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NASDAQ OMX PHLX LLC (Phlx) Rulemaking Archive: 2012
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 2012
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Release No. |
Date |
Details |
Fourth Quarter |
SR-Phlx-2012-143 |
34-68534 |
Dec. 21, 2012 |
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 22, 2013
|
SR-Phlx-2012-136 |
34-68517 |
Dec. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Distribution of Auction Messages
Comments due: January 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-142 |
34-68513 |
Dec. 21, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc.
Comments due: January 22, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-68823
|
SR-Phlx-2012-140 |
34-68473 |
Dec. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit and Order Entry Port Fee
Comments due: January 16, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-138 |
34-68406 |
Dec. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies
Comments due: January 7, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-137 |
34-68402 |
Dec. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity
Comments due: January 7, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-134 |
34-68393 |
Dec. 10, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposal with Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") to Cancel Options Orders when a Technical or System Issue Occurs and to Describe the Operation of an Error Account for NOS
Comments due: January 4, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-139 |
34-68376 |
Dec. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders
Comments due: January 2, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-135 |
34-68375 |
Dec. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: January 2, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-132 |
34-68293 |
Nov. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EEM Options Position Limits
Comments due: December 24, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-133 |
34-68267 |
Nov. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 3218
Comments due: December 18, 2012
|
SR-Phlx-2012-130 |
34-68217 |
Nov. 13, 2012 |
Notice of Filing of Proposed Rule Change Relating to SQT and RSQT Evaluations
Comments due: December 10, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-68574
|
SR-Phlx-2012-125 |
34-68216 |
Nov. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to References in the Exchange's Pricing Schedule With Respect to Non-Electronic Transactions
Comments due: December 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-129 |
34-68213 |
Nov. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 10, 2012
|
SR-Phlx-2012-131 |
34-68201 |
Nov. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program in Rule 1059
Comments due: December 7, 2012
|
SR-Phlx-2012-54 |
34-68202 |
Nov. 9, 2012 |
Notice of Filing of Amendments No. 1, and Order Granting Accelerated Approval for Proposed Rule Changes as Modified by Amendments No. 1 Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: December 7, 2012
Additional File No.: SR-Phlx-2012-27
See also:
Notice: Rel. No. 34-67825,
Notice: Rel. No. 34-66884,
Notice: Rel. No. 34-66883
|
SR-Phlx-2012-27 |
34-68202 |
Nov. 9, 2012 |
Notice of Filing of Amendments No. 1, and Order Granting Accelerated Approval for Proposed Rule Changes as Modified by Amendments No. 1 Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: December 7, 2012
Additional File No.: SR-Phlx-2012-54
See also:
Notice: Rel. No. 34-67825,
Notice: Rel. No. 34-66884,
Notice: Rel. No. 34-66551
|
SR-Phlx-2012-128 |
34-68196 |
Nov. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed Under Section VII. C. of the Pricing Schedule
Comments due: December 6, 2012
|
SR-Phlx-2012-124 |
34-68127 |
Nov. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Branch Offices
Comments due: November 28, 2012
Additional Materials:
Exhibit 3,
Exhibit 5
|
SR-Phlx-2012-126 |
34-68132 |
Nov. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
Comments due: November 28, 2012
Comments received
are available
for this proposal.
|
SR-Phlx-2012-123 |
34-68058 |
Oct. 16 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Assess a Monthly Fee for Subscription to the QView Service
Comments due: November 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-119 |
34-68052 |
Oct. 12 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx’s Fee Schedule Governing Order Execution on its NASDAQ OMX PSX Facility
Comments due: November 8, 2012
|
SR-Phlx-2012-121 |
34-68047 |
Oct. 12 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Customer Rebate Program, Multiply Listed Options Transaction Charges and PIXL
Comments due: November 8, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-115 |
34-68012 |
Oct. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Further That the Provisions of the Rule 800 Series Are Not Effective to Permit the Listing of Securities and Include a Reference on the Need to Comply with Rule 10C-1 under the Securities Exchange Act of 1934 Should the Exchange List Equity Securities in the Future
Comments due: November 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-120 |
34-68008 |
Oct. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to NOM
Comments due: November 6, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-122 |
34-67999 |
Oct. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Position Limits for SPY Options on a Pilot Basis
Comments due: November 2, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-118 |
34-67996 |
Oct. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing from an Affiliated Exchange
Comments due: November 2, 2012
|
SR-Phlx-2012-116 |
34-67991 |
Oct. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 3315(a)(1)(A) to Reflect a Change in its Routing Functionality to Allow Routable Orders to Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for Execution of the Remainder of the Order
Comments due: November 2, 2012
|
SR-Phlx-2012-105 |
34-67976 |
Oct. 4, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding Treasury Securities Options
See also:
Notice: Rel. No. 34-67683
|
SR-Phlx-2012-117 |
34-67966 |
Oct. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members and Member Organizations the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan
Comments due: October 30, 2012
|
SR-Phlx-2012-114 |
34-67951 |
Oct. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer the QView Service
Comments due: October 26, 2012
Additional Materials:
Exhibit 5
|
Third Quarter |
SR-Phlx-2012-113 |
