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NASDAQ OMX PHLX, Inc. (Phlx) Rulemaking Archive: 2009
We encourage the public to submit comments on the following NASDAQ OMX PHLX, Inc. (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 2009
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Release No. |
Date |
Details |
Fourth Quarter |
SR-Phlx-2009-107 |
34-61258 |
Dec. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Change to the Exchange's Complex Order Program
Comments due: January 26, 2010
|
SR-Phlx-2009-84 |
34-61207 |
Dec. 18, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Rules Relating to Conduct of Business on the Exchange
See also: Notice: Rel. No. 34-60961
|
SR-Phlx-2009-103 |
34-61202 |
Dec. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Certain Provisions of the Options Listing Procedures Plan into Phlx's Rules
Comments due: January 19, 2010
|
SR-Phlx-2009-101 |
34-61141 |
Dec. 10, 2009 |
Notice of Filing of Proposed Rule Change Relating to Collection of Exchange Fees
Comments due: January 7, 2010
Additional Materials: Exhibit 5
br>See also: Order: Rel. No. 34-61405
|
SR-Phlx-2009-100 |
34-61133 |
Dec. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Options Regulatory Fee
Comments due: January 6, 2010
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-Phlx-2009-97 |
34-61115 |
Dec. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Dividend, Merger and Short Stock Interest Strategies
Comments due: December 31, 2009
|
SR-Phlx-2009-99 |
34-61095 |
Dec. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding the Obligations of Streaming Quote Traders
Comments due: December 29, 2009
|
SR-Phlx-2009-98 |
34-61066 |
Nov. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Tied Hedge Transactions
Comments due: December 23, 2009
|
SR-Phlx-2009-94 |
34-60966 |
Nov. 9, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: December 8, 2009
|
SR-Phlx-2009-84 |
34-60961 |
Nov. 6, 2009 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Conduct of Business on the Exchange
Comments due: December 8, 2009
See also: Order: Rel. No. 34-61207
|
SR-Phlx-2009-95 |
34-60951 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Non Firm Quote Conditions
Comments due: December 8, 2009
|
SR-Phlx-2009-93 |
34-60942 |
Nov. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program
Comments due: December 3, 2009
|
SR-Phlx-2009-90 |
34-60879 |
Oct. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Listing Option Series that are Restricted to Closing Transactions if Such Series are Listed and Restricted to Closing Transactions on Another National Securities Exchange
Comments due: November 20, 2008
|
SR-Phlx-2009-92 |
34-60877 |
Oct. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the TOPO Plus Orders Data Feed
Comments due: November 20, 2008
|
SR-Phlx-2009-91 |
34-60873 |
Oct. 23, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program
Comments due: November 23, 2008
|
SR-Phlx-2009-89 |
34-60853 |
Oct. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Retroactively Waiving the Cancellation Fee
Comments due: November 18, 2009
|
SR-Phlx-2009-88 |
34-60845 |
Oct. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BX-2009-061, SR-NASDAQ-2009-087
Comments due: 21 days after publication in the Federal Register
|
SR-Phlx-2009-77 |
34-60840 |
Oct. 20, 2009 |
Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200
See also: Notice: Rel. No. 34-60637
|
SR-Phlx-2009-86 |
34-60785 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist and Registered Options Traders Allocation and Assignment Rules
Comments due: October 30, 2009
|
SR-Phlx-2009-69 |
34-60784 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Prohibit Options Specialist Commission Charges
Comments due: October 30, 2009
|
SR-Phlx-2009-85 |
34-60771 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the Specialist Fee Credit Pilot Program
Comments due: October 30, 2009
|
Third Quarter |
SR-Phlx-2009-65 |
34-60694 |
Sep. 18, 2009 |
Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00
See also: Notice: Rel. No. 34-60466
|
SR-Phlx-2009-82 |
34-60688 |
Sep. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Maximum Number of Quoters ("MNQ") Permitted to be Assigned in Equity Options
