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NASDAQ OMX PHLX LLC (Phlx) Rulemaking Archive: 2013
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 2013
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Release No. |
Date |
Details |
Fourth Quarter |
SR-Phlx-2013-129 |
34-71212 |
Dec. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System Changes
Comments due: January 28, 2014
|
SR-Phlx-2013-106 |
34-71177 |
Dec. 23, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
See also:
Notice: Rel. No. 34-70821
|
SR-Phlx-2013-127 |
34-71169 |
Dec. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in PSX Rule 3301(b)
Comments due: January 17, 2014
|
SR-Phlx-2013-123 |
34-71106 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of a 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 13, 2014
Comments received
are available
for this proposal.
|
SR-Phlx-2013-121 |
34-71108 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Two Features Relating to Complex Orders
Comments due: January 13, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-120 |
34-71096 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program
Comments due: January 13, 2014
|
SR-Phlx-2013-119 |
34-71078 |
Dec. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Rebates for Transactions in Qualified Contingent Cross Orders
Comments due: January 9, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-117 |
34-71064 |
Dec. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Pricing Schedule
Comments due: January 8, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-118 |
34-71040 |
Dec. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: January 7, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-116 |
34-71036 |
Dec. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under the PHLX Pricing Schedule for Use of the Carteret Testing Facility Test Environment
Comments due: January 7, 2014
|
SR-Phlx-2013-115 |
34-71010 |
Dec. 6, 2013 |
Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: January 2, 2014
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-71353
|
SR-Phlx-2013-101 |
34-71004 |
Dec. 6, 2013 |
Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program
See also:
Notice: Rel. No. 34-70682
|
SR-Phlx-2013-114 |
34-70969 |
Dec. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: December 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-113 |
34-70940 |
Nov. 25, 2013 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate
Comments due: December 20, 2013
See also: Order: Rel. No. 34-72633; Request for comment: Rel. No. 34-71891; Notice: Rel. No. 34-70866
|
SR-Phlx-2013-111 |
34-70874 |
Nov. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: December 11, 2013
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-70866
|
SR-Phlx-2013-108 |
34-70879 |
Nov. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits
Comments due: December 11, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-113 |
34-70866 |
Nov. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Customer Rebate
Comments due: December 10, 2013
Additional Materials:
Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-72633; Request for comment: Rel. No. 34-71891; Suspension of and Order: Rel. No. 34-70940
|
SR-Phlx-2013-112 |
34-70863 |
Nov. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the PIXL Auction Notification Requirements under Rule 1080
Comments due: December 10, 2013
|
SR-Phlx-2013-109 |
34-70850 |
Nov. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Box Spread Strategies
Comments due: December 9, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-110 |
34-70840 |
Nov. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: December 6, 2013
|
SR-Phlx-2013-106 |
34-70821 |
Nov. 6, 2013 |
Notice of Filing of Proposed Rule Change to Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
Comments due: December 4, 2013
See also:
Notice: Rel. No. 34-71177
Comments received
are available
for this proposal.