34-67866 |
Sep. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Electronic Firm Fee Discount
Comments due: October 11, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-111 |
34-67831 |
Sep. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to NOM
Comments due: October 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-112 |
34-67830 |
Sep. 11, 2012 |
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: October 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-54 |
34-67825 |
Sep. 11, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Additional File No.: SR-Phlx-2012-27
See also:
Notice: Rel. No. 34-68202,
Order: Rel. No. 34-66884,
and
Notice: Rel. No. 34-66883
|
SR-Phlx-2012-27 |
34-67825 |
Sep. 11, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Additional File No.: SR-Phlx-2012-54
See also:
Notice: Rel. No. 34-68202,
Order: Rel. No. 34-66884,
and
Notice: Rel. No. 34-66551
|
SR-Phlx-2012-106 |
34-67780 |
Sep. 5, 2012 |
Notice of Withdrawal of Proposed Rule Change to Modify Exchange Rule 3307 to Institute a Five Millisecond Delay in the Execution Time of Marketable Orders on NASDAQ OMX PSX
See also:
Notice: Rel. No. 34-67680
|
SR-Phlx-2012-110 |
34-67776 |
Sep. 4, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Elimination of a Reversal and Conversion Fee Cap
Comments due: October 1, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-95 |
34-67760 |
Aug. 30, 2012 |
Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2012-01, SR-BX-2012-052, SR-NASDAQ-2012-072, and SR-SCCP-2012-001
See also:
Notice: Rel. No. 34-67434
|
SR-Phlx-2012-78 |
34-67753 |
Aug. 29, 2012 |
Order Granting Approval of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Options Program
See also:
Notice: Rel. No. 34-67446
|
SR-Phlx-2012-107 |
34-67701 |
Aug. 21, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Client Information About Agency Orders of Floor Brokers
Comments due: September 17, 2012
|
SR-Phlx-2012-108 |
34-67700 |
Aug. 21, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Rule 1014
Comments due: September 17, 2012
|
SR-Phlx-2012-105 |
34-67683 |
Aug. 17, 2012 |
Notice of Filing of Proposed Rule Change Regarding Treasury Securities Options
Comments due: September 13, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67976
|
SR-Phlx-2012-106 |
34-67680 |
Aug. 17, 2012 |
Notice of Filing of Proposed Rule Change to Modify Exchange Rule 3307 to Institute a Five Millisecond Delay in the Execution Time of Marketable Orders on NASDAQ OMX PSX
Comments due: September 13, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67780
|
SR-Phlx-2012-81 |
34-67654 |
Aug. 14, 2012 |
Order Approving a Proposed Rule Change With Respect to the Authority of the Exchange or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs on the Exchange's NASDAQ OMX PSX Facility and To Describe the Operation of an Error Account for NES
See also:
Notice: Rel. No. 34-67343
|
SR-Phlx-2012-104 |
34-67633 |
Aug. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Select Symbols and Multiply-Listed Options
Comments due: September 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-101 |
34-67630 |
Aug. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Arrangements
Comments due: September 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-102 |
34-67601 |
Aug. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx's Fee Schedule Governing Order Execution on its NASDAQ OMX PSX Facility
Comments due: August 31, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-97 |
34-67563 |
Aug. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of Non-Display of Primary Pegged Orders with an Offset Amount
Comments due: August 28, 2012
|
SR-Phlx-2012-100 |
34-67538 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: August 24, 2012
|
SR-Phlx-2012-99 |
34-67537 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due: August 24, 2012
|
SR-Phlx-2012-96 |
34-67515 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Trading Floor Qualification Examination
Comments due: August 23, 2012
|
SR-Phlx-2012-98 |
34-67508 |
Jul. 26, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule
Comments due: August 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-92 |
34-67469 |
Jul. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 1014, 1051, and OFPA F-2
Comments due: August 15, 2012
|
SR-Phlx-2012-93 |
34-67466 |
Jul. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Managed Data Solution for PHLX Top of Options
Comments due: August 15, 2012
Comments received
are available
for this proposal.
|
SR-Phlx-2012-78 |
34-67446 |
Jul. 16, 2012 |
Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Option Program
Comments due: August 10, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67753
Comments received
are available
for this proposal.
|
SR-Phlx-2012-90 |
34-67439 |
Jul. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Select Symbols and Multiply-Listed Options
Comments due: August 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-95 |
34-67434 |
Jul. 13, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX")
Comments due: August 9, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67760
|
SR-Phlx-2012-94 |
34-67399 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL
Comments due: August 7, 2012
|
SR-Phlx-2012-91 |
34-67412 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price to Comply Order
Comments due: August 7, 2012
|
SR-Phlx-2012-88 |
34-67398 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BX Options
Comments due: August 7, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-87 |
34-67387 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx’s Fee Schedule Governing Order Execution on its NASDAQ OMX PSX facility
Comments due: August 6, 2012
|
SR-Phlx-2012-83 |
34-67352 |
Jul. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Distributor Fees for Two Related Options Market Data Products
Comments due: August 1, 2012
|
SR-Phlx-2012-84 |
34-67351 |
Jul. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Functioning of the Post-Only Order in NASDAQ OMX PSX
Comments due: August 1, 2012
|
SR-Phlx-2012-81 |
34-67343 |
Jul. 3, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Authority of the Exchange or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs on the Exchange's NASDAQ OMX PSX Facility and to Describe the Operation of an Error Account for NES
Comments due: July 31, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67654
|
Second Quarter |
SR-Phlx-2012-86 |
34-67326 |
Jun. 29, 2012 |
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: July 27, 2012
Comments received
are available
for this proposal.
