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NASDAQ OMX PHLX, Inc. (Phlx) Rulemaking Archive: 2011
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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Phlx File Number List for 2011
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Release No. |
Date |
Details |
Fourth Quarter |
SR-Phlx-2011-129 |
34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Notice: Rel. No. 34-65770; and
Notice: Rel. No. 34-65434
Comments received
are available
for this notice.
|
SR-Phlx-2011-177 |
34-66037 |
Dec. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX
Comments due: January 19, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-118 |
34-66023 |
Dec. 21, 2011 |
Order Approving Proposed Rule Change Relating to Transfer of Positions Off the Floor
See also:
Notice: Rel. No. 34-65666
|
SR-Phlx-2011-136 |
34-66022 |
Dec. 21, 2011 |
Order Approving Proposed Rule Change Relating to Transfer of Exchange House Accounts
See also:
Notice: Rel. No. 34-65667
|
SR-Phlx-2011-164 |
34-66016 |
Dec. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee Schedule for Co-Location Services
Comments due: January 17, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-142 |
34-66011 |
Dec. 20, 2011 |
Order Approving a Proposed Rule Change to Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections
See also:
Correction: Rel. No. 34-65689A
and
Notice: Rel. No. 34-65689
|
SR-Phlx-2011-174 |
34-66005 |
Dec. 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Executions and the Monthly Cap
Comments due: January 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-155 |
34-66004 |
Dec. 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Stock Execution Clerks and the Trading Floor Personnel Registration Fee
Comments due: January 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-175 |
34-65986 |
Dec. 16, 2011 |
Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals for SLV and USO Options
Comments due: January 12, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66285
|
SR-Phlx-2011-172 |
34-65976 |
Dec. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: January 11, 2012
|
SR-Phlx-2011-168 |
34-65946 |
Dec. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker Subsidy
Comments due: January 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-171 |
34-65945 |
Dec. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: January 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-162 |
34-65940 |
Dec. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: January 6, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-170 |
34-65934 |
Dec. 9, 2011 |
Notice of Filing of Proposed Rule Change to Request Permanent Approval of the Pilot Program to Permit NASDAQ OMX PSX to Accept Inbound Orders that Nasdaq Execution Services, LLC Routes in its Capacity as a Facility of The NASDAQ Stock Market LLC
Comments due: January 5, 2012
See also:
Order: Rel. No. 34-66178
|
SR-Phlx-2011-141 |
34-65926 |
Dec. 9, 2011 |
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the Minimum Life Order as a New Order Type
See also:
Notice: Rel. No. 34-65610
|
SR-Phlx-2011-166 |
34-65925 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Permit Fees
Comments due: January 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-167 |
34-65924 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit Fee
Comments due: January 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-142 |
34-65689A |
Dec. 9, 2011 |
Notice of Filing of Proposed Rule Change to Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections; Correction
See also:
Order: Rel. No. 34-66011
and
Notice: Rel. No. 34-65706
|
SR-Phlx-2011-143 |
34-65917 |
Dec. 8, 2011 |
Notice of Withdrawal of Proposed Rule Change to Modify Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security
See also:
Notice: Rel. No. 34-65706
|
SR-Phlx-2011-163 |
34-65897 |
Dec. 6, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: January 3, 2012
|
SR-Phlx-2011-160 |
34-65888 |
Dec. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Firm Related Equity Option Cap
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-154 |
34-65883 |
Dec. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees for PSX
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-161 |
34-65869 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due: December 29, 2011
|
SR-Phlx-2011-157 |
34-65853 |
Nov. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Active Specialized Quote Feed Port Fee
Comments due: December 27, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-156 |
34-65852 |
Nov. 30, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period to Allow Cabinet Trading to Take Place Below $1 Per Option Contract
Comments due: December 27, 2011
|
SR-Phlx-2011-140 |
34-65841 |
Nov. 28, 2011 |
Order Approving Proposed Rule Change to Amend the By-Laws of The NASDAQ OMX Group, Inc.
See also:
Notice: Rel. No. 34-65605
|
SR-Phlx-2011-159 |
34-65832 |
Nov. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of a Recently Effective Modification to the Operation of the Minimum Quantity Order on the NASDAQ OMX PSX
Comments due: December 23, 2011
|
SR-Phlx-2011-158 |
34-65813 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility
Comments due: December 21, 2011
|
SR-Phlx-2011-150 |
34-65790 |
Nov. 18, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce Transaction Fees for Members Engaging in Certain Accommodation Transactions
Comments due: December 16, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-152 |
34-65779 |
Nov. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Perform a Test of Routing Functionality
Comments due: December 14, 2011
|
SR-Phlx-2011-151 |
34-65777 |
Nov. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Professional Routing Fee to the BATS Exchange, Inc.
Comments due: December 14, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-131 |
34-65776 |
Nov. 17, 2011 |
Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program
See also:
Notice: Rel. No. 34-65529
|
SR-Phlx-2011-129 |
34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Order: Rel. No. 34-66065; and
Notice: Rel. No. 34-65434
Comments received
are available
for this proposal.
|
SR-Phlx-2011-153 |
34-65764 |
Nov. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Good-till-Cancelled and Discretionary Orders
Comments due: December 13, 2011
|
SR-Phlx-2011-149 |
34-65745 |
Nov. 14, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Exchange Rule 795, Member Officer or Director
Comments due: December 12, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66097
|
SR-Phlx-2011-146 |
34-65727 |
Nov. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments due: December 8, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-147 |
34-65720 |
Nov. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complex Order Rebates and Fees for Adding and Removing Liquidity
Comments due: December 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-148 |
34-65719 |
Nov. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: December 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-143 |
34-65706 |
Nov. 8, 2011 |
Notice of Filing of Proposed Rule Change to Modify Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security
Comments due: December 5, 2011
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-65917
Comments received
are available
for this proposal.
|
SR-Phlx-2011-142 |
34-65689 |
Nov. 4, 2011 |
Notice of Filing of Proposed Rule Change to Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections
Comments due: December 1, 2011
Additional Materials:
Exhibit 5
See also:
Correction: Rel. No. 34-65689A
and
Notice: Rel. No. 34-66011
|
SR-Phlx-2011-144 |
34-65670 |
Nov. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations
Comments due: November 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-136 |
34-65667 |
Nov. 2, 2011 |
Notice of Filing of Proposed Rule Change Relating to Transfer of Exchange House Accounts
Comments due: November 29, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66022
|
SR-Phlx-2011-118 |
34-65666 |
Nov. 2, 2011 |
Notice of Filing of Proposed Rule Change Relating to Transfer of Positions Off the Floor
Comments due: November 29, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66023
|
SR-Phlx-2011-123 |
34-65644 |
Oct. 27, 2011 |
Order Granting Approval of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders
See also:
Notice: Rel. No. 34-65257
|
SR-Phlx-2011-137 |
34-65641 |
Oct. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange Rule 703 (Financial Responsibility and Reporting)
Comments due: November 23, 2011
|
SR-Phlx-2011-141 |
34-65610 |
Oct. 24, 2011 |
Notice of Filing of Proposed Rule Change to Introduce the Minimum Life Order as a New Order Type
Comments due: November 18, 2011
See also:
Order: Rel. No. 34-65926
Comments received
are available
for this proposal.
|
SR-PHLX-2011-140 |
34-65605 |
Oct. 21, 2011 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of The NASDAQ OMX Group, Inc.