|
SR-Phlx-2013-105 |
34-70748 |
Oct. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish for PHLX Orders Managed Data Solution Fees for Non-Display Usage
Comments due: November 19, 2013
|
SR-Phlx-2013-104 |
34-70745 |
Oct. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts
Comments due: November 19, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-101 |
34-70682 |
Oct. 15, 2013 |
Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2013-99 |
34-70673 |
Oct. 11, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying Rule 1014 Regarding Daily Quoting Obligations
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-76 |
34-70654 |
Oct. 10, 2013 |
Order Granting Approval to Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts
See also:
Notice: Rel. No. 34-70242
|
SR-Phlx-2013-100 |
34-70629 |
Oct. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System
Comments due: November 12, 2013
|
SR-Phlx-2013-96 |
34-70630 |
Oct. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Table of Contents of the Pricing Schedule
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
Third Quarter |
SR-Phlx-2013-97 |
34-70541 |
Sep. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: October 24, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-93 |
34-70472 |
Sep. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Minor Modification to Pricing Incentive Programs
Comments due: October 18, 2013
|
SR-Phlx-2013-95 |
34-70451 |
Sep. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Temporary Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: October 16, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-92 |
34-70416 |
Sep. 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing Schedule Sections II and IV
Comments due: October 11, 2013 Additional Materials:
Exhibit 5
|
SR-Phlx-2013-90 |
34-70371 |
Sep. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: October 8, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-85 |
34-70327 |
Sep. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 640, Continuing Education for Registered Persons and Adopt a Corresponding Fee
Comments due: October 2, 2013
|
SR-Phlx-2013-87 |
34-70278 |
Aug. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Commentary to Rule 1080 to Add a New PIXL ISO Order Type
Comments due: September 25, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-88 |
34-70271 |
Aug. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Trading Information and Rule Clarity to Phlx Participants
Comments due: September 24, 2013
|
SR-Phlx-2013-84 |
34-70270 |
Aug. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 910 and Related Phlx Rules
Comments due: September 24, 2013
|
SR-Phlx-2013-89 |
34-70259 |
Aug. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: September 20, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-76 |
34-70242 |
Aug. 21, 2013 |
Notice of Filing of Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts
Comments due: September 17, 2013
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-70654
|
SR-Phlx-2013-82 |
34-70174 |
Aug. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx Connectivity Options and Fees
Comments due: September 9, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-81 |
34-70142 |
Aug. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 1015 Regarding Accommodation Claims
Comments due: September 4, 2013
|
SR-Phlx-2013-83 |
34-70141 |
Aug. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System Until the End of September 2013
Comments due: September 4, 2013
|
SR-Phlx-2013-79 |
34-70116 |
Aug. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delisting Series in the STOs and Opening up to Five Consecutive Weekly Expirations of STOs
Comments due: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-80 |
34-70115 |
Aug. 5, 2013 |
Notice of Filing of Proposed Rule Changes to Its Excess Order Fee
Comments due: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-77 |
34-70110 |
Aug. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-78 |
34-70101 |
Aug. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Halts or Suspension When an Exchange Trading System Experiences Technical Failure or Failures
Comments due: August 29, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-65 |
34-70026 |
Jul. 23, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction
See also:
Notice: Rel. No. 34-69829
|
SR-Phlx-2013-74 |
34-69989 |
Jul. 16, 2013 |
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 12, 2013
|
SR-Phlx-2013-71 |
34-69958 |
Jul. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Section I Pricing for Select Symbols
Comments due: August 6, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-72 |
34-69921 |
Jul. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Acceptable Complex Execution Parameter
Comments due: July 30, 2013
|
SR-Phlx-2013-73 |
34-69920 |
Jul. 2, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 1012 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Comments due: July 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-70 |
34-69901 |
Jul. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for the Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: July 29, 2013
|
Second Quarter |
SR-Phlx-2013-69 |
34-69848 |
Jun. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Acceptable Trade Range for Orders and Quotes on PHLX XL
Comments due: July 22, 2013
|
SR-Phlx-2013-46 |
34-69845 |
Jun. 25, 2013 |
Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL
See also:
Notice: Rel. No. 34-69550
|
SR-Phlx-2013-68 |
34-69842 |
Jun. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Section B of Exchange's Pricing Schedule
Comments due: July 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-65 |
34-69829 |
Jun. 21, 2013 |
Notice of Filing of Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction
Comments due: July 29, 2013 See also:
Notice: Rel. No. 34-70026
|
SR-Phlx-2013-66 |
34-69817 |
Jun. 21, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3100 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on NASDAQ OMX PSX
Comments due: July 18, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-67 |
34-69811 |
Jun. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of its New Options Floor Broker Management System
Comments due: July 17, 2013
|
SR-Phlx-2013-64 |
34-69786 |
Jun. 18, 2013 |
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 15, 2013
|
SR-Phlx-2013-61 |
34-69768 |
Jun. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend various sections of the Exchange's Pricing Schedule
Comments due: July 11, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-42 |
34-67956 |
Jun. 13, 2013 |
Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.