|
SR-PHLX-2012-68 |
34-67294 |
Jun. 28, 2012 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Accept Inbound Orders from NASDAQ OMX BX’s New Options Market
See also:
Notice: Rel. No. 34-67026
|
SR-Phlx-2012-85 |
34-67271 |
Jun. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Excess Order Fee
Comments due: July 24, 2013
|
SR-Phlx-2012-80 |
34-67245 |
Jun. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical and Conforming Amendments to the Pricing Schedule
Comments due: July 19, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-77 |
34-67189 |
Jun. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Participant Categories, Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Multiply Listed Options
Comments due: July 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-40 |
34-67169 |
Jun. 8, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Quarterly Trading Requirements Applicable to Registered Options Traders
See also:
Notice: Rel. No. 34-66767
|
SR-Phlx-2012-72 |
34-67147 |
Jun. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee
Comments due: July 3, 2012
|
SR-Phlx-2012-75 |
34-67123 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: July 3, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-73 |
34-67121 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies
Comments due: July 2, 2012
|
SR-Phlx-2012-74 |
34-67106 |
Jun. 4, 2012 |
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 29, 2012
|
SR-Phlx-2012-76 |
34-67094 |
Jun. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its FLEX No Minimum Value Pilot Program
Comments due: June 28, 2012
|
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
See also:
Notice: Rel. No. 34-66680;
Order: Rel. No. 34-66065;
Notice: Rel. No. 34-65770; and
Notice: Rel. No. 34-65434
|
SR-Phlx-2012-67 |
34-67071 |
May 29, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the MSCI EAFE Index
Comments due: June 25, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-70 |
34-67047 |
May 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Relating to Reversal and Conversion Strategies
Comments due: June 21, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-71 |
34-67053 |
May 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 616, Electronic Filing Requirements for Uniform Forms
Comments due: June 21, 2012
|
SR-PHLX-2012-68 |
34-67026 |
May 18, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by NASDAQ OMX PHLX LLC to Accept Inbound Orders from NASDAQ OMX BX's New Options Market
Comments due: June 14, 2012
See also:
Order: Rel. No. 34-67294
|
SR-Phlx-2012-64 |
34-67004 |
May 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute an Excess Order Fee
Comments due: June 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-63 |
34-66993 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Direct Market Data Product, PHLX Orders
Comments due: June 11, 2012
|
SR-Phlx-2012-62 |
34-66992 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price to Comply Order
Comments due: June 11, 2012
|
SR-Phlx-2012-61 |
34-66985 |
May 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees
Comments due: June 8, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-57 |
34-66968 |
May 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols
Comments due: June 7, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-60 |
34-66967 |
May 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the PHLX Depth of Market Data Product
Comments due: June 7, 2012
|
SR-Phlx-2012-58 |
34-66935 |
May 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Pricing Schedule Regarding the Co-Location Super High Density Cabinet Monthly Fee
Comments due: June 1, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-56 |
34-66926 |
May 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx's Fee Schedule Governing Routing from its NASDAQ OMX PSX Facility
Comments due: May 31, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-53 |
34-66925 |
May 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: May 31, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-54 |
34-66884 |
Apr. 30, 2012 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Rebuttal comments due: June 8, 2012
Additional File No.: SR-Phlx-2012-27
See also:
Notice: Rel. No. 34-68202,
Notice: Rel. No. 34-67825,
and
Notice: Rel. No. 34-66883
Comments received
are available
for this proposal.
|
SR-Phlx-2012-27 |
34-66884 |
Apr. 30, 2012 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Rebuttal comments due: June 8, 2012
Additional File No.: SR-Phlx-2012-54
See also:
Notice: Rel. No. 34-68202,
Notice: Rel. No. 34-67825,
and
Notice: Rel. No. 34-66551
Comments received
are available
for this proposal.