Comments due: October 16, 2009
|
SR-Phlx-2009-59 |
34-60687 |
Sep. 18, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Exchange’s By-Laws, Regulatory Oversight Committee and Referee Program
See also: Notice: Rel. No. 34-60431
|
SR-Phlx-2009-81 |
34-60679 |
Sep. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Option Expirations
Comments due: October 14, 2009
|
SR-Phlx-2009-79 |
34-60673 |
Sep. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Position Limit Exemptions
Comments due: October 14, 2009
|
SR-Phlx-2009-77 |
34-60637 |
Sep. 9, 2009 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200
Comments due: October 7, 2009
See also: Order: Rel. No. 34-60840
|
SR-Phlx-2009-78 |
34-60627 |
Sep. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the FLEX Minimum Size Pilot Program
Comments due: October 5, 2009
|
SR-Phlx-2009-76 |
34-60606 |
Sep. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Retroactive Waiver of the Cancellation Fee
Comments due: September 29, 2009
|
SR-Phlx-2009-73 |
34-60587 |
Aug. 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Standard and Poor's Depository Receipts/SPDRs ("SPY") Equity Options
Comments due: September 29, 2009
|
SR-Phlx-2009-72 |
34-60578 |
Aug. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Option Floor Broker Subsidy and Other Clarifying Changes to the Fee Schedule
Comments due: September 24, 2009
|
SR-Phlx-2009-61 |
34-60550 |
Aug. 20, 2009 |
Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan
See also: Notice: Rel. No. 34-60363
|
SR-Phlx-2009-70 |
34-60547 |
Aug. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Late Charges and Provide for Suspension or Termination for Failure to Pay Dues, Fees, or Assessments Owed
Comments due: September 18, 2009
|
SR-Phlx-2009-68 |
34-60486 |
Aug. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Settlement of FLEX Currency Options
Comments due: September 8, 2009
|
SR-Phlx-2009-67 |
34-60477 |
Aug. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Firm Proprietary Facilitation Orders
Comments due: September 8, 2009
|
SR-Phlx-2009-65 |
34-60466 |
Aug. 10, 2009 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00
Comments due: September 8, 2009
See also: Order: Rel. No. 34-60694
|
SR-Phlx-2009-66 |
34-60461 |
Aug. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Waivers
Comments due: September 8, 2009
|
SR-Phlx-2009-54 |
34-60459 |
Aug. 7, 2009 |
Order Approving a Proposed Rule Change to Establish Fees for the Top of Phlx Options Direct Data Feed Product
See also: Notice: Rel. No. 34-60202
|
SR-Phlx-2009-63 |
34-60456 |
Aug. 7, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program
Comments due: September 3, 2009
|
SR-Phlx-2009-62 |
34-60455 |
Aug. 6, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automatic Allocations of Options on Related Securities
Comments due: September 3, 2009
|
SR-Phlx-2009-59 |
34-60431 |
Aug. 4, 2009 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Exchange’s By-Laws, Regulatory Oversight Committee and Referee Program
Comments due: September 1, 2009
See also: Order: Rel. No. 34-60687
|
SR-Phlx-2009-57 |
34-60392 |
Jul. 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pilot Program for U.S. Dollar-Settled Foreign Currency Options
Comments due: August 24, 2009
|
SR-Phlx-2009-61 |
34-60363 |
Jul. 22, 2009 |
Notice of Filing of Proposed Rule Change Relating to Exchange Rules for the Options Order Protection and Locked/Crossed Market Plan
Comments due: August 18, 2009
See also: Order: Rel. No. 34-60550
|
SR-Phlx-2009-60 |
34-60358 |
Jul. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Amending the By-Laws of The NASDAQ OMX Group, Inc., Their Parent Company
Additional File No.: SR-BX-2009-040
Comments due: August 18, 2009
|
SR-Phlx-2009-42 |
34-60267 |
Jul. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to Complex Orders
Comments due: August 5, 2009
|
SR-Phlx-2009-50 |
34-60249 |
Jul. 6, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permanent Approval of the Exchange's Quarterly Option Series Pilot Program
Comments due: August 3, 2009
|
SR-Phlx-2009-51 |
34-60211 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Penny Pilot Program
Comments due: July 30, 2009
Comments received are available for this notice.