See also:
Notice: Rel. No. 34-69498
|
SR-Phlx-2013-62 |
34-69752 |
Jun. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Introduce a Market Maker Peg Order for Use on NASDAQ OMX PSX
Comments due: July 10, 2013
|
SR-Phlx-2013-63 |
34-69732 |
Jun. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Order to Disseminate a Spot Price for Treasury Options
Comments due: July 8, 2013
|
SR-Phlx-2013-60 |
34-69717 |
Jun. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: July 5, 2013
|
SR-Phlx-2013-57 |
34-69683 |
Jun. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Typographical Errors in Respect of the Treasury Securities Options
Comments due: June 28, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-58 |
34-69672 |
May 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Permit Fees and Other Floor Fees
Comments due: June 26, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-59 |
34-69671 |
May 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to apply a Strategy Fee Cap to Jelly Rolls
Comments due: June 26, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-55 |
34-69633 |
May 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series Program
Comments due: June 20, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-56 |
34-69632 |
May 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text
Comments due: June 20, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-52 |
34-69612 |
May 21, 2013 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Lead Market Maker Program on the NASDAQ OMX PSX Market and to Make Related Changes to the Schedule Fees and Rebates for Execution of Quotes and Orders
Comments due: June 18, 2013
|
SR-Phlx-2013-54 |
34-69610 |
May 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3306 and Rule 3303 to Stipulate How Participants in NASDAQ OMX PSX May Modify Previously Entered Orders and to Describe How Modified Orders Are Processed
Comments due: June 14, 2013
|
SR-Phlx-2013-51 |
34-69588 |
May 15, 2013 |
Notice of Filing of Proposed Rule Change to its Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: June 11, 2013
|
SR-Phlx-2013-50 |
34-69586 |
May 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Options
Comments due: June 11, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-53 |
34-69583 |
May 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Allow Cabinet Trading to Take Place Below $1 per Option Contract
Comments due: June 12, 2013
|
SR-Phlx-2013-45 |
34-69555 |
May 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options
Comments due: June 6, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2013-46 |
34-69550 |
May 9, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL
Comments due: June 5, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-69845
|
SR-Phlx-2013-49 |
34-69548 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Sections of the Exchange's Pricing Schedule
Comments due: June 5, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-48 |
34-69547 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Rebates Applicable to Qualified Contingent Cross Orders
Comments due: June 5, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-44 |
34-69509 |
May 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Remote Streaming Quote Trader Fees and Reference a Remote Streaming Quote Trader Organization
Comments due: May 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-43 |
34-69500 |
May 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Application and Initiation Fees in Certain Circumstances
Comments due: May 29, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-42 |
34-69498 |
May 2, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of the Exchange's Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.
Comments due: May 29, 2013
See also:
Order: Rel. No. 34-67956
|
SR-Phlx-2013-09 |
34-69471 |
Apr. 29, 2013 |
Order Approving Proposed Rule Change to Enhance the Functionality Offered on the Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
See also:
Notice: Rel. No. 34-68960
|
SR-Phlx-2013-40 |
34-69465 |
Apr. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Strategy Fee Caps
Comments due: May 23, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-24 |
34-69452 |
Apr. 25, 2013 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto to Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX
See also:
Notice: Rel. No. 34-69194
|
SR-Phlx-2013-03 |
34-69417 |
Apr. 19, 2013 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rules 507 and 1014 to Establish Remote Streaming Quote Trader Organizations
See also:
Notice: Rel. No. 34-68689
|
SR-Phlx-2013-38 |
34-69401 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Routing Fees