Comments due: November 18, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-65841
|
SR-Phlx-2011-135 |
34-65586 |
Oct. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Tether Monthly Service Fee
Comments due: November 14, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-133 |
34-65576 |
Oct. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the RSQT Fee
Comments due: November 10, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-134 |
34-65574 |
Oct. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit Fee and the Inactive Nominee Fee
Comments due: November 10, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-139 |
34-65552 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Period for Receiving Orders Routed from The NASDAQ Stock Market LLC into NASDAQ OMX PSX
Comments due: November 9, 2011
|
SR-Phlx-2011-138 |
34-65553 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ OMX PSX Facility to Accept Inbound Orders Routed from the NASDAQ OMX BX Equities Market of NASDAQ OMX BX, Inc.
Comments due: November 9, 2011
|
SR-Phlx-2011-132 |
34-65537 |
Oct. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Minimum Quantity Order
Comments due: November 8, 2011
|
SR-Phlx-2011-131 |
34-65529 |
Oct. 11, 2011 |
Notice of Filing of Proposed Rule Change to Expand the Short Term Option Program
Comments due: November 7, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-65776
|
SR-Phlx-2011-130 |
34-65478 |
Oct. 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the SQT Fees
Comments due: November 1, 2011
|
SR-Phlx-2011-108 |
34-65469 |
Oct. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Functionality on NASDAQ OMX
Comments due: October 28, 2011
|
Third Quarter |
SR-Phlx-2011-129 |
34-65434 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: October 25, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Order: Rel. No. 34-66065; and
Notice: Rel. No. 34-65770
Comments received
are available
for this notice.
|
SR-Phlx-2011-128 |
34-65420 |
Sep. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding Simplification of the Exchange’s $1 Strike Price Program
Comments due: October 25, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-111 |
34-65399 |
Sep. 26, 2011 |
Order Approving a Proposed Rule Change Requesting Permanent Approval of the Pilot Program Permitting NASDAQ OMX PHLX to Receive Inbound Routes by NOS
See also:
Notice: Rel. No. 34-65135
|
SR-Phlx-2011-101 |
34-65389 |
Sep. 23, 2011 |
Order Approving Proposed Rule Change Regarding Streaming Quote Traders and Remote Streaming Quote Traders Entering Certain Option Day Limit Orders
See also:
Notice: Rel. No. 34-65050
|
SR-Phlx-2011-127 |
34-65373 |
Sep. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Maximum Number of Quoters ("MNQ") Permitted to be Assigned in Equity Options
Comments due: October 18, 2011
|
SR-Phlx-2011-126 |
34-65312 |
Sep. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Complex Orders
Comments due: October 6, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-123 |
34-65257 |
Sep. 2, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders
Comments due: September 30, 2011
See also:
Order: Rel. No. 34-65644
|
SR-Phlx-2011-121 |
34-65253 |
Sep. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifying Amendments to Direct Connectivity Services
Comments due: September 30, 2011
|
SR-Phlx-2011-122 |
34-65233 |
Aug. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for NASDAQ OMX PSX
Comments due: September 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-119 |
34-65228 |
Aug. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reversal and Conversion Strategies
Comments due: September 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-124 |
34-65206 |
Aug. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: September 23, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-120 |
34-65203 |
Aug. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Change the Name of the PSX Ouch BBO Feed to the PSX MatchView Feed and to Modify its Contents
Comments due: September 22, 2011
|
SR-Phlx-2011-90 |
34-65201 |
Aug. 25, 2011 |
Order Approving Proposed Rule Change Relating to Board of Director Qualifications
See also:
Notice: Rel. No. 34-64845
|
SR-Phlx-2011-117 |
34-65195 |
Aug. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fee and the Order Entry Port Fee
Comments due: September 21, 2011
Additional Materials:
Exhibit 5
|
SR-PHLX-2011-115 |
34-65174 |
Aug. 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish and Adopt Fees for the new PSX Pre-Trade Risk Management Service
Comments due: September 16, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-89 |
34-65149 |
Aug. 17, 2011 |
Order Granting Approval of Proposed Rule Change Relating to Alpha Index Options
See also:
Notice: Rel. No. 34-64788
|
SR-Phlx-2011-116 |
34-65140 |
Aug. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Nasdaq Options Services
Comments due: September 12, 2011
|
SR-Phlx-2011-112 |
34-65142 |
Aug. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Clarifying Amendments to the Rule Book
Comments due: September 12, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-111 |
34-65135 |
Aug. 15, 2011 |
Notice of Filing of Proposed Rule Change Requesting Permanent Approval of Pilot Program to Permit NASDAQ OMX PHLX to Receive Inbound Routes by Nasdaq Options Services
Comments due: September 9, 2011
See also:
Order: Rel. No. 34-65399
|
SR-Phlx-2011-114 |
34-65106 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-102 |
34-65098 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-113 |
34-65083 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks
Comments due: September 6, 2011
|
SR-Phlx-2011-110 |
34-65058 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: September 6, 2011
|
SR-Phlx-2011-106 |
34-65069 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Exchange Rule 1080
Comments due: September 6, 2011
|
SR-Phlx-2011-105 |
34-65046 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fee
Comments due: September 1, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-104 |
34-65043 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL
Comments due: September 1, 2011
|
SR-Phlx-2011-103 |
34-65049 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: September 1, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-101 |
34-65050 |
Aug. 5, 2011 |
Notice of Filing of Proposed Rule Change Regarding Streaming Quote Traders and Remote Streaming Quote Traders Entering Certain Option Day Limit Orders
Comments due: September 1, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-65389
|
SR-Phlx-2011-100 |
34-65010 |
Aug. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Member and Member Organization Participation
Comments due: August 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-93 |
34-64938 |
Jul. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Service Fee on QCC Orders and Floor QCC Orders
Comments due: August 16, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-99 |
34-64900 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Options Rule 1080(m)
Comments due: August 12, 2011
|
SR-Phlx-2011-98 |
34-64891 |
Jul. 14, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct a Typographical Error in Rule 1020
Comments due: August 11, 2011
|
SR-Phlx-2011-94 |
34-64863 |
Jul. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Floor Broker Subsidy
Comments due: August 8, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-90 |
34-64845 |
Jul. 8, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Board of Director Qualifications