|
SR-Phlx-2009-53 |
34-60210 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Relating to Fees Applicable to "P" and "P/A" Orders
Comments due: July 30, 2009
|
SR-Phlx-2009-55 |
34-60209 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Related to a Specialist Fee Credit for Linkage Orders
Comments due: July 30, 2009
|
Second Quarter |
SR-Phlx-2009-54 |
34-60202 |
Jun. 30, 2009 |
Notice of Filing of Proposed Rule Change Relating to Fees for the Top of PHLX Options ("TOPO") Data Feed
Comments due: July 29, 2009
See also: Order: Rel. No. 34-60459
|
SR-Phlx-2009-48 |
34-60188 |
Jun. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee
Comments due: July 30, 2009
|
SR-Phlx-2009-40 |
34-60169 |
Jun. 24, 2009 |
Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Listing and Trading of Foreign Currency Options
See also: Notice: Rel. No. 34-60021
|
SR-Phlx-2009-46 |
34-60156 |
Jun. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to $1 Strikes for Reduced Value Nasdaq 100 Options (MNX)
Comments due: July 20, 2009
|
SR-Phlx-2009-35 |
34-60150 |
Jun. 19, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Definition of "Narrow-Based Index"
Comments due: July 17, 2009
|
SR-Phlx-2009-47 |
34-60103 |
Jun. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing Fees
Comments due: July 10, 2009
|
SR-Phlx-2009-37 |
34-60084 |
Jun. 10, 2009 |
Order Granting Approval of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists
See also: Notice: Rel. No. 34-59842
|
SR-Phlx-2009-44 |
34-60046 |
Jun. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee
Comments due: July 6, 2009
|
SR-Phlx-2009-40 |
34-60021 |
Jun. 1, 2009 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Listing and Trading New Currencies
Comments due: June 23, 2009
See also: Order: Rel. No. 34-60169
|
SR-Phlx-2009-32 |
34-59995 |
May 28, 2009 |
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: June 24, 2009
See also: Notice: Rel. No. 34-59721; Notice: Rel. No. 34-59779
Comments received are available for this notice.
|
SR-Phlx-2009-43 |
34-59925 |
May 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Order Entry Port Fee
Comments due: June 12, 2009
|
SR-Phlx-2009-23 |
34-59924 |
May 14, 2009 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto to Amend the By-Laws, Rules, and Option Floor Procedure Advices Concerning Governance of the Exchange
See also: Notice: Rel. No. 34-59697
|
SR-Phlx-2009-24 |
34-59891 |
May 8, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Increasing Transaction Fees for Linkage Inbound Principal Orders and Principal Acting as Agent Orders
See also: Notice: Rel. No. 34-59669
|
SR-Phlx-2009-41 |
34-59857 |
May 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of Options Transaction Charge for Customer Executions in Options on RUT, RMN, MNX and NDX
Comments due: June 2, 2009
|
SR-Phlx-2009-39 |
34-59852 |
Apr. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trading Post/Booth and Registration Fees
Comments due: May 28, 2009
|
SR-Phlx-2009-37 |
34-59842 |
Apr. 29, 2009 |
Notice of Filing of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists
Comments due: May 27, 2009
See also: Order: Rel. No. 34-60084
|
SR-Phlx-2009-38 |
34-59841 |
Apr. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow
Comments due: May 27, 2009
|
SR-Phlx-2009-17 |
34-59794 |
Apr. 20, 2009 |
Order Approving Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor
See also: Notice: Rel. No. 34-59538
|
SR-Phlx-2009-32 |
34-59779 |
Apr. 16, 2009 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: May 14, 2009
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-59721; Notice/Order: Rel. No. 34-59995
Comments received are available for this notice.
