|
|
NASDAQ OMX PHLX LLC (Phlx) Rulemaking Archive: 2014
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 2014
Additional Archives
2023 |
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
2004 |
2003 |
2002 |
2001 |
2000 |
1999 |
1998
Release No. |
Date |
Details |
Fourth Quarter |
SR-Phlx-2014-80 |
34-73927 |
Dec. 23, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Fee Caps
Comments due: January 21, 2015
Additional Materials: Exhibit 5
|
SR-Phlx-2014-66 |
34-73791 |
Dec. 8, 2014 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
See also: Notice: Rel. No. 34-75300, Notice: Rel. No. 34-74746, Notice: Rel. No. 34-74167, Notice: Rel. No. 34-73441
|
SR-Phlx-2014-76 |
34-73719 |
Dec. 2, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Anti-Internalization Functionality for Registered Market Makers on the PHLX Options Market
Comments due: December 29, 2014
|
SR-Phlx-2014-77 |
34-73688 |
Nov. 25, 2014 |
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: December 23, 2014
|
SR-Phlx-2014-73 |
34-73687 |
Nov. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fees
Comments due: December 23, 2014
|
SR-Phlx-2014-74 |
34-73660 |
Nov. 20, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify 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 17, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-75 |
34-73629 |
Nov. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule
Comments due: December 15, 2014
|
SR-Phlx-2014-71 |
34-73586 |
Nov. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation of the New Options Floor Broker Management System until November 3, 2015
Comments due: December 10, 2014
|
SR-Phlx-2014-72 |
34-73580 |
Nov. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL Executions in SPY and PIXL Pricing
Comments due: December 9, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-68 |
34-73548 |
Nov. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 4, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-67 |
34-73546 |
Nov. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Two Typographical Errors in Rule 3315
Comments due: December 4, 2014
|
SR-Phlx-2014-54 |
34-73545 |
Nov. 6, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Add a New Complex Order Process Called Legging Orders
Comments due: December 4, 2014
See also: Notice: 34-73152
|
SR-Phlx-2014-61 |
34-73516 |
Nov. 5, 2014 |
Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, In
Additional File Nos.: SR-BSECC-2014-001, SR-BX-2014-045, SR-NASDAQ-2014-093, SR-SCCP-2014-01
See also: Notice: Rel. No. 34-73194
|
SR-Phlx-2014-70 |
34-73535 |
Nov. 5, 2014 |
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 and the Excess Order Fee
Comments due: December 3, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-69 |
34-73474 |
Oct. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: November 26, 2014
Comments received are available for this proposal.
|
SR-Phlx-2014-66 |
34-73441 |
Oct. 27, 2014 |
Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: November 21, 2014
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75300, Notice: Rel. No. 34-74746, Notice: Rel. No. 34-74167, Notice: Rel. No. 34-73791
|
SR-Phlx-2014-64 |
34-73330 |
Oct. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Floor Procedure Advice F-27, Options Exchange Official Rulings
Comments due: November 6, 2014
|
SR-Phlx-2014-65 |
34-73311 |
Oct. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 705 (Fidelity Bonds)
Comments due: November 4, 2014
|
SR-Phlx-2014-23 |
34-73291 |
Oct. 2, 2014 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
See also: Notice: Rel. No. 34-72751, Notice: Rel. No. 34-72447, Notice: Rel. No. 34-72119
|
SR-Phlx-2014-63 |
34-73286 |
Oct. 2, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 60
Comments due: October 29, 2014
|
Third Quarter |
SR-Phlx-2014-59 |
34-73246 |
Sep. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Period of the New Options Floor Broker Management System until November 3, 2014
Comments due: October 24, 2014
Comments received are available for this proposal.
|
SR-Phlx-2014-61 |
34-73194 |
Sep. 23, 2014 |
Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: October 20, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73516
|
SR-Phlx-2014-54 |
34-73152 |
Sep. 19, 2014 |
Notice of Filing of Proposed Rule Change to Add a New Complex Order Process Called Legging Orders
Comments due: October 16, 2014
Additional Materials: Exhibit 5
See also: Notice and Order: 34-73545
Comments received are available for this proposal.