Comments due: May 15, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-35 |
34-69351 |
Apr. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options
Comments due: May 6, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-29 |
34-69344 |
Apr. 8, 2013 |
Order Granting Accelerated Approval of a Proposed Rule Change to Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
See also:
Notice: Rel. No. 34-69141
|
SR-Phlx-2013-21 |
34-69332 |
Apr. 5, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations
See also:
Notice: Rel. No. 34-69068
|
SR-Phlx-2013-05 |
34-69304 |
Apr. 4, 2013 |
Order Granting Approval of Proposed Rule Change Regarding Catastrophic Errors
See also:
Notice: Rel. No. 34-68907
|
SR-Phlx-2013-37 |
34-69269 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its FLEX Option No Minimum Value Size Pilot Program to March 28, 2014
Comments due: April 29, 2013
|
First Quarter |
SR-Phlx-2013-023 |
34-69253 |
Mar. 28, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Routing Fees and the Customer Rebate Program
Comments due: April 26, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-36 |
34-69241 |
Mar. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading QCC and PIXL Orders in Mini Options
Comments due: April 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-15 |
34-69229 |
Mar. 25, 2013 |
Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit PSX to Accept Inbound Orders Routed by NASDAQ Execution Services LLC from the BX Equities Market
See also:
Notice: Rel. No. 34-68889
|
SR-Phlx-2013-26 |
34-69218 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 3100
Comments due: April 18, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-31 |
34-69204 |
Mar. 21, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections I and II of the Pricing Schedule
Comments due: April 17, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-24 |
34-69194 |
Mar. 20, 2013 |
Notice of Filing of Proposed Rule Change to Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX
Comments due: April 16, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-69452
|
SR-Phlx-2013-28 |
34-69182 |
Mar. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for PSX Managed Data Solutions (MDS)
Comments due: April 16, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-34 |
34-69162 |
Mar. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: April 12, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-30 |
34-69159 |
Mar. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 12, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-29 |
34-69141 |
Mar. 15, 2013 |
Notice of Filing of Proposed Rule Change to Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: April 4, 2013
See also:
Order: Rel. No. 34-69344
Comments received
are available
for this proposal.
|
SR-Phlx-2013-20 |
34-69118 |
Mar. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Exchange Rule 1047(f) and (g) for Limit Up/Limit Down Situations
Comments due: April 8, 2013
|
SR-Phlx-2013-19 |
34-69076 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Fee Schedule Governing Order Routing for the NASDAQ OMX PSX Facility
Comments due: April 4, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-21 |
34-69068 |
Mar. 7, 2013 |
Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations
Comments due: March 28, 2013
See also:
Order: Rel. No. 34-69332
|
SR-Phlx-2013-18 |
34-69031 |
Mar. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Long-Term Index Options
Comments due: March 29, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-16 |
34-69005 |
Feb. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Transaction Fees for Options on Treasury Securities
Comments due: March 27, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-17 |
34-68984 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Routing Fees to C2
Comments due: March 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-09 |
34-68960 |
Feb. 20, 2013 |
Notice of Filing of Proposed Rule Change to Enhance the Functionality Offered on its Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
Comments due: March 19, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-69471
|
SR-Phlx-2013-13 |
34-68924 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Customer Rebate Program and Other Technical Amendments
Comments due: March 13, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-14 |
34-68915 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013
|
SR-Phlx-2013-05 |
34-68907 |
Feb. 12, 2013 |
Notice of Filing of Proposed Rule Change Regarding Catastrophic Errors
Comments due: March 12, 2013
See also:
Order: Rel. No. 34-69304
Comments received
are available
for this proposal.