Comments due: August 4, 2011
See also:
Order: Rel. No. 34-65201
|
SR-Phlx-2011-97 |
34-64842 |
Jul. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month
Comments due: August 4, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-95 |
34-64833 |
Jul. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations
Comments due: August 3, 2011
|
SR-Phlx-2011-91 |
34-64822 |
Jul. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to routing priority
Comments due: August 2, 2011
|
SR-Phlx-2011-88 |
34-64803 |
Jul. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule Regarding Co-Location Fees to Establish Fees for Access to Market Data Feeds from the Toronto Stock Exchange and the TSX Venture Exchange
Comments due: August 1, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-84 |
34-64790 |
Jul. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Transaction Fees
Comments due: July 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-89 |
34-64788 |
Jul. 1, 2011 |
Notice of Filing of Proposed Rule Change Relating to Alpha Index Options
Comments due: July 29, 2011
See also:
Order: Rel. No. 34-65149
|
Second Quarter |
SR-Phlx-2011-87 |
34-64770 |
Jun. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Listing and Trading Various Russell Products
Comments due: July 27, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-86 |
34-64745 |
Jun. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule Regarding Co-Location Fees For Additional Power and Cable Options
Comments due: July 21, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-65 |
34-64741 |
Jun. 24, 2011 |
Order Granting Approval of Proposed Rule Change Regarding Opening Index Option Months and Series
See also:
Notice: Rel. No. 34-64480
|
SR-Phlx-2011-64 |
34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06
See also:
Notice: Rel. No. 34-64419
|
SR-Phlx-2011-85 |
34-64733 |
Jun. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: July 19, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-83 |
34-64705 |
Jun. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Remote Specialist Fee
Comments due: July 15, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-58 |
34-64695 |
Jun. 17, 2011 |
Order Granting Approval of Proposed Rule Change to Increase the Position Limit for Options on the Standard and Poor's® Depositary Receipts (SPDRs®)
See also:
Notice: Rel. No. 34-64348
|
SR-Phlx-2011-56 |
34-64688 |
Jun. 16, 2011 |
Order Granting Approval of Proposed Rule Change Establishing a Qualified Contingent Cross Order for Execution on the Floor of the Exchange
See also:
Notice: Rel. No. 34-64415
|
SR-Phlx-2011-80 |
34-64677 |
Jun. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Opening Orders
Comments due: July 12, 2011
|
SR-Phlx-2011-81 |
34-64645 |
Jun. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees
Comments due: July 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-77 |
34-64629 |
Jun. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Amend the Fee Schedule Regarding Fees Assessed for the Installation of Certain Co-Location Services
Comments due: July 5, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-76 |
34-64594 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Appeal Fee
Comments due: June 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-79 |
34-64591 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Qualified Exchange Members to Act as Off-Floor Option Specialists in One or More Options Classes
Comments due: June 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-74 |
34-64589 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Permit the Listing of Series with $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes
Comments due: June 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-69 |
34-64584 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Conform Exchange Rules
Comments due: June 29, 2011
|
SR-Phlx-2011-73 |
34-64580 |
Jun. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Customer Complex Orders
Comments due: June 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-71 |
34-64578 |
Jun. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in the Fee Schedule
Comments due: June 28, 2011
|
SR-Phlx-2011-72 |
34-64571 |
May 31, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period to Allow Cabinet Trading to Take Place Below $1 Per Option Contract
Comments due: June 27, 2011
|
SR-Phlx-2011-70 |
34-64563 |
May 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Functionality of NASDAQ OMX PSX's Post-Only Order
Comments due: June 24, 2011
Additional Materials:
Text of Proposed Rule Change
|
SR-Phlx-2011-46 |
34-64549 |
May 26, 2011 |
Order Granting Approval of Proposed Rule Change to Expand the Number of Components in the PHLX Gold/Silver SectorSM known as XAUSM, on Which Options are Listed and Traded
See also:
Notice: Rel. No. 34-64244
|
SR-Phlx-2011-68 |
34-64539 |
May 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Market Access Provider Fee
Comments due: June 21, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-66 |
34-64520 |
May 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Qualified Contingent Cross Fees
Comments due: June 14, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-65 |
34-64480 |
May 12, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding Opening Index Option Months and Series
Comments due: June 8, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-64741
|
SR-Phlx-2011-28 |
34-64478 |
May 12, 2011 |
Order Approving Proposed Rule Change to Expand the Number of Components in the PHLX Oil Service SectorSM known as OSXSM, and Changing the Weighting Methodology from Price-Weighted to Capitalization-Weighted
See also:
Notice: Release No. 34-64282
and
Notice: Release No. 34-64075
|
SR-Phlx-2011-59 |
34-64451 |
May 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inactive Nominees
Comments due: June 6, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-63 |
34-64447 |
May 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity
Comments due: June 3, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-62 |
34-64446 |
May 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy
Comments due: June 3, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-60 |
34-64441 |
May 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Modify Fees for Non Co-Location Services
Comments due: June 6, 2011
|
SR-Phlx-2011-64 |
34-64419 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change to Amend Rule 3100(a)(4) to Include Additional Securities in the Pilot by which Such Rule Operates
Comments due: June 2, 2011
See also:
Order: Rel. No. 34-64735
|
SR-Phlx-2011-56 |
34-64415 |
May 5, 2011 |
Notice of Filing of Proposed Rule Change to Establish a Qualified Contingent Cross Order for Execution on the Floor of the Exchange
Comments due: June 2, 2011
See also:
Order: Rel. No. 34-64688
Comments received
are available
for this notice.
|
SR-Phlx-2011-55 |
34-64401 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to In-Crowd Priority
Comments due: May 31, 2011
|
SR-Phlx-2011-57 |
34-64381 |
May 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Active SQF Port Fees
Comments due: May 31, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-58 |
34-64348 |
Apr. 27, 2011 |
Notice of Filing of Proposed Rule Change to Increase the Position Limit for Options on the Standard and Poor's® Depositary Receipts (SPDRs®)
Comments due: May 24, 2011
See also:
Order: Rel. No. 34-64695
Comments received
are available
for this notice.