|
SR-Phlx-2014-60 |
34-73126 |
Sep. 17, 2014 |
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: October 14, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-56 |
34-72969 |
Sep. 3, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Information Related to Aggregation of Activity of Affiliates
Comments due: September 30, 2014
|
SR-Phlx-2014-57 |
34-72968 |
Sep. 3, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014
|
SR-Phlx-2014-46 |
34-72949 |
Aug. 29, 2014 |
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
See also: Notice: Rel. No. 34-72664
|
SR-Phlx-2014-52 |
34-72807 |
Aug. 11, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: September 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-51 |
34-72806 |
Aug. 11, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: September 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-50 |
34-72796 |
Aug. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Simple Order Fees for Removing Liquidity in SPY Options
Comments due: September 4, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-53 |
34-72786 |
Aug. 7, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: September 3, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-45 |
34-72784 |
Aug. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Fees
Comments due: September 3, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-23 |
34-72751 |
Aug. 4, 2014 |
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
Comments due: August 29, 2014
Rebuttal comments due: September 12, 2014
See also: Order: Rel. No. 34-73291, Notice: Rel. No. 34-72447, Notice: Rel. No. 34-72119
Comments received are available for this proposal.
|
SR-Phlx-2014-49 |
34-72713 |
Jul. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions
Comments due: August 26, 2014
Comments received are available for this proposal.
|
SR-Phlx-2014-46 |
34-72664 |
Jul. 24, 2014 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
Comments due: August 20, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72949
Comments received are available for this proposal.
|
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
Comments Due: January 20, 2015
See also:
|
SR-Phlx-2014-47 |
34-72630 |
Jul. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section I and Section II of the Pricing Schedule
Comments due: August 12, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-Phlx-2014-48 |
34-72619 |
Jul. 16, 2014 |
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, 2014
|
SR-Phlx-2014-44 |
34-72605 |
Jul. 14, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of a Recent Proposal Relating to Joint Back Office Participants
Comments due: August 8, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-24 |
34-72603 |
Jul. 14, 2014 |
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Order Execution Algorithm of NASDAQ OMX PSX
See also: Notice: Rel. No. 34-72250
|
SR-Phlx-2014-43 |
34-72572 |
Jul. 9, 2014 |
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: August 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-40 |
34-72546 |
Jul. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Midpoint Peg Post-Only Order and Modify the Minimum Quantity Order on NASDAQ OMX PSX
Comments due: August 1, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-41 |
34-72504 |
Jul. 1, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: July 29, 2014
|
Second Quarter |
SR-Phlx-2014-34 |
34-72473 |
Jun. 25, 2014 |
Notice of Withdrawal of Proposed Rule Change to Delete the PHOTO Historical Data Product from Section IX of the Exchange's Options Fee Schedule
See also: Notice: Rel. No. 34-72225
|
SR-Phlx-2014-23 |
34-72447 |
Jun. 23, 2014 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
See also: Order: Rel. No. 34-73291, Notice: Rel. No. 34-72751, Notice: Rel. No. 34-72119
|
SR-Phlx-2014-27 |
34-72434 |
Jun. 19, 2014 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48, SR-NYSEMKT-2014-37
See also: Notice: Rel. No. 34-72055
|
SR-Phlx-2014-38 |
34-72395 |
Jun. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Multiply Listed Options
Comments due: July 11, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-39 |
34-72351 |
Jun. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 1080.08
Comments due: July 7, 2014
|
SR-Phlx-2014-36 |
34-72251 |
May 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 23, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-24 |
34-72250 |
May 23, 2014 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Order Execution Algorithm of NASDAQ OMX PSX
Comments due: June 20, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72603
|
SR-Phlx-2014-37 |
34-72245 |
May 23, 2014 |
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: June 20, 2014
|
SR-Phlx-2014-35 |
34-72229 |
May 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Accounts
Comments due: June 19, 2014
|
SR-Phlx-2014-34 |
34-72225 |
May 22, 2014 |
Notice of Filing of Proposed Rule Change to Delete From Section IX of the Exchange's Options Fee Schedule the PHOTO Historical Data Product
Comments due: June 19, 2014
See also: Notice: Rel. No. 34-72473
|
SR-Phlx-2014-32 |
34-72152 |
May 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Limitation on Entering Electronic Limit Orders From Off the Floor of the Exchange
Comments due: June 6, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-31 |
34-72136 |
May 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Rebates
Comments due: June 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-33 |
34-72135 |
May 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 2014
Comments due: June 5, 2014
Comments received are available for this proposal.
|
SR-Phlx-2014-23 |
34-72119 |
May 7, 2014 |
Notice of Filing of Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation and Solicited Orders in Open Outcry Trading
Comments due: June 3, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73291, Notice: Rel. No. 34-72751, Notice: Rel. No. 34-72447
Comments received are available for this proposal.
