relating to Floor Official Conflicts of Interest
34-51272 Feb. 28, 2005 Notice of Filing of Proposed Rule Change Relating to Floor Official Conflicts of Interest

SR-Phlx-2004-74
34-50728 Nov. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to $5 Bid/Ask Differentials in Options Traded on the Exchange’s Electronic Trading Platform, Phlx XL
Comments due:  December 22, 2004

SR-Phlx-2004-73
34-51064 Jan. 21, 2005 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 thereto To Require Immediate Display of Customer Options Limit Orders
Comments due:  February 18, 2005

SR-Phlx-2004-72
34-50722 Nov. 23, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due:  December 22, 2004

SR-Phlx-2004-71
34-50752 Nov. 29, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension Through April 30, 2005, of a Pilot Program to Disengage the Automatic Execution Feature (AUTO-X) of the Exchange’s Automated Options Market (AUTOM)
Comments due:  December 27, 2004

SR-Phlx-2004-70
34-50836 Dec. 10, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Impose New License Fees and to Modify the Calculation of the Firm-Related Equity Option and Index Option Fee Cap
Comments due:  January 7, 2005

SR-Phlx-2004-69
34-50679 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Summary of Index Option and FXI Options Charges Fee Schedule
Comments due:  December 14, 2004

SR-Phlx-2004-68
34-50723 Nov. 23, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due:  December 22, 2004

SR-Phlx-2004-67
34-50676 Nov. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Assessing Index Option Charges for FXI Options
Comments due:  December 14, 2004

SR-Phlx-2004-66
34-50945 Dec. 29, 2004 Order Granting Accelerated Approval to Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A
34-50727 Nov. 23, 2004 Notice of Filing of Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A
Comments due:  December 22, 2004

SR-Phlx-2004-65
34-51926 Jun. 27, 2005 Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Relating to Back-up Trading Arrangements
34-51718 May 19, 2005 Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Backup Trading Arrangements
Additional Materials:
*
*
Amendment No. 2, Exhibits 3.A and 3.B: Agreement to Backup Trading Arrangements and First Amendment Relating to Backup Trading Arrangements

SR-Phlx-2004-64
34-50563 Oct. 19, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Change in Weighting Methodology of the Phlx/KBW Bank Index
Comments due:  November 16, 2004

SR-Phlx-2004-62
34-50832 Dec. 9, 2004 Order Granting Approval to Proposed Rule Change To Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed in Place
34-50591 Oct. 26, 2004 Notice of Filing of Proposed Rule Change to Waive the Options Specialist Shortfall Fee for One Specialist Unit That Did Not Have a Specialized Quote Feed In Place
Comments due:  November 22, 2004

SR-Phlx-2004-61
34-50572 Oct. 20, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due:  November 17, 2004

SR-Phlx-2004-60
34-50471 Sep. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Equity Options Payment for Order Flow Program
Comments due:  October 26, 2004

SR-Phlx-2004-59
34-50751 Nov. 29, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Minor Adjustments in the Calculation of the Nasdaq Composite Index®
Comments due:  December 27, 2004

SR-Phlx-2004-57
34-50788 Dec. 3, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1, 2, 3, and 4 Thereto Relating to the Trade Allocation Algorithm Applicable to Options Traded on the Exchange's Electronic Trading Platform, Phlx XL
Comments due:  January 3, 2005

SR-Phlx-2004-56
34-50420 Sep. 22, 2004 Order of Summary Abrogation
File No.: SR-Phlx-2004-50

SR-PHLX-2004-55
34-50276 Aug. 26, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to NASDAQ-100 Index Tracking StockSM Equity Transaction Charges
Comments due:  September 23, 2004

SR-Phlx-2004-54
34-50336 Sep. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Continuing Education Requirements for Registered Persons
Comments due:  October 7, 2004

SR-PHLX-2004-52
34-50174 Aug. 10, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its NASDAQ-100 Index Tracking StockSM Equity Transaction Charge to Replace the Total Shares Per Transaction Charge With a Single Per Share Charge
Comments due:  September 7, 2004

SR-Phlx-2004-51
34-51080 Jan. 26, 2005 Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Phlx Regulation 5, Visitors and Applicants
34-50851 Dec. 14, 2004 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Phlx Regulation 5, Visitors and Applicants
Comments due:  January 17, 2005

SR-Phlx-2004-50
34-50420 Sep. 22, 2004 Order of Summary Abrogation
File No.: SR-Phlx-2004-56

SR-Phlx-2004-49
34-50332 Sep. 9, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees Applicable to the Exchange’s Electronic Trading Platform, Phlx XL
Comments due:  October 7, 2004
Additional Materials:  Exhibits 2 and 3; Exhibit 4

SR-Phlx-2004-48
34-50333 Sep. 9, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto Relating to SIG Indices, LLLP Disclaimer
Comments due:  21 days after publication in the Federal Register

SR-Phlx-2004-47
34-50159 Aug. 5, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Legal Fees Incurred by the Exchange
Comments due:  October 7, 2004
Comments received electronically are available for this notice.