|
SR-Phlx-2011-54 |
34-64346 |
Apr. 27, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change relating to Amendments to the NASDAQ OMX Group, Inc.'s By-Laws
Comments due: May 24, 2011
|
SR-Phlx-2011-13 |
34-64338 |
Apr. 25, 2011 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations
See also:
Notice: Release No. 34-63981;
Order: Release No. 34-64276
|
SR-Phlx-2011-51 |
34-64305 |
Apr. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Alpha Index Options
Comments due: May 13, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-52 |
34-64300 |
Apr. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Customer Complex Orders
Comments due: May 11, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-53 |
34-64294 |
Apr. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Amending the Option Floor Procedures Advice F-14 Regarding Executing Hedge and Synthetic Options Orders Containing Stock Components
Comments due: May 9, 2011
|
SR-Phlx-2011-50 |
34-64286 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed and Multiply Listed Indexes
Comments due: May 5, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-48 |
34-64284 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Provisions Regarding the Dress Code and Trade Verification
Comments due: May 5, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-28 |
34-64282 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Expand the Number of Components in the PHLX Oil Service Sector known as OSX, on Which Options are Listed and Traded
See also:
Notice: Release No. 34-64075
and
Order: Release No. 34-64478
|
SR-Phlx-2011-13 |
34-64276 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations
See also:
Notice: Release No. 34-63981;
Order: Release No. 34-64338
|
SR-Phlx-2011-43 |
34-64265 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Permit Fees
Comments due: May 5, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-47 |
34-64249 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Establish a Qualified Contingent Cross Order
Comments due: May 4, 2011
|
SR-Phlx-2011-49 |
34-64248 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDA OMX PHLX LLC to Amend Phlx rule 1001A, Position Limits
Comments due: May 4, 2011
|
SR-Phlx-2011-46 |
34-64244 |
Apr. 7, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC to Expand the Number of Components in the PHLX Gold/Silver SectorSM known as XAUSM, on Which Options are Listed and Traded
Comments due: May 4, 2011
See also:
Order: Rel. No. 34-64549
|
SR-Phlx-2011-45 |
34-64239 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: May 4, 2011
|
SR-Phlx-2011-44 |
34-64175 |
Apr. 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products that Experience a Price Change of 10% or More During a Five-Minute Period
Comments due: April 29, 2011
|
SR-Phlx-2011-39 |
34-64165 |
Apr. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to QQQQ
Comments due: April 28, 2011
Additional Materials:
Exhibit 5
|
First Quarter |
SR-Phlx-2011-15 |
34-64157 |
Mar. 31, 2011 |
Order Granting Approval of Proposed Rule Change to Expand the $2.50 Strike Price Program
See also:
Notice: Rel. No. 34-63914
|
SR-Phlx-2011-40 |
34-64151 |
Mar. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: April 26, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-38 |
34-64150 |
Mar. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ETNs
Comments due: April 26, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-32 |
34-64141 |
Mar. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Inactive Nominees and Dividend and Merger Strategy Definitions
Comments due: April 25, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-37 |
34-64137 |
Mar. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Complex Order Fees
Comments due: April 22, 2011
|
SR-Phlx-2011-03 |
34-64122 |
Mar. 24, 2011 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to Rule 862 Relating to Discretionary Proxy Voting on Executive Compensation Matters
Comments due: April 20, 2011
|
SR-Phlx-2011-36 |
34-64113 |
Mar. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Equity Options Monthly Cap
Comments due: April 19, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-35 |
34-64108 |
Mar. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Extend the FLEX No Minimum Value Pilot Program
Comments due: April 18, 2011
|
SR-Phlx-2011-34 |
34-64096 |
Mar. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: April 13, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-28 |
34-64075 |
Mar. 11, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC to Expand the Number of Components in the The PHLX Oil Service SectorSM known as OSXSM, on Which Options are Listed and Traded
Comments due: April 7, 2011
See also:
Notice: Rel. No. 34-64282
and
Order: Release No. 34-64478
|
SR-Phlx-2011-30 |
34-64061 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Co-Location Services
Comments due: April 4, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-29 |
34-64056 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations
Comments due: April 4, 2011
|
SR-Phlx-2011-26 |
34-64010 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inactive Nominee Fee
Comments due: March 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-23 |
34-63985 |
Feb. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Clarifying Changes to Rules 607 and 3202 Concerning the Application and Collection of the Covered Sale Fee
Comments due: March 25, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-13 |
34-63981 |
Feb. 25, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations
Comments due: March 25, 2011
See also:
Notice: Release No. 34-64276;
Order: Release No. 34-64338
|
SR-Phlx-2011-21 |
34-63979 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quality Opening Markets
Comments due: March 25, 2011
|
SR-Phlx-2011-25 |
34-63978 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 3303 to Implement the Amendments to Regulation SHO
Comments due: March 25, 2011
|
SR-Phlx-2011-27 |
34-63967 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Amendments to Rules 200(g) and 201 of Regulation SHO Applicable to Complex Orders
Comments due: March 25, 2011
|
SR-Phlx-2011-24 |
34-63958 |
Feb. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: March 23, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-20 |
34-63957 |
Feb. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Dividend and Merger Strategies
Comments due: March 23, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-15 |
34-63914 |
Feb. 15, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC to Expand the $2.50 Strike Price Program
Comments due: March 15, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-64157
|
SR-Phlx-2011-17 |
34-63905 |
Feb. 14, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish and Adopt Fees for the new Short Sale Monitor Service and PSX Data Add-On
Comments due: March 11, 2011
Comments received
are available
for this notice.