|
SR-Phlx-2012-54 |
34-66883 |
Apr. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols
Comments due: May 25, 2012
See also:
Notice: Rel. No. 34-68202,
Notice: Rel. No. 34-67825,
and
Order: Rel. No. 34-66884
|
SR-Phlx-2012-28 |
34-66861 |
Apr. 26, 2012 |
Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of MSCI EAFE Index Options
See also:
Notice: Rel. No. 34-66569
|
SR-Phlx-2012-52 |
34-66859 |
Apr. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Account Fee
Comments due: May 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-23 |
34-66840 |
Apr. 20, 2012 |
Order Approving Proposed Rule Change to Amend Registration, Qualification, and Continuing Education Requirements for Associated Persons
See also:
Notice: Rel. No. 34-66497
|
SR-Phlx-2012-50 |
34-66838 |
Apr. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 17, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-49 |
34-66806 |
Apr. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014
Comments due: May 10, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2012-46 |
34-66805 |
Apr. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees
Comments due: May 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-47 |
34-66800 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: May 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-38 |
34-66799 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Fees
Comments due: May 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-40 |
34-66767 |
Apr. 6, 2012 |
Notice of Filing of Proposed Rule Change Relating to Quarterly Trading Requirements Applicable to Registered Options Traders
Comments due: May 4, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-67169
|
SR-Phlx-2012-45 |
34-66757 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates for Adding and Removing Liquidity in SPY
Comments due: May 3, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-43 |
34-66756 |
Apr. 6, 2012 |
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: May 3, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-42 |
34-66755 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 3, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-41 |
34-66754 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Non-Customer Orders
Comments due: May 3, 2012
|
SR-Phlx-2012-34 |
34-66721 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: April 30, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-44 |
34-66711 |
Apr. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the FLEX No Minimum Value Pilot Program
Comments due: April 27, 2012
|
First Quarter |
SR-Phlx-2012-39 |
34-66697 |
Mar. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders with an Offset Amount
Comments due: April 26, 2012
|
SR-Phlx-2011-129 |
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
See also:
Order: Rel. No. 34-67090;
Order: Rel. No. 34-66065;
Notice: Rel. No. 34-65770; and
Notice: Rel. No. 34-65434
|
SR-Phlx-2012-35 |
34-66668 |
Mar. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Equity Options Fees and Singly Listed Option Fee
Comments due: April 24, 2012
|
SR-Phlx-2012-36 |
34-66664 |
Mar. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: April 23, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-37 |
34-66645 |
Mar. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Proprietary Traders Qualification Examination ("Series 56") Program
Comments due: April 19, 2012
|
SR-Phlx-2012-11 |
34-66616 |
Mar. 16, 2012 |
Order Granting Approval of Proposed Rule Change Regarding the Listing and Trading of PHLX FOREX OptionsTM
See also:
Notice: Rel. No. 34-66257
|
SR-Phlx-2012-29 |
34-66610 |
Mar. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Certain Select Symbols from the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: April 12, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-31 |
34-66602 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptable Complex Execution ("ACE") Parameter Order Protection Feature
Comments due: April 11, 2012
|
SR-Phlx-2012-30 |
34-66593 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the 100MB Connectivity Option and Fee
Comments due: April 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-26 |
34-66584 |
Mar. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Options Fees
Comments due: April 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-32 |
34-66583 |
Mar. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Price Improvement XL ("PIXLSM")
Comments due: April 9, 2012
|
SR-Phlx-2012-28 |
34-66569 |
Mar. 9, 2012 |
Notice of Filing of Proposed Rule Change Relating to the MSCI EAFE Index
Comments due: April 5, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66861
|
SR-Phlx-2012-27 |
34-66551 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: April 5, 2012
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-68202,
Notice: Rel. No. 34-67825,
and
Order: Rel. No. 34-66884
|
SR-Phlx-2012-25 |
34-66543 |
Mar. 8, 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: April 4, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-23 |
34-66497 |
Mar. 1, 2012 |
Notice of Filing of Proposed Rule Change to Amend Registration and Qualification Requirements
Comments due: March 28, 2012
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-66840
|
SR-Phlx-2012-22 |
34-66488 |
Feb. 29, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: March 27, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-24 |
34-66484 |
Feb. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Administrative Fee for the Payment For Order Flow Program
Comments due: March 26, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-19 |
34-66451 |
Feb. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: March 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-16 |
34-66438 |
Feb. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain External and Inter-Cabinet Connectivity Fees
Comments due: March 20, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2011-178 |
34-66430 |
Feb. 21, 2012 |
Order Approving Proposed Rule Change Relating to Stock Execution Clerks
See also:
Notice: Rel. No. 34-66079
|
SR-Phlx-2012-20 |
34-66429 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Connectivity Options and Fees
Comments due: March 19, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-17 |
34-66426 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule to Define a Market Maker
Comments due: March 19, 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
See also:
Notice: Rel. No. 34-66077
|
SR-Phlx-2012-21 |
34-66407 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Exchange Rule 705 (Fidelity Bonds)
Comments due: March 15, 2012
|
SR-Phlx-2012-15 |
34-66367 |
Feb. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: March 7, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-13 |
34-66362 |
Feb. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Rule 705 (Fidelity Bonds)
Comments due: March 7, 2012
|
SR-Phlx-2012-12 |
34-66315 |
Feb. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Disseminated Quotations
Comments due: February 29, 2012
Comments received
are available
for this proposal.