|
SR-Phlx-2013-15 |
34-68889 |
Feb. 8, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit PSX to Accept Inbound Orders Routed by Nasdaq Execution Services LLC from the BX Equities Market
Comments due: March 7, 2013
See also:
Order: Rel. No. 34-69229
|
SR-Phlx-2013-10 |
34-68880 |
Feb. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Fees in Section II of the Pricing Schedule
Comments due: March 7, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-08 |
34-68838 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Routing Functionality of the NASDAQ OMX PSX Market
Comments due: March 5, 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
See also:
Notice: Rel. No. 34-68513
|
SR-Phlx-2013-12 |
34-68820 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Rule 3312, Entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-11 |
34-68816 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to Exchange Rule 133
Comments due: March 4, 2013
|
SR-Phlx-2013-06 |
34-68793 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Clarification to the Exchange's Pricing Schedule to Clarify When an Order is Adding or Removing Liquidity
Comments due: February 27, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-04 |
34-68698 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 15, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-03 |
34-68689 |
Jan. 18, 2013 |
Notice of Filing of Proposed Rule Change to Amend Exchange Rules 507 and 1014 to Establish Remote Streaming Quote Trader Organizations
Comments due: February 15, 2013
See also:
Notice: Rel. No. 34-69417
|
SR-Phlx-2013-01 |
34-68674 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Pricing Schedule
Comments due: February 13, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-02 |
34-68648 |
Jan. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Fees Assessed for Certain Co-location Services
Comments due: February 8, 2013
Additional Materials:
Exhibit 5
|
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-2012-141 |
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-2012-145 |
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-2012-130 |
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
See also:
Notice: Rel. No. 34-68217
|
Phlx File Number List for 2013 |
Release No. |
Date |
Details |
SR-Phlx-2013-129 |
34-71212 |
Dec. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System Changes
Comments due: January 28, 2014
|
SR-Phlx-2013-128 |
34-71228 |
Jan. 2, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Describe the Application of Fees Assessed for Connectivity to the Carteret Test Environment under Chapter VIII of the Exchange's Pricing Schedule
Comments due: January 29, 2014
|
SR-Phlx-2013-127 |
34-71169 |
Dec. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in PSX Rule 3301(b)
Comments due: January 17, 2014
|
SR-Phlx-2013-125 |
34-71258 |
Jan. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-124 |
34-71256 |
Jan. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Multiply Listed Options Fees
Comments due: February 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-123 |
34-71106 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of a 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 13, 2014
Comments received
are available
for this proposal.
|
SR-Phlx-2013-121 |
34-71108 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Two Features Relating to Complex Orders
Comments due: January 13, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-120 |
34-71096 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program
Comments due: January 13, 2014
|
SR-Phlx-2013-119 |
34-71078 |
Dec. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Rebates for Transactions in Qualified Contingent Cross Orders
Comments due: January 9, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-118 |
34-71040 |
Dec. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: January 7, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-117 |
34-71064 |
Dec. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Pricing Schedule
Comments due: January 8, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-116 |
34-71036 |
Dec. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under the PHLX Pricing Schedule for Use of the Carteret Testing Facility Test Environment
Comments due: January 7, 2014
|
SR-Phlx-2013-115 |
34-71353 |
Jan. 17, 2014 |
Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2013-001, SR-BX-2013-057, SR-NASDAQ-2013-148, SR-SCCP-2013-01
|
34-71010 |
Dec. 6, 2013 |
Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: January 2, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-114 |
34-70969 |
Dec. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: December 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-113 |
34-72633 |
Jul. 16, 2014 |
Order Disapproving Proposed Rule Change to Offer a Rebate Based on Members' Aggregate Customer Volume in Multiply-listed Options Transacted on NASDAQ OMX PHLX LLC or its Affiliated Options Exchanges
See also:
|
34-71891 |
Apr. 7, 2014 |
Request for Comment and Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate
Comments due: April 25, 2014
Rebuttal Comments due: May 9, 2014
|
34-70940 |
Nov. 25, 2013 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate
Comments due: December 20, 2013
|
34-70866 |
Nov. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Customer Rebate
Comments due: December 10, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2013-112 |
34-70863 |
Nov. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the PIXL Auction Notification Requirements under Rule 1080
Comments due: December 10, 2013
|
SR-Phlx-2013-111 |
34-70874 |
Nov. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: December 11, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-110 |
34-70840 |
Nov. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: December 6, 2013
|
SR-Phlx-2013-109 |
34-70850 |
Nov. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Box Spread Strategies
Comments due: December 9, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-108 |
34-70879 |
Nov. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits
Comments due: December 11, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-106 |
34-71177 |
Dec. 23, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
|
34-70821 |
Nov. 6, 2013 |
Notice of Filing of Proposed Rule Change to Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
Comments due: December 4, 2013
Comments received
are available
for this proposal.