|
SR-Phlx-2011-12 |
34-63880 |
Feb. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Complex Orders
Comments due: March 9, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2010-183 |
34-63875 |
Feb. 9, 2011 |
Order Granting Approval of Proposed Rule Change by NASDAQ OMX PHLX LLC Expanding Its Short Term Option Program
See also:
Notice: Rel. No. 34-63594
|
SR-Phlx-2011-16 |
34-63873 |
Feb. 9, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Nasdaq Options Services
Comments due: March 8, 2011
|
SR-Phlx-2010-176 |
34-63860 |
Feb. 7, 2011 |
Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Alpha Index Options
See also:
Notice: Rel. No. 34-63575
|
SR-Phlx-2011-11 |
34-63838 |
Feb. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Modify Fees for NASDAQ OMX PSX
Comments due: March 3, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-14 |
34-63810 |
Feb. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding the Listing of Option Series with $1 Strike Prices
Comments due: February 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-08 |
34-63786 |
Jan. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to a Stockholders' Agreement between The NASDAQ OMX Group, Inc. and Investor AB
Additional File Nos.: SR-NASDAQ-2011-013, SR-BX-2011-04
Comments due: February 24, 2011
|
SR-Phlx-2011-009 |
34-63781 |
Jan. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Entry Port Fee
Comments due: February 23, 2011
|
SR-Phlx-2011-007 |
34-63780 |
Jan. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Firm Related Equity Option Cap, Active SQF Port Fees and Other Membership Fees
Comments due: February 23, 2011
|
SR-Phlx-2010-157 |
34-63777 |
Jan. 26, 2011 |
Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Complex Orders
See also:
Notice: Rel. No. 34-63509
|
SR-Phlx-2011-005 |
34-63718 |
Jan. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: February 14, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2010-145 |
34-63717 |
Jan. 14, 2011 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Establishment of Remote
Specialists
Comments due: February 14, 2011
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-63192
|
SR-Phlx-2011-01 |
34-63712 |
Jan. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee Cap on Dividend, Merger and Short Stock Interest Strategies
Comments due: February 10, 2011
|
SR-Phlx-2011-04 |
34-63700 |
Jan. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Option Expiration Months and Series of Options Open for Trading on the Exchange
Comments due: February 8, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2010-163 |
34-63692 |
Jan. 11, 2011 |
Order Granting Approval of Proposed Rule Change Relating to Obvious Errors Respecting Complex Trades
See also:
Notice: Rel. No. 34-63367
|
SR-Phlx-2010-187 |
34-63679 |
Jan. 7, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 4, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-02 |
34-63658 |
Jan. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the $5 Strike Price Program
Comments due: February 2, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2010-158 |
34-63654 |
Jan. 6, 2011 |
Order Granting Approval of Proposed Rule Change Establishing a $5 Strike Price Program
|
SR-Phlx-2010-148 |
34-63647 |
Jan. 5, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to Certain Membership Rules Including Affiliations and Lapse of Membership Applications
|
Phlx File Number List for 2011 |
Release No. |
Date |
Details |
SR-Phlx-2011-189 |
34-66145 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: February 8, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-187 |
34-66111 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive PSX Port Pair Fees for Certain Newly-Added Routable Port Pairs
Comments due: February 1, 2012
|
SR-Phlx-2011-186 |
34-66122 |
Jan. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX
Comments due: February 7, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-185 |
34-66100 |
Jan. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: January 31, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2011-184 |
34-66099 |
Jan. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: January 31, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-182 |
34-66087 |
Jan. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the PHLX Market Exhaust Functionality
Comments due: January 30, 2012
|
SR-Phlx-2011-181 |
34-66086 |
Jan. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Access Service Fees
Comments due: January 30, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-180 |
34-66085 |
Jan. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: January 30, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-179 |
34-66420 |
Feb. 17, 2012 |
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of MSCI EM Index Options
|
34-66077 |
Jan. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to the MSCI EM Index
Comments due: January 27, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-178 |
34-66430 |
Feb. 21, 2012 |
Order Approving Proposed Rule Change Relating to Stock Execution Clerks
|
34-66079 |
Jan. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to Stock Execution Clerks
Comments due: January 30, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-177 |
34-66037 |
Dec. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX
Comments due: January 19, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-175 |
34-66285 |
Feb. 1, 2012 |
Order Granting Approval of Proposed Rule Change Regarding Strike Price Intervals for SLV and USO Options
|
34-65986 |
Dec. 16, 2011 |
Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals for SLV and USO Options
Comments due: January 12, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-174 |
34-66005 |
Dec. 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Executions and the Monthly Cap
Comments due: January 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-172 |
34-65976 |
Dec. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: January 11, 2012
|
SR-Phlx-2011-171 |
34-65945 |
Dec. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: January 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-170 |
34-66178 |
Jan. 18, 2012 |
Order Approving A Proposed Rule Change Requesting Permanent Approval of the Pilot Program Permitting NASDAQ OMX PSX to Accept Inbound Orders that Nasdaq Execution Services, LLC Routes in its Capacity as a Facility of the NASDAQ Stock Market LLC
|
34-65934 |
Dec. 9, 2011 |
Notice of Filing of Proposed Rule Change to Request Permanent Approval of the Pilot Program to Permit NASDAQ OMX PSX to Accept Inbound Orders that Nasdaq Execution Services, LLC Routes in its Capacity as a Facility of The NASDAQ Stock Market LLC
Comments due: January 5, 2012
|
SR-Phlx-2011-168 |
34-65946 |
Dec. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker Subsidy
Comments due: January 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-167 |
34-65924 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit Fee
Comments due: January 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-166 |
34-65925 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Permit Fees
Comments due: January 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-164 |
34-66016 |
Dec. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee Schedule for Co-Location Services
Comments due: January 17, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-163 |
34-65897 |
Dec. 6, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: January 3, 2012
|
SR-Phlx-2011-162 |
34-65940 |
Dec. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: January 6, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-161 |
34-65869 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due: December 29, 2011
|
SR-Phlx-2011-160 |
34-65888 |
Dec. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Firm Related Equity Option Cap
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-159 |
34-65832 |
Nov. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of a Recently Effective Modification to the Operation of the Minimum Quantity Order on the NASDAQ OMX PSX
Comments due: December 23, 2011
|
SR-Phlx-2011-158 |
34-65813 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility
Comments due: December 21, 2011
|
SR-Phlx-2011-157 |
34-65853 |
Nov. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Active Specialized Quote Feed Port Fee
Comments due: December 27, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-156 |
34-65852 |
Nov. 30, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period to Allow Cabinet Trading to Take Place Below $1 Per Option Contract
Comments due: December 27, 2011
|
SR-Phlx-2011-155 |
34-66004 |
Dec. 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Stock Execution Clerks and the Trading Floor Personnel Registration Fee
Comments due: January 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-154 |
34-65883 |
Dec. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees for PSX
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-153 |
34-65764 |
Nov. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Good-till-Cancelled and Discretionary Orders
Comments due: December 13, 2011
|
SR-Phlx-2011-152 |
34-65779 |
Nov. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Perform a Test of Routing Functionality
Comments due: December 14, 2011
|
SR-Phlx-2011-151 |
34-65777 |
Nov. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Professional Routing Fee to the BATS Exchange, Inc.