|
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
See also:
Notice: Release No. 34-65986 |
SR-Phlx-2012-04 |
34-66284 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a New Product, TradeInfo PHLX, and amend the Fee Schedule to Add a Related Subscription Fee
Comments due: February 28, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-11 |
34-66257 |
Jan. 26, 2012 |
Notice of Filing of Proposed Rule Change Regarding Listing and Trading of PHLX FOREX OptionsTM
Comments due: February 22, 2012
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-66616
|
SR-Phlx-2012-10 |
34-66252 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: February 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-09 |
34-66251 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Document Removal Fee
Comments due: February 22, 2012
Additional Materials:
Exhibit 5
| SR-Phlx-2012-08 |
34-66224 |
Jan. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: February 21, 2012
|
SR-Phlx-2012-07 |
34-66216 |
Jan. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due: February 17, 2012
|
SR-Phlx-2012-02 |
34-66209 |
Jan. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reformatting the Fee Schedule
Comments due: February 16, 2012
|
SR-Phlx-2012-06 |
34-66208 |
Jan. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-time Risk Management Fee and Other Clarifying Amendments
Comments due: February 16, 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
See also:
Notice: Rel. No. 34-65934
|
SR-Phlx-2012-01 |
34-66155 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 10, 2012
Additional Materials:
Exhibit 5
|
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-2011-186 |
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-2011-187 |
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-2011-185 |
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-2011-149 |
34-66097 |
Jan. 4, 2012 |
Order Approving Proposed Rule Change to Delete Exchange Rule 795 "Member Officer or Director"
See also:
Notice: Rel. No. 34-65745
|
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-2011-178 |
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
See also:
Order: Rel. No. 34-66430
|
SR-Phlx-2011-179 |
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
See also:
Order: Rel. No. 34-66420
|
Phlx File Number List for 2012 |
Release No. |
Date |
Details |
SR-Phlx-2012-146 |
34-68582 |
Jan. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Caps
Comments due: January 31, 2013
|
SR-Phlx-2012-145 |
34-68576 |
Jan. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule for the Following Direct Data Feed Products: Top of Phlx Options Data Feed, the Top of Phlx Options Plus Orders Data Feed, the PHLX Orders Data Feed and the PHLX Depth of Market Data Feed
Comments due: January 30, 2013
|
SR-Phlx-2012-143 |
34-68534 |
Dec. 21, 2012 |
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 22, 2013
|
SR-Phlx-2012-142 |
34-68823 |
Feb. 4, 2013 |
Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2012-002, SR-BX-2012-075, SR-NASDAQ-2012-142, SR-SCCP-2012-02
|
34-68513 |
Dec. 21, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc.
Comments due: January 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-141 |
34-68577 |
Jan. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Professional Options Transaction Charges
Comments due: January 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-140 |
34-68473 |
Dec. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit and Order Entry Port Fee
Comments due: January 16, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-139 |
34-68376 |
Dec. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders
Comments due: January 2, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-138 |
34-68406 |
Dec. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies
Comments due: January 7, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-137 |
34-68402 |
Dec. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity
Comments due: January 7, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-136 |
34-68517 |
Dec. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Distribution of Auction Messages
Comments due: January 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-135 |
34-68375 |
Dec. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: January 2, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-134 |
34-68393 |
Dec. 10, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposal with Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") to Cancel Options Orders when a Technical or System Issue Occurs and to Describe the Operation of an Error Account for NOS
Comments due: January 4, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-133 |
34-68267 |
Nov. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 3218
Comments due: December 18, 2012
|
SR-Phlx-2012-132 |
34-68293 |
Nov. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EEM Options Position Limits
Comments due: December 24, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-131 |
34-68201 |
Nov. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program in Rule 1059
Comments due: December 7, 2012
|
SR-Phlx-2012-130 |
34-68574 |
Jan. 3, 2013 |
Order Approving Proposed Rule Change to Amend Performance Evaluations with Respect to Quote Submissions of Streaming Quote Traders and Remote Streaming Quote Traders
|
34-68217 |
Nov. 13, 2012 |
Notice of Filing of Proposed Rule Change Relating to SQT and RSQT Evaluations
Comments due: December 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-129 |
34-68213 |
Nov. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 10, 2012
|
SR-Phlx-2012-128 |
34-68196 |
Nov. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed Under Section VII. C. of the Pricing Schedule
Comments due: December 6, 2012
|
SR-Phlx-2012-126 |
34-68132 |
Nov. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
Comments due: November 28, 2012
Comments received
are available
for this proposal.