|
SR-Phlx-2014-26 |
34-72103 |
May 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: June 2, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-29 |
34-72095 |
May 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Pricing
Comments due: May 30, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-28 |
34-72094 |
May 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to JBO Orders
Comments due: May 30, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-Phlx-2014-30 |
34-72070 |
May 1, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Quarterly Options Series Program
Comments due: May 28, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-27 |
34-72055 |
Apr. 30, 2014 |
Notice of Filing of Proposed Rule Change to Add New Paragraphs (h) and (i) to Rule 3312, entitled "Clearly Erroneous Transactions" 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on April 17, 2014, NASDAQ OMX PHLX LLC ("Phlx" or "Exchange"), filed with the Securities and Exchange Commission ("Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434
|
SR-Phlx-2014-25 |
34-72027 |
Apr. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 1064 and 1080
Comments due: May 22, 2014
|
SR-Phlx-2014-22 |
34-71985 |
Apr. 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations
Comments due: May 19, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-20 |
34-71906 |
Apr. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions
Comments due: May 5, 2014
|
SR-Phlx-2014-21 |
34-71901 |
Apr. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2013-113 |
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
See also: Order: Rel. No. 34-72633; Suspension of and Order: Rel. No. 34-70940; Notice: Rel. No. 34-70866
|
First Quarter |
SR-Phlx-2014-19 |
34-71822 |
Mar. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: April 23, 2014
|
SR-Phlx-2014-18 |
34-71783 |
Mar. 24, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-16 |
34-71731 |
Mar. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction
Comments due: April 14, 2014
|
SR-Phlx-2014-14 |
34-71716 |
Mar. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options
Comments due: April 9, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-13 |
34-71674 |
Mar. 10, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-15 |
34-71673 |
Mar. 10, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity
Comments due: April 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-12 |
34-71569 |
Feb. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-10 |
34-71559 |
Feb. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014
|
SR-Phlx-2014-011 |
34-71535 |
Feb. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ OMX PSX's Optional Anti-Internalization Functionality
Comments due: March 12, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-08 |
34-71529 |
Feb. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Monthly Strategy Cap
Comments due: March 12, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-09 |
34-71520 |
Feb. 11, 2014 |
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: March 11, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-06 |
34-71491 |
Feb. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options
Comments due: March 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-07 |
34-71470 |
Feb. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Process
Comments due: March 3, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-04 |
34-71417 |
Jan. 28, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: February 24, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-05 |
34-71416 |
Jan. 28, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: Comments due: February 24, 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
See also:
Notice: Rel. No. 34-71010
|
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-2014-03 |
34-71257 |
Jan. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
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-2014-01 |
34-71236 |
Jan. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that an Extranet Access Fee is Not Charged
Comments due: January 31, 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
|
Phlx File Number List for 2014 |
Release No. |
Date |
Details |
SR-Phlx-2014-83 |
34-74000 |
Jan. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees
Comments due: February 2, 2015
Additional Materials: Exhibit 5
|
SR-Phlx-2014-81 |
34-73988 |
Jan. 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extranet Access Fee
Comments due: January 30, 2015
Additional Materials: Exhibit 5
|
SR-Phlx-2014-80 |
34-73927 |
Dec. 23, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Fee Caps
Comments due: January 21, 2015
Additional Materials: Exhibit 5
|
SR-Phlx-2014-79 |
34-74003 |
Jan. 6, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Rule Governing Modification of Orders on its NASDAQ OMX PSX Facility ("PSX") in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: February 2, 2015
Additional Materials: Exhibit 5
|
SR-Phlx-2014-77 |
34-73688 |
Nov. 25, 2014 |
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: December 23, 2014
|
SR-Phlx-2014-76 |
34-73719 |
Dec. 2, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Anti-Internalization Functionality for Registered Market Makers on the PHLX Options Market
Comments due: December 29, 2014
|
SR-Phlx-2014-75 |
34-73629 |
Nov. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule
Comments due: December 15, 2014
|
SR-Phlx-2014-74 |
34-73660 |
Nov. 20, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify 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 17, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-73 |
34-73687 |
Nov. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fees
Comments due: December 23, 2014
|
SR-Phlx-2014-72 |
34-73580 |
Nov. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL Executions in SPY and PIXL Pricing
Comments due: December 9, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-71 |
34-73586 |
Nov. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation of the New Options Floor Broker Management System until November 3, 2015
Comments due: December 10, 2014
|
SR-Phlx-2014-70 |
34-73535 |
Nov. 5, 2014 |
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 and the Excess Order Fee
Comments due: December 3, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-69 |
34-73474 |
Oct. 30, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: November 26, 2014
Comments received are available for this proposal.