|
SR-Phlx-2013-105 |
34-70748 |
Oct. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish for PHLX Orders Managed Data Solution Fees for Non-Display Usage
Comments due: November 19, 2013
|
SR-Phlx-2013-104 |
34-70745 |
Oct. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts
Comments due: November 19, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-101 |
34-71004 |
Dec. 6, 2013 |
Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program
|
34-70682 |
Oct. 15, 2013 |
Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2013-100 |
34-70629 |
Oct. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System
Comments due: November 12, 2013
|
SR-Phlx-2013-99 |
34-70673 |
Oct. 11, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying Rule 1014 Regarding Daily Quoting Obligations
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-97 |
34-70541 |
Sep. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: October 24, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-96 |
34-70630 |
Oct. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Table of Contents of the Pricing Schedule
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-95 |
34-70451 |
Sep. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Temporary Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: October 16, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-93 |
34-70472 |
Sep. 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Minor Modification to Pricing Incentive Programs
Comments due: October 18, 2013
|
SR-Phlx-2013-92 |
34-70416 |
Sep. 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing Schedule Sections II and IV
Comments due: October 11, 2013 Additional Materials:
Exhibit 5
|
SR-Phlx-2013-90 |
34-70371 |
Sep. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: October 8, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-89 |
34-70259 |
Aug. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: September 20, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-88 |
34-70271 |
Aug. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Trading Information and Rule Clarity to Phlx Participants
Comments due: September 24, 2013
|
SR-Phlx-2013-87 |
34-70278 |
Aug. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Commentary to Rule 1080 to Add a New PIXL ISO Order Type
Comments due: September 25, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-85 |
34-70327 |
Sep. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 640, Continuing Education for Registered Persons and Adopt a Corresponding Fee
Comments due: October 2, 2013
|
SR-Phlx-2013-84 |
34-70270 |
Aug. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 910 and Related Phlx Rules
Comments due: September 24, 2013
|
SR-Phlx-2013-83 |
34-70141 |
Aug. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of the Options Floor Broker Management System Until the End of September 2013
Comments due: September 4, 2013
|
SR-Phlx-2013-82 |
34-70174 |
Aug. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx Connectivity Options and Fees
Comments due: September 9, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-81 |
34-70142 |
Aug. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 1015 Regarding Accommodation Claims
Comments due: September 4, 2013
|
SR-Phlx-2013-80 |
34-70115 |
Aug. 5, 2013 |
Notice of Filing of Proposed Rule Changes to Its Excess Order Fee
Comments due: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-79 |
34-70116 |
Aug. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delisting Series in the STOs and Opening up to Five Consecutive Weekly Expirations of STOs
Comments due: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-78 |
34-70101 |
Aug. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Halts or Suspension When an Exchange Trading System Experiences Technical Failure or Failures
Comments due: August 29, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-77 |
34-70110 |
Aug. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: August 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-76 |
34-70654 |
Oct. 10, 2013 |
Order Granting Approval to Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts
See also:
Notice: Rel. No. 34-70242
|
34-70242 |
Aug. 21, 2013 |
Notice of Filing of Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts
Comments due: September 17, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-74 |
34-69989 |
Jul. 16, 2013 |
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 12, 2013
|
SR-Phlx-2013-73 |
34-69920 |
Jul. 2, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 1012 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Comments due: July 30, 2013 Additional Materials:
Exhibit 5
|
SR-Phlx-2013-72 |
34-69921 |
Jul. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Acceptable Complex Execution Parameter
Comments due: July 30, 2013
|
SR-Phlx-2013-71 |
34-69958 |
Jul. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Section I Pricing for Select Symbols
Comments due: August 6, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-70 |
34-69901 |
Jul. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for the Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: July 29, 2013
|
SR-Phlx-2013-69 |
34-69848 |
Jun. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Acceptable Trade Range for Orders and Quotes on PHLX XL
Comments due: July 22, 2013
|
SR-Phlx-2013-68 |
34-69842 |
Jun. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Section B of Exchange's Pricing Schedule
Comments due: July 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-67 |
34-69811 |
Jun. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of its New Options Floor Broker Management System
Comments due: July 17, 2013
|
SR-Phlx-2013-66 |
34-69817 |
Jun. 21, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3100 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on NASDAQ OMX PSX
Comments due: July 18, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-65 |
34-70026 |
Jul. 23, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction
|