|
SR-Phlx-2009-31 |
34-59773 |
Apr. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: May 13, 2009
Additional File Nos.: SR-BX-2009-019, SR-NASDAQ-2009-032
|
SR-Phlx-2009-32 |
34-59721 |
Apr. 7, 2009 |
Notice of Filing of Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: May 5, 2009
See also: Notice: Rel. No. 34-59779; Notice/Order: Rel. No. 34-59995
Comments received are available for this notice.
|
SR-Phlx-2009-28 |
34-59705 |
Apr. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker
Comments due: May 4, 2009
|
SR-Phlx-2009-30 |
34-59704 |
Apr. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Options Transactions Charge for Customer Executions and to Remove the Per Trade Per Side Fee Cap in U.S. Dollar-Settled Foreign Currency Options
Comments due: May 1, 2009
|
SR-Phlx-2009-23 |
34-59697 |
Apr. 2, 2009 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Amend the By-Laws, Rules and Option Floor Procedure Advices of NASDAQ OMX PHLX, Inc.
Comments due: April 30, 2009
See also: Order: Rel. No. 34-59924
|
SR-Phlx-2009-24 |
34-59669 |
Apr. 1, 2009 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Increasing Linkage Inbound Principal Orders and Principal Acting as Agent Orders
Comments due: April 29, 2009
See also: Order: Rel. No. 34-59891
|
First Quarter |
SR-Phlx-2009-26 |
34-59641 |
Mar. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permit Fees
Comments due: April 23, 2009
|
SR-Phlx-2009-25 |
34-59631 |
Mar. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program
Comments due: April 23, 2009
|
SR-Phlx-2009-22 |
34-59611 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Administration of Certain Rules In Respect Of Index Data Dissemination
Comments due: April 17, 2009
|
SR-Phlx-2009-21 |
34-59590 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Related To the $1 Strike Price Program
Comments due: April 14, 2009
|
SR-Phlx-2009-18 |
34-59566 |
Mar. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Caps on Equity Option Transaction Charges on Dividend, Merger and Short Stock Interest Strategies
Comments due: April 9, 2009
|
SR-Phlx-2009-20 |
34-59545 |
Mar. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Elimination of Sector Index Options from Monthly Firm Cap
Comments due: April 6, 2009
|
SR-Phlx-2009-17 |
34-59538 |
Mar. 9, 2009 |
Notice of Filing of a Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor
Comments due: April 6, 2009
See also: Order: Rel. No. 34-59794
|
SR-Phlx-2009-19 |
34-59537 |
Mar. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. to Amend the Exchange’s Fee Schedule Relating to the Market Access Provider Subsidy
Comments due: April 6, 2009
|
SR-Phlx-2009-14 |
34-59460 |
Feb. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: March 27, 2009
Additional File Nos.: SR-NASDAQ-2009-010, SR-BX-2009-009
|
SR-Phlx-2009-08 |
34-59402 |
Feb. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Reformatting its Fee Schedule
Comments due: March 16, 2009
|
SR-Phlx-2009-12 |
34-59393 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Fee Schedule
Comments due: March 12, 2009
|
SR-Phlx-2009-10 |
34-59362 |
Feb. 5, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Sponsored Access
Comments due: March 4, 2009
|
SR-Phlx-2009-07 |
34-59346 |
Feb. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the $3 Price Requirement for Continued Approval For An Underlying Security And Listing Additional Series Of Options
Comments due: March 3, 2009
|
SR-Phlx-2009-03 |
34-59322 |
Jan. 30, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx Rule 1092, Obvious Errors and Catastrophic Errors
Comments due: March 3, 2009
|
SR-Phlx-2009-01 |
34-59283 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Requirements for Foreign Currency Options
Comments due: February 20, 2009
|
SR-Phlx-2008-87 |
34-59247 |
Jan. 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Phlx Fee Schedule
Comments due: February 12, 2009
|
SR-Phlx-2008-86 |
34-59243 |