Comments due: December 14, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-150 |
34-65790 |
Nov. 18, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce Transaction Fees for Members Engaging in Certain Accommodation Transactions
Comments due: December 16, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-149 |
34-66097 |
Jan. 4, 2012 |
Order Approving Proposed Rule Change to Delete Exchange Rule 795 "Member Officer or Director"
|
34-65745 |
Nov. 14, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Exchange Rule 795, Member Officer or Director
Comments due: December 12, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-148 |
34-65719 |
Nov. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: December 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-147 |
34-65720 |
Nov. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complex Order Rebates and Fees for Adding and Removing Liquidity
Comments due: December 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-146 |
34-65727 |
Nov. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments due: December 8, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-144 |
34-65670 |
Nov. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations
Comments due: November 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-143 |
34-65917 |
Dec. 8, 2011 |
Notice of Withdrawal of Proposed Rule Change to Modify Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security
|
34-65706 |
Nov. 8, 2011 |
Notice of Filing of Proposed Rule Change to Modify Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security
Comments due: December 5, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2011-142 |
34-66011 |
Dec. 20, 2011 |
Order Approving a Proposed Rule Change to Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections
See also:
Notice: Rel. No. 34-65689
|
34-65689A |
Dec. 9, 2011 |
Notice of Filing of Proposed Rule Change to Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections; Correction
|
34-65689 |
Nov. 4, 2011 |
Notice of Filing of Proposed Rule Change to Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections
Comments due: December 1, 2011
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-65689A
|
SR-Phlx-2011-141 |
34-65926 |
Dec. 9, 2011 |
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the Minimum Life Order as a New Order Type
|
34-65610 |
Oct. 24, 2011 |
Notice of Filing of Proposed Rule Change to Introduce the Minimum Life Order as a New Order Type
Comments due: November 18, 2011
Comments received
are available
for this proposal.
|
SR-Phlx-2011-140 |
34-65841 |
Nov. 28, 2011 |
Order Approving Proposed Rule Change to Amend the By-Laws of The NASDAQ OMX Group, Inc.
|
34-65605 |
Oct. 21, 2011 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of The NASDAQ OMX Group, Inc.
Comments due: November 18, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-139 |
34-65552 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Period for Receiving Orders Routed from The NASDAQ Stock Market LLC into NASDAQ OMX PSX
Comments due: November 9, 2011
|
SR-Phlx-2011-138 |
34-65553 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ OMX PSX Facility to Accept Inbound Orders Routed from the NASDAQ OMX BX Equities Market of NASDAQ OMX BX, Inc.
Comments due: November 9, 2011
|
SR-Phlx-2011-137 |
34-65641 |
Oct. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange Rule 703 (Financial Responsibility and Reporting)
Comments due: November 23, 2011
|
SR-Phlx-2011-136 |
34-66022 |
Dec. 21, 2011 |
Order Approving Proposed Rule Change Relating to Transfer of Exchange House Accounts
|
34-65667 |
Nov. 2, 2011 |
Notice of Filing of Proposed Rule Change Relating to Transfer of Exchange House Accounts
Comments due: November 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-135 |
34-65586 |
Oct. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Tether Monthly Service Fee
Comments due: November 14, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-134 |
34-65574 |
Oct. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit Fee and the Inactive Nominee Fee
Comments due: November 10, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-133 |
34-65576 |
Oct. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the RSQT Fee
Comments due: November 10, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-132 |
34-65537 |
Oct. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Minimum Quantity Order
Comments due: November 8, 2011
|
SR-Phlx-2011-131 |
34-65776 |
Nov. 17, 2011 |
Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program
|
34-65529 |
Oct. 11, 2011 |
Notice of Filing of Proposed Rule Change to Expand the Short Term Option Program
Comments due: November 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-130 |
34-65478 |
Oct. 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the SQT Fees
Comments due: November 1, 2011
|
SR-Phlx-2011-129 |
34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68
Comments due: June 27, 2012
|
34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68
|
34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68
Comments received
are available
for this notice.
|
34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68
|
34-65434 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: October 25, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-Phlx-2011-128 |
34-65420 |
Sep. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding Simplification of the Exchange’s $1 Strike Price Program
Comments due: October 25, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-127 |
34-65373 |
Sep. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Maximum Number of Quoters ("MNQ") Permitted to be Assigned in Equity Options
Comments due: October 18, 2011
|
SR-Phlx-2011-126 |
34-65312 |
Sep. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Complex Orders
Comments due: October 6, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-124 |
34-65206 |
Aug. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: September 23, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-123 |
34-65644 |
Oct. 27, 2011 |
Order Granting Approval of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders
|
34-65257 |
Sep. 2, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders
Comments due: September 30, 2011
|
SR-Phlx-2011-122 |
34-65233 |
Aug. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for NASDAQ OMX PSX
Comments due: September 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-121 |
34-65253 |
Sep. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifying Amendments to Direct Connectivity Services
Comments due: September 30, 2011
|
SR-Phlx-2011-120 |
34-65203 |
Aug. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Change the Name of the PSX Ouch BBO Feed to the PSX MatchView Feed and to Modify its Contents
Comments due: September 22, 2011
|
SR-Phlx-2011-119 |
34-65228 |
Aug. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reversal and Conversion Strategies
Comments due: September 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-118 |
34-66023 |
Dec. 21, 2011 |
Order Approving Proposed Rule Change Relating to Transfer of Positions Off the Floor
|
34-65666 |
Nov. 2, 2011 |
Notice of Filing of Proposed Rule Change Relating to Transfer of Positions Off the Floor
Comments due: November 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-117 |
34-65195 |
Aug. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fee and the Order Entry Port Fee
Comments due: September 21, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-116 |
34-65140 |
Aug. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Nasdaq Options Services
Comments due: September 12, 2011
|
SR-PHLX-2011-115 |
34-65174 |
Aug. 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish and Adopt Fees for the new PSX Pre-Trade Risk Management Service
Comments due: September 16, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-114 |
34-65106 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-113 |
34-65083 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks
Comments due: September 6, 2011
|
SR-Phlx-2011-112 |
34-65142 |
Aug. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Clarifying Amendments to the Rule Book
Comments due: September 12, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-111 |
34-65399 |
Sep. 26, 2011 |
Order Approving a Proposed Rule Change Requesting Permanent Approval of the Pilot Program Permitting NASDAQ OMX PHLX to Receive Inbound Routes by NOS
|
34-65135 |
Aug. 15, 2011 |
Notice of Filing of Proposed Rule Change Requesting Permanent Approval of Pilot Program to Permit NASDAQ OMX PHLX to Receive Inbound Routes by Nasdaq Options Services
Comments due: September 9, 2011
|
SR-Phlx-2011-110 |
34-65058 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: September 6, 2011