|
SR-Phlx-2012-125 |
34-68216 |
Nov. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to References in the Exchange's Pricing Schedule With Respect to Non-Electronic Transactions
Comments due: December 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-124 |
34-68127 |
Nov. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Branch Offices
Comments due: November 28, 2012
Additional Materials:
Exhibit 3,
Exhibit 5
|
SR-Phlx-2012-123 |
34-68058 |
Oct. 16 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Assess a Monthly Fee for Subscription to the QView Service
Comments due: November 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-122 |
34-67999 |
Oct. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Position Limits for SPY Options on a Pilot Basis
Comments due: November 2, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-121 |
34-68047 |
Oct. 12 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Customer Rebate Program, Multiply Listed Options Transaction Charges and PIXL
Comments due: November 8, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-120 |
34-68008 |
Oct. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to NOM
Comments due: November 6, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-119 |
34-68052 |
Oct. 12 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx’s Fee Schedule Governing Order Execution on its NASDAQ OMX PSX Facility
Comments due: November 8, 2012
|
SR-Phlx-2012-118 |
34-67996 |
Oct. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing from an Affiliated Exchange
Comments due: November 2, 2012
|
SR-Phlx-2012-117 |
34-67966 |
Oct. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members and Member Organizations the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan
Comments due: October 30, 2012
|
SR-Phlx-2012-116 |
34-67991 |
Oct. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 3315(a)(1)(A) to Reflect a Change in its Routing Functionality to Allow Routable Orders to Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for Execution of the Remainder of the Order
Comments due: November 2, 2012
|
SR-Phlx-2012-115 |
34-68012 |
Oct. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Further That the Provisions of the Rule 800 Series Are Not Effective to Permit the Listing of Securities and Include a Reference on the Need to Comply with Rule 10C-1 under the Securities Exchange Act of 1934 Should the Exchange List Equity Securities in the Future
Comments due: November 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-114 |
34-67951 |
Oct. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer the QView Service
Comments due: October 26, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-113 |
34-67866 |
Sep. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Electronic Firm Fee Discount
Comments due: October 11, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-112 |
34-67830 |
Sep. 11, 2012 |
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: October 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-111 |
34-67831 |
Sep. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to NOM
Comments due: October 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-110 |
34-67776 |
Sep. 4, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Elimination of a Reversal and Conversion Fee Cap
Comments due: October 1, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-108 |
34-67700 |
Aug. 21, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Rule 1014
Comments due: September 17, 2012
|
SR-Phlx-2012-107 |
34-67701 |
Aug. 21, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Client Information About Agency Orders of Floor Brokers
Comments due: September 17, 2012
|
SR-Phlx-2012-106 |
34-67780 |
Sep. 5, 2012 |
Notice of Withdrawal of Proposed Rule Change to Modify Exchange Rule 3307 to Institute a Five Millisecond Delay in the Execution Time of Marketable Orders on NASDAQ OMX PSX
|
34-67680 |
Aug. 17, 2012 |
Notice of Filing of Proposed Rule Change to Modify Exchange Rule 3307 to Institute a Five Millisecond Delay in the Execution Time of Marketable Orders on NASDAQ OMX PSX
Comments due: September 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-105 |
34-67976 |
Oct. 4, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding Treasury Securities Options
|
34-67683 |
Aug. 17, 2012 |
Notice of Filing of Proposed Rule Change Regarding Treasury Securities Options
Comments due: September 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-104 |
34-67633 |
Aug. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Select Symbols and Multiply-Listed Options
Comments due: September 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-102 |
34-67601 |
Aug. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx's Fee Schedule Governing Order Execution on its NASDAQ OMX PSX Facility
Comments due: August 31, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-101 |
34-67630 |
Aug. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Arrangements
Comments due: September 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-100 |
34-67538 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: August 24, 2012
|
SR-Phlx-2012-99 |
34-67537 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due: August 24, 2012
|
SR-Phlx-2012-98 |
34-67508 |
Jul. 26, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule
Comments due: August 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-97 |
34-67563 |
Aug. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of Non-Display of Primary Pegged Orders with an Offset Amount
Comments due: August 28, 2012
|
SR-Phlx-2012-96 |
34-67515 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Trading Floor Qualification Examination
Comments due: August 23, 2012
|
SR-Phlx-2012-95 |
34-67760 |
Aug. 30, 2012 |
Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2012-01, SR-BX-2012-052, SR-NASDAQ-2012-072, and SR-SCCP-2012-001
|
34-67434 |
Jul. 13, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX")
Comments due: August 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-94 |
34-67399 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL
Comments due: August 7, 2012
|
SR-Phlx-2012-93 |
34-67466 |
Jul. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Managed Data Solution for PHLX Top of Options
Comments due: August 15, 2012
Comments received
are available
for this proposal.
|
SR-Phlx-2012-92 |
34-67469 |
Jul. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 1014, 1051, and OFPA F-2
Comments due: August 15, 2012
|
SR-Phlx-2012-91 |
34-67412 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price to Comply Order
Comments due: August 7, 2012
|
SR-Phlx-2012-90 |
34-67439 |
Jul. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Select Symbols and Multiply-Listed Options
Comments due: August 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-88 |
34-67398 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BX Options
Comments due: August 7, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-87 |
34-67387 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx’s Fee Schedule Governing Order Execution on its NASDAQ OMX PSX facility
Comments due: August 6, 2012
|
SR-Phlx-2012-86 |
34-67326 |
Jun. 29, 2012 |
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: July 27, 2012
Comments received
are available
for this proposal.