Jan. 13, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Phlx Fee Schedule
Comments due: February 13, 2009
|
Phlx File Number List for 2009 |
Release No. |
Date |
Details |
SR-Phlx-2009-116 |
34-61405 |
Feb. 19, 2010 |
Order of Summary Abrogation of Three Proposed Rule Changes
|
34-61398 |
Jan. 22, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as modified by Amendment No. 1 thereto, by NASDAQ OMX PHLX, Inc. Relating to Transaction Fees and Rebates for Options Overlying Standard and Poor's Depositary Receipts ("SPDRs")
Comments due: February 19, 2010
Additional Materials: Exhibit 5
|
SR-Phlx-2009-113 |
34-61590 |
Feb. 25, 2010 |
Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits
|
34-61326 |
Jan. 11, 2010 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Index Option Position Limits
Comments due: February 9, 2010
|
SR-Phlx-2009-110 |
34-61282 |
Jan. 4, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow All SPY and IWM Option Series to Quote in Penny Increments
Comments due: February 1, 2010
|
SR-Phlx-2009-108 |
34-61277 |
Jan. 4, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. to Amend the $1 Strike Program to Allow Low-Strike LEAPS
Comments due: February 1, 2010
|
SR-Phlx-2009-107 |
34-61258 |
Dec. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Change to the Exchange's Complex Order Program
Comments due: January 26, 2010
|
SR-Phlx-2009-104 |
34-61547 |
Feb. 19, 2010 |
Order of Summary Abrogation of Three Proposed Rule Changes
|
34-61337 |
Jan. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Fee Schedule
Comments due: February 9, 2010
Additional Materials: Exhibit 5
|
SR-Phlx-2009-103 |
34-61202 |
Dec. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Certain Provisions of the Options Listing Procedures Plan into Phlx's Rules
Comments due: January 19, 2010
|
SR-Phlx-2009-101 |
34-61405 |
Jan. 21, 2010 |
Order Approving a Proposed Rule Change Relating to Collection of Exchange Fees
|
34-61141 |
Dec. 10, 2009 |
Notice of Filing of Proposed Rule Change Relating to Collection of Exchange Fees
Comments due: January 7, 2010
Additional Materials: Exhibit 5
|
SR-Phlx-2009-100 |
34-61133 |
Dec. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Options Regulatory Fee
Comments due: January 6, 2010
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-Phlx-2009-99 |
34-61095 |
Dec. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding the Obligations of Streaming Quote Traders
Comments due: December 29, 2009
|
SR-Phlx-2009-98 |
34-61066 |
Nov. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Tied Hedge Transactions
Comments due: December 23, 2009
|
SR-Phlx-2009-97 |
34-61115 |
Dec. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Dividend, Merger and Short Stock Interest Strategies
Comments due: December 31, 2009
|
SR-Phlx-2009-95 |
34-60951 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Non Firm Quote Conditions
Comments due: December 8, 2009
|
SR-Phlx-2009-94 |
34-60966 |
Nov. 9, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: December 8, 2009
|
SR-Phlx-2009-93 |
34-60942 |
Nov. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program
Comments due: December 3, 2009
|
SR-Phlx-2009-92 |
34-60877 |
Oct. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the TOPO Plus Orders Data Feed
Comments due: November 20, 2008
|
SR-Phlx-2009-91 |
34-60873 |
Oct. 23, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program
Comments due: November 23, 2008
|
SR-Phlx-2009-90 |
34-60879 |
Oct. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Listing Option Series that are Restricted to Closing Transactions if Such Series are Listed and Restricted to Closing Transactions on Another National Securities Exchange
Comments due: November 20, 2008
|
SR-Phlx-2009-89 |
34-60853 |
Oct. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Retroactively Waiving the Cancellation Fee
Comments due: November 18, 2009
|
SR-Phlx-2009-88 |
34-60845 |