|
SR-Phlx-2014-68 |
34-73548 |
Nov. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 4, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-67 |
34-73546 |
Nov. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Two Typographical Errors in Rule 3315
Comments due: December 4, 2014
|
SR-Phlx-2014-66 |
34-75300 |
Jun. 25, 2015 |
Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
|
34-74746 |
Apr. 16, 2015 |
Notice of Filing of Amendment No. 2 and Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2, to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: May 7, 2015
Additional Materials: Exhibit 5
|
34-74167 |
Jan. 28, 2015 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: February 24, 2015
Rebuttal comments due: March 10, 2015
See also: Notice: Rel. No. 34-73791, Notice: Rel. No. 34-73441
Comments received are available for this proposal.
|
34-73791 |
Dec. 8, 2014 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: 21 days after publication in the Federal Register
|
34-73441 |
Oct. 27, 2014 |
Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism
Comments due: November 21, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-65 |
34-73311 |
Oct. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 705 (Fidelity Bonds)
Comments due: November 4, 2014
|
SR-Phlx-2014-64 |
34-73330 |
Oct. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Floor Procedure Advice F-27, Options Exchange Official Rulings
Comments due: November 6, 2014
|
SR-Phlx-2014-63 |
34-73286 |
Oct. 2, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 60
Comments due: October 29, 2014
|
SR-Phlx-2014-61 |
34-73516 |
Nov. 5, 2014 |
Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, In
Additional File Nos.: SR-BSECC-2014-001, SR-BX-2014-045, SR-NASDAQ-2014-093, SR-SCCP-2014-01
|
34-73194 |
Sep. 23, 2014 |
Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: October 20, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-60 |
34-73126 |
Sep. 17, 2014 |
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: October 14, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-59 |
34-73246 |
Sep. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Period of the New Options Floor Broker Management System until November 3, 2014
Comments due: October 24, 2014
Comments received are available for this proposal.
|
SR-Phlx-2014-57 |
34-72968 |
Sep. 3, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014
|
SR-Phlx-2014-56 |
34-72969 |
Sep. 3, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Information Related to Aggregation of Activity of Affiliates
Comments due: September 30, 2014
|
SR-Phlx-2014-54 |
34-73545 |
Nov. 6, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Add a New Complex Order Process Called Legging Orders
Comments due: December 4, 2014
|
34-73152 |
Sep. 19, 2014 |
Notice of Filing of Proposed Rule Change to Add a New Complex Order Process Called Legging Orders
Comments due: October 16, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-Phlx-2014-53 |
34-72786 |
Aug. 7, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: September 3, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-52 |
34-72807 |
Aug. 11, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: September 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-51 |
34-72806 |
Aug. 11, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: September 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-50 |
34-72796 |
Aug. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Simple Order Fees for Removing Liquidity in SPY Options
Comments due: September 4, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-49 |
34-72713 |
Jul. 29, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions
Comments due: August 26, 2014
Comments received are available for this proposal.
|
SR-Phlx-2014-48 |
34-72619 |
Jul. 16, 2014 |
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, 2014
|
SR-Phlx-2014-47 |
34-72630 |
Jul. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section I and Section II of the Pricing Schedule
Comments due: August 12, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-Phlx-2014-46 |
34-72949 |
Aug. 29, 2014 |
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
|
34-72664 |
Jul. 24, 2014 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
Comments due: August 20, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-Phlx-2014-45 |
34-72784 |
Aug. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Fees
Comments due: September 3, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-44 |
34-72605 |
Jul. 14, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of a Recent Proposal Relating to Joint Back Office Participants
Comments due: August 8, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-43 |
34-72572 |
Jul. 9, 2014 |
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: August 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-41 |
34-72504 |
Jul. 1, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Comments due: July 29, 2014
|
SR-Phlx-2014-40 |
34-72546 |
Jul. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Midpoint Peg Post-Only Order and Modify the Minimum Quantity Order on NASDAQ OMX PSX
Comments due: August 1, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-39 |
34-72351 |
Jun. 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 1080.08
Comments due: July 7, 2014
|
SR-Phlx-2014-38 |
34-72395 |
Jun. 16, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Multiply Listed Options
Comments due: July 11, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-37 |
34-72245 |
May 23, 2014 |
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: June 20, 2014
|
SR-Phlx-2014-36 |
34-72251 |
May 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 23, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-35 |
34-72229 |
May 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Accounts
Comments due: June 19, 2014
|
SR-Phlx-2014-34 |
34-72473 |
Jun. 25, 2014 |
Notice of Withdrawal of Proposed Rule Change to Delete the PHOTO Historical Data Product from Section IX of the Exchange's Options Fee Schedule
|
34-72225 |
May 22, 2014 |
Notice of Filing of Proposed Rule Change to Delete From Section IX of the Exchange's Options Fee Schedule the PHOTO Historical Data Product
Comments due: June 19, 2014
|
SR-Phlx-2014-33 |
34-72135 |
May 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 2014
Comments due: June 5, 2014
Comments received are available for this proposal.