|
SR-Phlx-2012-85 |
34-67271 |
Jun. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Excess Order Fee
Comments due: July 24, 2013
|
SR-Phlx-2012-84 |
34-67351 |
Jul. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Functioning of the Post-Only Order in NASDAQ OMX PSX
Comments due: August 1, 2012
|
SR-Phlx-2012-83 |
34-67352 |
Jul. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Distributor Fees for Two Related Options Market Data Products
Comments due: August 1, 2012
|
SR-Phlx-2012-81 |
34-67654 |
Aug. 14, 2012 |
Order Approving a Proposed Rule Change With Respect to the Authority of the Exchange or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs on the Exchange's NASDAQ OMX PSX Facility and To Describe the Operation of an Error Account for NES
|
34-67343 |
Jul. 3, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Authority of the Exchange or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs on the Exchange's NASDAQ OMX PSX Facility and to Describe the Operation of an Error Account for NES
Comments due: July 31, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-80 |
34-67245 |
Jun. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical and Conforming Amendments to the Pricing Schedule
Comments due: July 19, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-78 |
34-67753 |
Aug. 29, 2012 |
Order Granting Approval of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Options Program
|
34-67446 |
Jul. 16, 2012 |
Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Option Program
Comments due: August 10, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2012-77 |
34-67189 |
Jun. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Participant Categories, Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Multiply Listed Options
Comments due: July 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-76 |
34-67094 |
Jun. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its FLEX No Minimum Value Pilot Program
Comments due: June 28, 2012
|
SR-Phlx-2012-75 |
34-67123 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: July 3, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-74 |
34-67106 |
Jun. 4, 2012 |
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 29, 2012
|
SR-Phlx-2012-73 |
34-67121 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies
Comments due: July 2, 2012
|
SR-Phlx-2012-72 |
34-67147 |
Jun. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee
Comments due: July 3, 2012
|
SR-Phlx-2012-71 |
34-67053 |
May 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 616, Electronic Filing Requirements for Uniform Forms
Comments due: June 21, 2012
|
SR-Phlx-2012-70 |
34-67047 |
May 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Relating to Reversal and Conversion Strategies
Comments due: June 21, 2012
Additional Materials:
Exhibit 5
|
SR-PHLX-2012-68 |
34-67294 |
Jun. 28, 2012 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Accept Inbound Orders from NASDAQ OMX BX’s New Options Market
|
34-67026 |
May 18, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by NASDAQ OMX PHLX LLC to Accept Inbound Orders from NASDAQ OMX BX's New Options Market
Comments due: June 14, 2012
|
SR-Phlx-2012-67 |
34-67071 |
May 29, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the MSCI EAFE Index
Comments due: June 25, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-64 |
34-67004 |
May 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute an Excess Order Fee
Comments due: June 13, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-63 |
34-66993 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Direct Market Data Product, PHLX Orders
Comments due: June 11, 2012
|
SR-Phlx-2012-62 |
34-66992 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price to Comply Order
Comments due: June 11, 2012
|
SR-Phlx-2012-61 |
34-66985 |
May 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees
Comments due: June 8, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-60 |
34-66967 |
May 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the PHLX Depth of Market Data Product
Comments due: June 7, 2012
|
SR-Phlx-2012-58 |
34-66935 |
May 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Pricing Schedule Regarding the Co-Location Super High Density Cabinet Monthly Fee
Comments due: June 1, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-57 |
34-66968 |
May 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols
Comments due: June 7, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-56 |
34-66926 |
May 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx's Fee Schedule Governing Routing from its NASDAQ OMX PSX Facility
Comments due: May 31, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-54 |
34-68202 |
Nov. 9, 2012 |
Notice of Filing of Amendments No. 1, and Order Granting Accelerated Approval for Proposed Rule Changes as Modified by Amendments No. 1 Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: December 7, 2012
Additional File No.: SR-Phlx-2012-27
|
34-67825 |
Sep. 11, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Additional File No.: SR-Phlx-2012-27
|
34-66884 |
Apr. 30, 2012 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Rebuttal comments due: June 8, 2012
Additional File No.: SR-Phlx-2012-27
Comments received
are available
for this proposal.