|
SR-Phlx-2011-108 |
34-65469 |
Oct. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Functionality on NASDAQ OMX
Comments due: October 28, 2011
|
SR-Phlx-2011-106 |
34-65069 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Exchange Rule 1080
Comments due: September 6, 2011
|
SR-Phlx-2011-105 |
34-65046 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fee
Comments due: September 1, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-104 |
34-65043 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL
Comments due: September 1, 2011
|
SR-Phlx-2011-103 |
34-65049 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: September 1, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-102 |
34-65098 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-101 |
34-65389 |
Sep. 23, 2011 |
Order Approving Proposed Rule Change Regarding Streaming Quote Traders and Remote Streaming Quote Traders Entering Certain Option Day Limit Orders
|
34-65050 |
Aug. 5, 2011 |
Notice of Filing of Proposed Rule Change Regarding Streaming Quote Traders and Remote Streaming Quote Traders Entering Certain Option Day Limit Orders
Comments due: September 1, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-100 |
34-65010 |
Aug. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Member and Member Organization Participation
Comments due: August 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-99 |
34-64900 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Options Rule 1080(m)
Comments due: August 12, 2011
|
SR-Phlx-2011-98 |
34-64891 |
Jul. 14, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct a Typographical Error in Rule 1020
Comments due: August 11, 2011
|
SR-Phlx-2011-97 |
34-64842 |
Jul. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month
Comments due: August 4, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-95 |
34-64833 |
Jul. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations
Comments due: August 3, 2011
|
SR-Phlx-2011-94 |
34-64863 |
Jul. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Floor Broker Subsidy
Comments due: August 8, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-93 |
34-64938 |
Jul. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Service Fee on QCC Orders and Floor QCC Orders
Comments due: August 16, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-91 |
34-64822 |
Jul. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to routing priority
Comments due: August 2, 2011
|
SR-Phlx-2011-90 |
34-65201 |
Aug. 25, 2011 |
Order Approving Proposed Rule Change Relating to Board of Director Qualifications
|
34-64845 |
Jul. 8, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Board of Director Qualifications
Comments due: August 4, 2011
|
SR-Phlx-2011-89 |
34-65149 |
Aug. 17, 2011 |
Order Granting Approval of Proposed Rule Change Relating to Alpha Index Options
|
34-64788 |
Jul. 1, 2011 |
Notice of Filing of Proposed Rule Change Relating to Alpha Index Options
Comments due: July 29, 2011
|
SR-Phlx-2011-88 |
34-64803 |
Jul. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule Regarding Co-Location Fees to Establish Fees for Access to Market Data Feeds from the Toronto Stock Exchange and the TSX Venture Exchange
Comments due: August 1, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-87 |
34-64770 |
Jun. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Listing and Trading Various Russell Products
Comments due: July 27, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-86 |
34-64745 |
Jun. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule Regarding Co-Location Fees For Additional Power and Cable Options
Comments due: July 21, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-85 |
34-64733 |
Jun. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: July 19, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-84 |
34-64790 |
Jul. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Transaction Fees
Comments due: July 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-83 |
34-64705 |
Jun. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Remote Specialist Fee
Comments due: July 15, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-81 |
34-64645 |
Jun. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees
Comments due: July 7, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-80 |
34-64677 |
Jun. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Opening Orders
Comments due: July 12, 2011
|
SR-Phlx-2011-79 |
34-64591 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Qualified Exchange Members to Act as Off-Floor Option Specialists in One or More Options Classes
Comments due: June 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-77 |
34-64629 |
Jun. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Amend the Fee Schedule Regarding Fees Assessed for the Installation of Certain Co-Location Services
Comments due: July 5, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-76 |
34-64594 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Appeal Fee
Comments due: June 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-74 |
34-64589 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Permit the Listing of Series with $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes
Comments due: June 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-73 |
34-64580 |
Jun. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Customer Complex Orders
Comments due: June 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-72 |
34-64571 |
May 31, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period to Allow Cabinet Trading to Take Place Below $1 Per Option Contract
Comments due: June 27, 2011
|
SR-Phlx-2011-71 |
34-64578 |
Jun. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in the Fee Schedule
Comments due: June 28, 2011
|
SR-Phlx-2011-70 |
34-64563 |
May 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Functionality of NASDAQ OMX PSX's Post-Only Order
Comments due: June 24, 2011
Additional Materials:
Text of Proposed Rule Change
|
SR-Phlx-2011-69 |
34-64584 |
Jun. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Conform Exchange Rules
Comments due: June 29, 2011
|
SR-Phlx-2011-68 |
34-64539 |
May 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Market Access Provider Fee
Comments due: June 21, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-66 |
34-64520 |
May 19, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Qualified Contingent Cross Fees
Comments due: June 14, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-65 |
34-64741 |
Jun. 24, 2011 |
Order Granting Approval of Proposed Rule Change Regarding Opening Index Option Months and Series
|
34-64480 |
May 12, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding Opening Index Option Months and Series
Comments due: June 8, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-64 |
34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06
|
34-64419 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change to Amend Rule 3100(a)(4) to Include Additional Securities in the Pilot by which Such Rule Operates
Comments due: June 2, 2011
|
SR-Phlx-2011-63 |
34-64447 |
May 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity
Comments due: June 3, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-62 |
34-64446 |
May 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy
Comments due: June 3, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-60 |
34-64441 |
May 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Modify Fees for Non Co-Location Services
Comments due: June 6, 2011
|
SR-Phlx-2011-59 |
34-64451 |
May 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inactive Nominees
Comments due: June 6, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-58 |
34-64695 |
Jun. 17, 2011 |
Order Granting Approval of Proposed Rule Change to Increase the Position Limit for Options on the Standard and Poor's® Depositary Receipts (SPDRs®)
|
34-64348 |
Apr. 27, 2011 |
Notice of Filing of Proposed Rule Change to Increase the Position Limit for Options on the Standard and Poor's® Depositary Receipts (SPDRs®)
Comments due: May 24, 2011
Comments received
are available
for this notice.
|
SR-Phlx-2011-57 |
34-64381 |
May 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Active SQF Port Fees
Comments due: May 31, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-56 |
34-64688 |
Jun. 16, 2011 |
Order Granting Approval of Proposed Rule Change Establishing a Qualified Contingent Cross Order for Execution on the Floor of the Exchange
|
34-64415 |
May 5, 2011 |
Notice of Filing of Proposed Rule Change to Establish a Qualified Contingent Cross Order for Execution on the Floor of the Exchange
Comments due: June 2, 2011
Comments received
are available
for this notice.