SR-Phlx-2004-46
34-50070 Jul. 23, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to a Pilot Program to Deploy the Options Floor Broker Management System
Comments due:  August 19, 2004

SR-Phlx-2004-45
34-50416 Sep. 21, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 703 to Adopt a Tiered Late Filing Fee Schedule for Financial Reports
Comments due:  October 19, 2004

SR-Phlx-2004-44
34-50125 Jul. 30, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Relating to the Linkage Fee Pilot Program
Comments due:  August 26, 2004

SR-Phlx-2004-42
34-50229 Aug. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Unit Fixed Monthly Fee
Comments due:  21 days after publication in the Federal Register

SR-Phlx-2004-40
34-50106 Jul. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Replace the Total Shares Per Transaction Charge With a Single Per Share Charge
Comments due:  August 25, 2004

SR-Phlx-2004-39
34-50401 Sep. 16, 2004 Order Approving Proposed Rule Change, and Amendment No. 1 thereto relating to Retroactive Application of Permit Holder Fees and Billing Policies
34-50129 Jul. 30, 2004 Notice of Filing of Proposed Rule Change, and Amendment No. 1 thereto, Relating to Retroactive Application of Permit Holder Fees
Comments due:  August 27, 2004

SR-Phlx-2004-38
34-49801 Jun. 3, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program under Which it Lists Options on Selected Stocks Trading Below $20 at One-Point Intervals Until June 5, 2005
Comments due:  July 1, 2004

SR-Phlx-2004-37
34-53356 Feb. 23, 2006 Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to Its Audit Committee
Comments due:  March 23, 2006
34-52777 Nov. 16, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Increase the Size of the Audit Committee
Comments due:  December 19, 2005

SR-Phlx-2004-35
34-49864 Jun. 15, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Extension of a Pilot Limiting Trade-Through Liability at the End of the Options Trading Session
Comments due:  July 14, 2004

SR-Phlx-2004-34
34-49748 May 20, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Rescission of Commentary .01(f) to Exchange Rule 708
Comments due:  June 16, 2004

SR-Phlx-2004-33
34-49881 Jun. 17, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Corporate Governance
Comments due:  July 15, 2004

SR-Phlx-2004-32
34-49856 Jun. 15, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 thereto, Relating to Permit Holder Fees
Comments due:  July 12, 2004

SR-Phlx-2004-31
34-49770 May 25, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Temporary Waiver of Equity Option and Index Option Specialist Transaction Fees and ROT Comparison Fees for New and Recent Options Listings
Comments due:  June 23, 2004

SR-Phlx-2004-30
34-49693 May 12, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Unit Fixed Monthly Fees
Comments due:  June 9, 2004

SR-PHLX-2004-28
34-49661 May 6, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Payment for Order Flow for the Top 120 Equity Options.
Comments due:  June 2, 2004

SR-Phlx-2004-27
34-49968 Jul. 2, 2004 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Processing of Satisfaction Orders following a Trade-Through Pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage
Comments due:  August 2, 2004

SR-Phlx-2004-26
34-49891 Jun. 17, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Sending Multiple Principal Acting as Agent Orders That Are Larger than the Firm Customer Quote Size
Comments due:  July 19, 2004

SR-Phlx-2004-25
34-49751 May 21, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Broker-Dealer Equity Option Transaction Fees
Comments due:  June 18, 2004

SR-Phlx-2004-24
34-49690 May 12, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading Hours of Canadian Dollar Foreign Currency Options
Comments due:  June 9, 2004

SR-Phlx-2004-22
34-49807 Jun. 4, 2004 Order Granting Approval of Proposed Rule Change Relating to Susquehanna Indices, LLP Disclaimer
34-49605 Apr. 22, 2004 Notice of Filing of Proposed Rule Change Relating to Susquehanna Indices LLP Disclaimer
Comments due:  May 24, 2004

SR-Phlx-2004-21
34-49459 Mar. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding the Book Sweep Function of the Exchange's Automated Options Market System
Comments due:  April 20, 2004

SR-Phlx-2004-20
34-49457 Mar. 23, 2004 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to an Extension of Interpretation of PACE Guarantees in Securities Subject to ITS Plan Exemption
Comments due:  April 19, 2004

SR-Phlx-2004-19
34-49456 Mar. 22, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to the Execution of Market and Marketable Limit Orders in Certain Trust Shares and Trust Issued Receipts During a Locked Market
Comments due:  April 19, 2004

SR-Phlx-2004-18
34-49697 May 13, 2004 Order Approving Proposed Rule Change to Make Permanent a Pilot Program Relating to the Book Sweep Function of the Exchange’s Automated Options Market System.

SR-Phlx-2004-17
34-49467 Mar. 24, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Equity and Index Option Fees
Comments due:  April 21, 2004

SR-Phlx-2004-16
34-50562 Oct. 19, 2004 Order Approving a Proposed Rule Change and Amendment No. 1 by the Boston Stock Exchange, Inc.; a Proposed Rule Change by the Chicago Board Options Exchange, Inc.; a Proposed Rule Change and Amendments No. 1 and 2 by the International Securities Exchange, Inc.; a Proposed Rule Change by the Pacific Exchange, Inc.; and a Proposed Rule Change and Amendment No. 1 by the Philadelphia Stock Exchange, Inc. Relating to Minimum Size Guarantees for Linkage Orders SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR-Phlx-2004-16
34-50342 Sep. 9, 2004 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Exchange Rules 1083(g) and (h), to Modify the Definitions of “Firm Customer Quote Size” and “Firm Principal Quote Size”
Comments due:  October 7, 2004

SR-Phlx-2004-03
34-49514 Apr. 1, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1, Relating to the Rescission of Exchange Rule 713
Comments due:  April 28, 2004

 

http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2004.shtml


Modified: 10/16/2014