Oct. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BX-2009-061, SR-NASDAQ-2009-087
Comments due: 21 days after publication in the Federal Register
|
SR-Phlx-2009-86 |
34-60785 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist and Registered Options Traders Allocation and Assignment Rules
Comments due: October 30, 2009
|
SR-Phlx-2009-85 |
34-60771 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the Specialist Fee Credit Pilot Program
Comments due: October 30, 2009
|
SR-Phlx-2009-84 |
34-61207 |
Dec. 18, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Rules Relating to Conduct of Business on the Exchange
|
34-60961 |
Nov. 6, 2009 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Conduct of Business on the Exchange
Comments due: December 8, 2009
|
SR-Phlx-2009-82 |
34-60688 |
Sep. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Maximum Number of Quoters ("MNQ") Permitted to be Assigned in Equity Options
Comments due: October 16, 2009
|
SR-Phlx-2009-81 |
34-60679 |
Sep. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Option Expirations
Comments due: October 14, 2009
|
SR-Phlx-2009-79 |
34-60673 |
Sep. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Position Limit Exemptions
Comments due: October 14, 2009
|
SR-Phlx-2009-78 |
34-60627 |
Sep. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the FLEX Minimum Size Pilot Program
Comments due: October 5, 2009
|
SR-Phlx-2009-77 |
34-60840 |
Oct. 20, 2009 |
Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200
|
34-60637 |
Sep. 9, 2009 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200
Comments due: October 7, 2009
|
SR-Phlx-2009-76 |
34-60606 |
Sep. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Retroactive Waiver of the Cancellation Fee
Comments due: September 29, 2009
|
SR-Phlx-2009-73 |
34-60587 |
Aug. 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Standard and Poor's Depository Receipts/SPDRs ("SPY") Equity Options
Comments due: September 29, 2009
|
SR-Phlx-2009-72 |
34-60578 |
Aug. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Option Floor Broker Subsidy and Other Clarifying Changes to the Fee Schedule
Comments due: September 24, 2009
|
SR-Phlx-2009-70 |
34-60547 |
Aug. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Late Charges and Provide for Suspension or Termination for Failure to Pay Dues, Fees, or Assessments Owed
Comments due: September 18, 2009
|
SR-Phlx-2009-69 |
34-60784 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Prohibit Options Specialist Commission Charges
Comments due: October 30, 2009
|
SR-Phlx-2009-68 |
34-60486 |
Aug. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Settlement of FLEX Currency Options
Comments due: September 8, 2009
|
SR-Phlx-2009-67 |
34-60477 |
Aug. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Firm Proprietary Facilitation Orders
Comments due: September 8, 2009
|
SR-Phlx-2009-66 |
34-60461 |
Aug. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Waivers
Comments due: September 8, 2009
|
SR-Phlx-2009-65 |
34-60694 |
Sep. 18, 2009 |
Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00
|
34-60466 |
Aug. 10, 2009 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00
Comments due: September 8, 2009
|
SR-Phlx-2009-63 |
34-60456 |
Aug. 7, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program
Comments due: September 3, 2009
|
SR-Phlx-2009-62 |
34-60455 |
Aug. 6, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automatic Allocations of Options on Related Securities
Comments due: September 3, 2009
|
SR-Phlx-2009-61 |
34-60550 |
Aug. 20, 2009 |
Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan
|
34-60363 |
Jul. 22, 2009 |
Notice of Filing of Proposed Rule Change Relating to Exchange Rules for the Options Order Protection and Locked/Crossed Market Plan
Comments due: August 18, 2009
|
SR-Phlx-2009-60 |
34-60358 |
Jul. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Amending the By-Laws of The NASDAQ OMX Group, Inc., Their Parent Company