|
SR-Phlx-2011-55 |
34-64401 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to In-Crowd Priority
Comments due: May 31, 2011
|
SR-Phlx-2011-54 |
34-64346 |
Apr. 27, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change relating to Amendments to the NASDAQ OMX Group, Inc.'s By-Laws
Comments due: May 24, 2011
|
SR-Phlx-2011-53 |
34-64294 |
Apr. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Amending the Option Floor Procedures Advice F-14 Regarding Executing Hedge and Synthetic Options Orders Containing Stock Components
Comments due: May 9, 2011
|
SR-Phlx-2011-52 |
34-64300 |
Apr. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Customer Complex Orders
Comments due: May 11, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-51 |
34-64305 |
Apr. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Alpha Index Options
Comments due: May 13, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-50 |
34-64286 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed and Multiply Listed Indexes
Comments due: May 5, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-49 |
34-64248 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDA OMX PHLX LLC to Amend Phlx rule 1001A, Position Limits
Comments due: May 4, 2011
|
SR-Phlx-2011-48 |
34-64284 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Provisions Regarding the Dress Code and Trade Verification
Comments due: May 5, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-47 |
34-64249 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Establish a Qualified Contingent Cross Order
Comments due: May 4, 2011
|
SR-Phlx-2011-46 |
34-64549 |
May 26, 2011 |
Order Granting Approval of Proposed Rule Change to Expand the Number of Components in the PHLX Gold/Silver SectorSM known as XAUSM, on Which Options are Listed and Traded
|
34-64244 |
Apr. 7, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC to Expand the Number of Components in the PHLX Gold/Silver SectorSM known as XAUSM, on Which Options are Listed and Traded
Comments due: May 4, 2011
|
SR-Phlx-2011-45 |
34-64239 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: May 4, 2011
|
SR-Phlx-2011-44 |
34-64175 |
Apr. 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products that Experience a Price Change of 10% or More During a Five-Minute Period
Comments due: April 29, 2011
|
SR-Phlx-2011-43 |
34-64265 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Permit Fees
Comments due: May 5, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-40 |
34-64151 |
Mar. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: April 26, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-39 |
34-64165 |
Apr. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to QQQQ
Comments due: April 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-38 |
34-64150 |
Mar. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ETNs
Comments due: April 26, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-37 |
34-64137 |
Mar. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Complex Order Fees
Comments due: April 22, 2011
|
SR-Phlx-2011-36 |
34-64113 |
Mar. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Equity Options Monthly Cap
Additional Materials:
Exhibit 5
Comments due: April 19, 2011
|
SR-Phlx-2011-35 |
34-64108 |
Mar. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Extend the FLEX No Minimum Value Pilot Program
Comments due: April 18, 2011
|
SR-Phlx-2011-34 |
34-64096 |
Mar. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: April 13, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-32 |
34-64141 |
Mar. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Inactive Nominees and Dividend and Merger Strategy Definitions
Comments due: April 25, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-30 |
34-64061 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Co-Location Services
Comments due: April 4, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-29 |
34-64056 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations
Comments due: April 4, 2011
|
SR-Phlx-2011-28 |
34-64478 |
May 12, 2011 |
Order Approving Proposed Rule Change to Expand the Number of Components in the PHLX Oil Service SectorSM known as OSXSM, and Changing the Weighting Methodology from Price-Weighted to Capitalization-Weighted
|
34-64282 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Expand the Number of Components in the PHLX Oil Service Sector known as OSX, on Which Options are Listed and Traded
|
34-64075 |
Mar. 11, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC to Expand the Number of Components in the The PHLX Oil Service SectorSM known as OSXSM, on Which Options are Listed and Traded
Comments due: April 7, 2011
|
SR-Phlx-2011-27 |
34-63967 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Amendments to Rules 200(g) and 201 of Regulation SHO Applicable to Complex Orders
Comments due: March 25, 2011
|
SR-Phlx-2011-26 |
34-64010 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inactive Nominee Fee
Comments due: March 29, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-25 |
34-63978 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 3303 to Implement the Amendments to Regulation SHO
Comments due: March 25, 2011
|
SR-Phlx-2011-24 |
34-63958 |
Feb. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: March 23, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-23 |
34-63985 |
Feb. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Clarifying Changes to Rules 607 and 3202 Concerning the Application and Collection of the Covered Sale Fee
Comments due: March 25, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-21 |
34-63979 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quality Opening Markets
Comments due: March 25, 2011
|
SR-Phlx-2011-20 |
34-63957 |
Feb. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Dividend and Merger Strategies
Comments due: March 23, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-17 |
34-63905 |
Feb. 14, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish and Adopt Fees for the new Short Sale Monitor Service and PSX Data Add-On
Comments due: March 11, 2011
Comments received
are available
for this notice.
|
SR-Phlx-2011-16 |
34-63873 |
Feb. 9, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders from Nasdaq Options Services
Comments due: March 8, 2011
|
SR-Phlx-2011-15 |
34-64157 |
Mar. 31, 2011 |
Order Granting Approval of Proposed Rule Change to Expand the $2.50 Strike Price Program
|
34-63914 |
Feb. 15, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC to Expand the $2.50 Strike Price Program
Comments due: March 15, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-14 |
34-63810 |
Feb. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding the Listing of Option Series with $1 Strike Prices
Comments due: February 28, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-13 |
34-64338 |
Apr. 25, 2011 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations
|
34-64276 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations
|
34-63981 |
Feb. 25, 2011 |
Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations
Comments due: March 25, 2011
|
SR-Phlx-2011-12 |
34-63880 |
Feb. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Complex Orders
Comments due: March 9, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-11 |
34-63838 |
Feb. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC to Modify Fees for NASDAQ OMX PSX
Comments due: March 3, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-009 |
34-63781 |
Jan. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Entry Port Fee
Comments due: February 23, 2011
|
SR-Phlx-2011-08 |
34-63786 |
Jan. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to a Stockholders' Agreement between The NASDAQ OMX Group, Inc. and Investor AB
Additional File Nos.: SR-NASDAQ-2011-013, SR-BX-2011-04
Comments due: February 24, 2011
|
SR-Phlx-2011-007 |
34-63780 |
Jan. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Firm Related Equity Option Cap, Active SQF Port Fees and Other Membership Fees
Comments due: February 23, 2011
|
SR-Phlx-2011-005 |
34-63718 |
Jan. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: February 14, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-04 |
34-63700 |
Jan. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Option Expiration Months and Series of Options Open for Trading on the Exchange
Comments due: February 8, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-03 |
34-64122 |
Mar. 24, 2011 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to Rule 862 Relating to Discretionary Proxy Voting on Executive Compensation Matters
Comments due: April 20, 2011
|
SR-Phlx-2011-02 |
34-63658 |
Jan. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the $5 Strike Price Program
Comments due: February 2, 2011
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-01 |
34-63712 |
Jan. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee Cap on Dividend, Merger and Short Stock Interest Strategies
Comments due: February 10, 2011
|
http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2011.shtml
|