34-69829 |
Jun. 21, 2013 |
Notice of Filing of Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction
Comments due: July 18, 2013
|
SR-Phlx-2013-64 |
34-69786 |
Jun. 18, 2013 |
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 15, 2013
|
SR-Phlx-2013-63 |
34-69732 |
Jun. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Order to Disseminate a Spot Price for Treasury Options
Comments due: July 8, 2013
|
SR-Phlx-2013-62 |
34-69752 |
Jun. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 thereto to Introduce a Market Maker Peg Order for Use on NASDAQ OMX PSX
Comments due: July 10, 2013
|
SR-Phlx-2013-61 |
34-69768 |
Jun. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend various sections of the Exchange's Pricing Schedule
Comments due: July 11, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-60 |
34-69717 |
Jun. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: July 5, 2013
|
SR-Phlx-2013-59 |
34-69671 |
May 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to apply a Strategy Fee Cap to Jelly Rolls
Comments due: June 26, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-58 |
34-69672 |
May 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Permit Fees and Other Floor Fees
Comments due: June 26, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-57 |
34-69683 |
Jun. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Typographical Errors in Respect of the Treasury Securities Options
Comments due: June 28, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-56 |
34-69632 |
May 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text
Comments due: June 20, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-55 |
34-69633 |
May 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series Program
Comments due: June 20, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-54 |
34-69610 |
May 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3306 and Rule 3303 to Stipulate How Participants in NASDAQ OMX PSX May Modify Previously Entered Orders and to Describe How Modified Orders Are Processed
Comments due: June 14, 2013
|
SR-Phlx-2013-53 |
34-69583 |
May 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Allow Cabinet Trading to Take Place Below $1 per Option Contract
Comments due: June 12, 2013
|
SR-Phlx-2013-52 |
34-69612 |
May 21, 2013 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish a Lead Market Maker Program on the NASDAQ OMX PSX Market and to Make Related Changes to the Schedule Fees and Rebates for Execution of Quotes and Orders
Comments due: June 18, 2013
|
SR-Phlx-2013-51 |
34-69588 |
May 15, 2013 |
Notice of Filing of Proposed Rule Change to its Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Comments due: June 11, 2013
|
SR-Phlx-2013-50 |
34-69586 |
May 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Options
Comments due: June 11, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-49 |
34-69548 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Sections of the Exchange's Pricing Schedule
Comments due: June 5, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-48 |
34-69547 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Rebates Applicable to Qualified Contingent Cross Orders
Comments due: June 5, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-46 |
34-69845 |
Jun. 25, 2013 |
Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL
|
34-69550 |
May 9, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL
Comments due: June 5, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-45 |
34-69555 |
May 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options
Comments due: June 6, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-Phlx-2013-44 |
34-69509 |
May 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Remote Streaming Quote Trader Fees and Reference a Remote Streaming Quote Trader Organization
Comments due: May 30, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-43 |
34-69500 |
May 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Application and Initiation Fees in Certain Circumstances
Comments due: May 29, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-42 |
34-67956 |
Jun. 13, 2013 |
Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.
|
34-69498 |
May 2, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of the Exchange's Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc.
Comments due: May 29, 2013
|
SR-Phlx-2013-40 |
34-69465 |
Apr. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Strategy Fee Caps
Comments due: May 23, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-38 |
34-69401 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Routing Fees
Comments due: May 15, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-37 |
34-69269 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its FLEX Option No Minimum Value Size Pilot Program to March 28, 2014
Comments due: April 29, 2013
|
SR-Phlx-2013-36 |
34-69241 |
Mar. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading QCC and PIXL Orders in Mini Options
Comments due: April 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-35 |
34-69351 |
Apr. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options
Comments due: May 6, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-34 |
34-69162 |
Mar. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: April 12, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-31 |
34-69204 |
Mar. 21, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections I and II of the Pricing Schedule
Comments due: April 17, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-30 |
34-69159 |
Mar. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 12, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-29 |
34-69344 |
Apr. 8, 2013 |
Order Granting Accelerated Approval of a Proposed Rule Change to Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
|
34-69141 |
Mar. 15, 2013 |
Notice of Filing of Proposed Rule Change to Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: April 4, 2013
Comments received
are available
for this proposal.