Additional File No.: SR-BX-2009-040
Comments due: August 18, 2009
|
SR-Phlx-2009-59 |
34-60687 |
Sep. 18, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Exchange’s By-Laws, Regulatory Oversight Committee and Referee Program
|
34-60431 |
Aug. 4, 2009 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Exchange’s By-Laws, Regulatory Oversight Committee and Referee Program
Comments due: September 1, 2009
|
SR-Phlx-2009-57 |
34-60392 |
Jul. 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pilot Program for U.S. Dollar-Settled Foreign Currency Options
Comments due: August 24, 2009
|
SR-Phlx-2009-55 |
34-60209 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Related to a Specialist Fee Credit for Linkage Orders
Comments due: July 30, 2009
|
SR-Phlx-2009-54 |
34-60459 |
Aug. 7, 2009 |
Order Approving a Proposed Rule Change to Establish Fees for the Top of Phlx Options Direct Data Feed Product
|
34-60202 |
Jun. 30, 2009 |
Notice of Filing of Proposed Rule Change Relating to Fees for the Top of PHLX Options ("TOPO") Data Feed
Comments due: July 29, 2009
|
SR-Phlx-2009-53 |
34-60210 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Relating to Fees Applicable to "P" and "P/A" Orders
Comments due: July 30, 2009
|
SR-Phlx-2009-51 |
34-60211 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Penny Pilot Program
Comments due: July 30, 2009
Comments received are available for this notice.
|
SR-Phlx-2009-50 |
34-60249 |
Jul. 6, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permanent Approval of the Exchange's Quarterly Option Series Pilot Program
Comments due: August 3, 2009
|
SR-Phlx-2009-48 |
34-60188 |
Jun. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee
Comments due: July 30, 2009
|
SR-Phlx-2009-47 |
34-60103 |
Jun. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing Fees
Comments due: July 10, 2009
|
SR-Phlx-2009-46 |
34-60156 |
Jun. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to $1 Strikes for Reduced Value Nasdaq 100 Options (MNX)
Comments due: July 20, 2009
|
SR-Phlx-2009-44 |
34-60046 |
Jun. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee
Comments due: July 6, 2009
|
SR-Phlx-2009-43 |
34-59925 |
May 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Order Entry Port Fee
Comments due: June 12, 2009
|
SR-Phlx-2009-42 |
34-60267 |
Jul. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to Complex Orders
Comments due: August 5, 2009
|
SR-Phlx-2009-41 |
34-59857 |
May 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of Options Transaction Charge for Customer Executions in Options on RUT, RMN, MNX and NDX
Comments due: June 2, 2009
|
SR-Phlx-2009-40 |
34-60169 |
Jun. 24, 2009 |
Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Listing and Trading of Foreign Currency Options
|
34-60021 |
Jun. 1, 2009 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Listing and Trading New Currencies
Comments due: June 23, 2009
|
SR-Phlx-2009-39 |
34-59852 |
Apr. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trading Post/Booth and Registration Fees
Comments due: May 28, 2009
|
SR-Phlx-2009-38 |
34-59841 |
Apr. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow
Comments due: May 27, 2009
|
SR-Phlx-2009-37 |
34-60084 |
Jun. 10, 2009 |
Order Granting Approval of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists
|
34-59842 |
Apr. 29, 2009 |
Notice of Filing of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists
Comments due: May 27, 2009
|
SR-Phlx-2009-35 |
34-60150 |
Jun. 19, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Definition of "Narrow-Based Index"
Comments due: July 17, 2009
|
SR-Phlx-2009-32 |
34-59995 |
May 28, 2009 |
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: June 24, 2009
Comments received are available for this notice.
|
34-59779 |
Apr. 16, 2009 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: May 14, 2009
Additional Materials: Exhibit 5
Comments received are available for this notice.