|
34-66883 |
Apr. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols
Comments due: May 25, 2012
|
SR-Phlx-2012-53 |
34-66925 |
May 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: May 31, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-52 |
34-66859 |
Apr. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Account Fee
Comments due: May 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-50 |
34-66838 |
Apr. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 17, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-49 |
34-66806 |
Apr. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014
Comments due: May 10, 2012
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2012-47 |
34-66800 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: May 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-46 |
34-66805 |
Apr. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees
Comments due: May 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-45 |
34-66757 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates for Adding and Removing Liquidity in SPY
Comments due: May 3, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-44 |
34-66711 |
Apr. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the FLEX No Minimum Value Pilot Program
Comments due: April 27, 2012
|
SR-Phlx-2012-43 |
34-66756 |
Apr. 6, 2012 |
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: May 3, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-42 |
34-66755 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 3, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-41 |
34-66754 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Non-Customer Orders
Comments due: May 3, 2012
|
SR-Phlx-2012-40 |
34-67169 |
Jun. 8, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Quarterly Trading Requirements Applicable to Registered Options Traders
|
34-66767 |
Apr. 6, 2012 |
Notice of Filing of Proposed Rule Change Relating to Quarterly Trading Requirements Applicable to Registered Options Traders
Comments due: May 4, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-39 |
34-66697 |
Mar. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders with an Offset Amount
Comments due: April 26, 2012
|
SR-Phlx-2012-38 |
34-66799 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Fees
Comments due: May 9, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-37 |
34-66645 |
Mar. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Proprietary Traders Qualification Examination ("Series 56") Program
Comments due: April 19, 2012
|
SR-Phlx-2012-36 |
34-66664 |
Mar. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: April 23, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-35 |
34-66668 |
Mar. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Equity Options Fees and Singly Listed Option Fee
Comments due: April 24, 2012
|
SR-Phlx-2012-34 |
34-66721 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: April 30, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-32 |
34-66583 |
Mar. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Price Improvement XL ("PIXLSM")
Comments due: April 9, 2012
|
SR-Phlx-2012-31 |
34-66602 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptable Complex Execution ("ACE") Parameter Order Protection Feature
Comments due: April 11, 2012
|
SR-Phlx-2012-30 |
34-66593 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the 100MB Connectivity Option and Fee
Comments due: April 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-29 |
34-66610 |
Mar. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Certain Select Symbols from the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: April 12, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-28 |
34-66861 |
Apr. 26, 2012 |
Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of MSCI EAFE Index Options
|
34-66569 |
Mar. 9, 2012 |
Notice of Filing of Proposed Rule Change Relating to the MSCI EAFE Index
Comments due: April 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-27 |
34-68202 |
Nov. 9, 2012 |
Notice of Filing of Amendments No. 1, and Order Granting Accelerated Approval for Proposed Rule Changes as Modified by Amendments No. 1 Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: December 7, 2012
Additional File No.: SR-Phlx-2012-54
|
34-67825 |
Sep. 11, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Additional File No.: SR-Phlx-2012-54
|
34-66884 |
Apr. 30, 2012 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Rebuttal comments due: June 8, 2012
Additional File No.: SR-Phlx-2012-54
Comments received
are available
for this proposal.
|
34-66551 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: April 5, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-26 |
34-66584 |
Mar. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Options Fees
Comments due: April 10, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-25 |
34-66543 |
Mar. 8, 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: April 4, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-24 |
34-66484 |
Feb. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Administrative Fee for the Payment For Order Flow Program
Comments due: March 26, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-23 |
34-66840 |
Apr. 20, 2012 |
Order Approving Proposed Rule Change to Amend Registration, Qualification, and Continuing Education Requirements for Associated Persons
|
34-66497 |
Mar. 1, 2012 |
Notice of Filing of Proposed Rule Change to Amend Registration and Qualification Requirements
Comments due: March 28, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-22 |
34-66488 |
Feb. 29, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: March 27, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-21 |
34-66407 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Exchange Rule 705 (Fidelity Bonds)
Comments due: March 15, 2012
|
SR-Phlx-2012-20 |
34-66429 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Connectivity Options and Fees
Comments due: March 19, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-19 |
34-66451 |
Feb. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: March 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-17 |
34-66426 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule to Define a Market Maker
Comments due: March 19, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-16 |
34-66438 |
Feb. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain External and Inter-Cabinet Connectivity Fees
Comments due: March 20, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-15 |
34-66367 |
Feb. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: March 7, 2012
|
SR-Phlx-2012-13 |
34-66362 |
Feb. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Rule 705 (Fidelity Bonds)
Comments due: March 7, 2012
|
SR-Phlx-2012-12 |
34-66315 |
Feb. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Disseminated Quotations
Comments due: February 29, 2012
Comments received
are available
for this proposal.
|
SR-Phlx-2012-11 |
34-66616 |
Mar. 16, 2012 |
Order Granting Approval of Proposed Rule Change Regarding the Listing and Trading of PHLX FOREX OptionsTM
|
34-66257 |
Jan. 26, 2012 |
Notice of Filing of Proposed Rule Change Regarding Listing and Trading of PHLX FOREX OptionsTM
Comments due: February 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-10 |
34-66252 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: February 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-09 |
34-66251 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Document Removal Fee
Comments due: February 22, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-08 |
34-66224 |
Jan. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: February 21, 2012>
|
SR-Phlx-2012-07 |
34-66216 |
Jan. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due: February 17, 2012
|
SR-Phlx-2012-06 |
34-66208 |
Jan. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-time Risk Management Fee and Other Clarifying Amendments
Comments due: February 16, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-04 |
34-66284 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a New Product, TradeInfo PHLX, and amend the Fee Schedule to Add a Related Subscription Fee
Comments due: February 28, 2012
Additional Materials:
Exhibit 5
|
SR-Phlx-2012-02 |
34-66209 |
Jan. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reformatting the Fee Schedule
Comments due: February 16, 2012
|
SR-Phlx-2012-01 |
34-66155 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 10, 2012
Additional Materials:
Exhibit 5
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http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2012.shtml
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