|
SR-Phlx-2013-28 |
34-69182 |
Mar. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for PSX Managed Data Solutions (MDS)
Comments due: April 16, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-26 |
34-69218 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 3100
Comments due: April 18, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-24 |
34-69452 |
Apr. 25, 2013 |
Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto to Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX
|
34-69194 |
Mar. 20, 2013 |
Notice of Filing of Proposed Rule Change to Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX
Comments due: April 16, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-023 |
34-69253 |
Mar. 28, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Routing Fees and the Customer Rebate Program
Comments due: April 26, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-21 |
34-69332 |
Apr. 5, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations
|
34-69068 |
Mar. 7, 2013 |
Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations
Comments due: March 28, 2013
|
SR-Phlx-2013-20 |
34-69118 |
Mar. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Exchange Rule 1047(f) and (g) for Limit Up/Limit Down Situations
Comments due: April 8, 2013
|
SR-Phlx-2013-19 |
34-69076 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Fee Schedule Governing Order Routing for the NASDAQ OMX PSX Facility
Comments due: April 4, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-18 |
34-69031 |
Mar. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Long-Term Index Options
Comments due: March 29, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-17 |
34-68984 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Routing Fees to C2
Comments due: March 22, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-16 |
34-69005 |
Feb. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Transaction Fees for Options on Treasury Securities
Comments due: March 27, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-15 |
34-69229 |
Mar. 25, 2013 |
Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit PSX to Accept Inbound Orders Routed by NASDAQ Execution Services LLC from the BX Equities Market
|
34-68889 |
Feb. 8, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit PSX to Accept Inbound Orders Routed by Nasdaq Execution Services LLC from the BX Equities Market
Comments due: March 7, 2013
|
SR-Phlx-2013-14 |
34-68915 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013
|
SR-Phlx-2013-13 |
34-68924 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Customer Rebate Program and Other Technical Amendments
Comments due: March 13, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-12 |
34-68820 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Related to Rule 3312, Entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-11 |
34-68816 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to Exchange Rule 133
Comments due: March 4, 2013
|
SR-Phlx-2013-10 |
34-68880 |
Feb. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Fees in Section II of the Pricing Schedule
Comments due: March 7, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-09 |
34-69471 |
Apr. 29, 2013 |
Order Approving Proposed Rule Change to Enhance the Functionality Offered on the Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
|
34-68960 |
Feb. 20, 2013 |
Notice of Filing of Proposed Rule Change to Enhance the Functionality Offered on its Options Floor Broker Management System ("FBMS") by, Among Other Things, Automating Functions Currently Performed by Floor Brokers
Comments due: March 19, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-08 |
34-68838 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Routing Functionality of the NASDAQ OMX PSX Market
Comments due: March 5, 2013
|
SR-Phlx-2013-06 |
34-68793 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Clarification to the Exchange's Pricing Schedule to Clarify When an Order is Adding or Removing Liquidity
Comments due: February 27, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-05 |
34-69304 |
Apr. 4, 2013 |
Order Granting Approval of Proposed Rule Change Regarding Catastrophic Errors
|
34-68907 |
Feb. 12, 2013 |
Notice of Filing of Proposed Rule Change Regarding Catastrophic Errors
Comments due: March 12, 2013
Comments received
are available
for this proposal.
|
SR-Phlx-2013-04 |
34-68698 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 15, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-03 |
34-69417 |
Apr. 19, 2013 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rules 507 and 1014 to Establish Remote Streaming Quote Trader Organizations
|
34-68689 |
Jan. 18, 2013 |
Notice of Filing of Proposed Rule Change to Amend Exchange Rules 507 and 1014 to Establish Remote Streaming Quote Trader Organizations
Comments due: February 15, 2013
|
SR-Phlx-2013-02 |
34-68648 |
Jan. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Fees Assessed for Certain Co-location Services
Comments due: February 8, 2013
Additional Materials:
Exhibit 5
|
SR-Phlx-2013-01 |
34-68674 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Pricing Schedule
Comments due: February 13, 2013
Additional Materials:
Exhibit 5
|
http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2013.shtml
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