Submit comments on SR-Phlx-2009-32
|
34-59721 |
Apr. 7, 2009 |
Notice of Filing of Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: May 5, 2009
Comments received are available for this notice.
Submit comments on SR-Phlx-2009-32
|
SR-Phlx-2009-31 |
34-59773 |
Apr. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: May 13, 2009
Additional File Nos.: SR-BX-2009-019, SR-NASDAQ-2009-032
|
SR-Phlx-2009-30 |
34-59704 |
Apr. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Options Transactions Charge for Customer Executions and to Remove the Per Trade Per Side Fee Cap in U.S. Dollar-Settled Foreign Currency Options
Comments due: May 1, 2009
|
SR-Phlx-2009-28 |
34-59705 |
Apr. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker
Comments due: May 4, 2009
|
SR-Phlx-2009-26 |
34-59641 |
Mar. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permit Fees
Comments due: April 23, 2009
|
SR-Phlx-2009-25 |
34-59631 |
Mar. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program
Comments due: April 23, 2009
|
SR-Phlx-2009-24 |
34-59891 |
May 8, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Increasing Transaction Fees for Linkage Inbound Principal Orders and Principal Acting as Agent Orders
|
34-59669 |
Apr. 1, 2009 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Increasing Linkage Inbound Principal Orders and Principal Acting as Agent Orders
Comments due: April 29, 2009
|
SR-Phlx-2009-23 |
34-59924 |
May 14, 2009 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto to Amend the By-Laws, Rules, and Option Floor Procedure Advices Concerning Governance of the Exchange
|
34-59697 |
Apr. 2, 2009 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Amend the By-Laws, Rules and Option Floor Procedure Advices of NASDAQ OMX PHLX, Inc.
Comments due: April 30, 2009
|
SR-Phlx-2009-22 |
34-59611 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Administration of Certain Rules In Respect Of Index Data Dissemination
Comments due: April 17, 2009
|
SR-Phlx-2009-21 |
34-59590 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Related To the $1 Strike Price Program
Comments due: April 14, 2009
|
SR-Phlx-2009-20 |
34-59545 |
Mar. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Elimination of Sector Index Options from Monthly Firm Cap
Comments due: April 6, 2009
|
SR-Phlx-2009-19 |
34-59537 |
Mar. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. to Amend the Exchange’s Fee Schedule Relating to the Market Access Provider Subsidy
Comments due: April 6, 2009
|
SR-Phlx-2009-18 |
34-59566 |
Mar. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Caps on Equity Option Transaction Charges on Dividend, Merger and Short Stock Interest Strategies
Comments due: April 9, 2009
|
SR-Phlx-2009-17 |
34-59794 |
Apr. 20, 2009 |
Order Approving Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor
|
34-59538 |
Mar. 9, 2009 |
Notice of Filing of a Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor
Comments due: April 6, 2009
|
SR-Phlx-2009-14 |
34-59460 |
Feb. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: March 27, 2009
Additional File Nos.: SR-NASDAQ-2009-010, SR-BX-2009-009
|
SR-Phlx-2009-12 |
34-59393 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Fee Schedule
Comments due: March 12, 2009
|
SR-Phlx-2009-10 |
34-59362 |
Feb. 5, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Sponsored Access
Comments due: March 4, 2009
|
SR-Phlx-2009-08 |
34-59402 |
Feb. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Reformatting its Fee Schedule
Comments due: March 16, 2009
|
SR-Phlx-2009-07 |
34-59346 |
Feb. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the $3 Price Requirement for Continued Approval For An Underlying Security And Listing Additional Series Of Options
Comments due: March 3, 2009
|
SR-Phlx-2009-03 |
34-59322 |
Jan. 30, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx Rule 1092, Obvious Errors and Catastrophic Errors
Comments due: March 3, 2009
|
SR-Phlx-2009-01 |
34-59283 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Requirements for Foreign Currency Options
Comments due: February 20, 2009
|
http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2009.shtml
|