|
SR-Phlx-2014-32 |
34-72152 |
May 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Limitation on Entering Electronic Limit Orders From Off the Floor of the Exchange
Comments due: June 6, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-31 |
34-72136 |
May 9, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Rebates
Comments due: June 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-30 |
34-72070 |
May 1, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Quarterly Options Series Program
Comments due: May 28, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-29 |
34-72095 |
May 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Pricing
Comments due: May 30, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-28 |
34-72094 |
May 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to JBO Orders
Comments due: May 30, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-Phlx-2014-27 |
34-72434 |
Jun. 19, 2014 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48, SR-NYSEMKT-2014-37
|
34-72055 |
Apr. 30, 2014 |
Notice of Filing of Proposed Rule Change to Add New Paragraphs (h) and (i) to Rule 3312, entitled "Clearly Erroneous Transactions" 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on April 17, 2014, NASDAQ OMX PHLX LLC ("Phlx" or "Exchange"), filed with the Securities and Exchange Commission ("Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-26 |
34-72103 |
May 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: June 2, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-25 |
34-72027 |
Apr. 25, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 1064 and 1080
Comments due: May 22, 2014
|
SR-Phlx-2014-24 |
34-72603 |
Jul. 14, 2014 |
Order Approving a Proposed Rule Change and Amendment No. 1 Thereto to Modify the Order Execution Algorithm of NASDAQ OMX PSX
|
34-72250 |
May 23, 2014 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Order Execution Algorithm of NASDAQ OMX PSX
Comments due: June 20, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-23 |
34-73291 |
Oct. 2, 2014 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
See also: Order: Rel. No. 34-73291, Notice: Rel. No. 34-72751, Notice: Rel. No. 34-72447, Notice: Rel. No. 34-72119
|
34-72751 |
Aug. 4, 2014 |
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
Comments due: August 29, 2014
Rebuttal comments due: September 12, 2014
Comments received are available for this proposal.
|
34-72447 |
Jun. 23, 2014 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading
|
34-72119 |
May 7, 2014 |
Notice of Filing of Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation and Solicited Orders in Open Outcry Trading
Comments due: June 3, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-Phlx-2014-22 |
34-71985 |
Apr. 22, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations
Comments due: May 19, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-21 |
34-71901 |
Apr. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5
|
SR-Phlx-2014-20 |
34-71906 |
Apr. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions
Comments due: May 5, 2014
|
SR-Phlx-2014-19 |
34-71822 |
Mar. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
Comments due: April 23, 2014
|
SR-Phlx-2014-18 |
34-71783 |
Mar. 24, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-16 |
34-71731 |
Mar. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction
Comments due: April 14, 2014
|
SR-Phlx-2014-15 |
34-71673 |
Mar. 10, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity
Comments due: April 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-14 |
34-71716 |
Mar. 13, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options
Comments due: April 9, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-13 |
34-71674 |
Mar. 10, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-12 |
34-71569 |
Feb. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-011 |
34-71535 |
Feb. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ OMX PSX's Optional Anti-Internalization Functionality
Comments due: March 12, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-10 |
34-71559 |
Feb. 18, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014
|
SR-Phlx-2014-09 |
34-71520 |
Feb. 11, 2014 |
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: March 11, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-08 |
34-71529 |
Feb. 12, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Monthly Strategy Cap
Comments due: March 12, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-07 |
34-71470 |
Feb. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Process
Comments due: March 3, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-06 |
34-71491 |
Feb. 5, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options
Comments due: March 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-05 |
34-71416 |
Jan. 28, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: February 24, 2014
|
SR-Phlx-2014-04 |
34-71417 |
Jan. 28, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: Comments due: February 24, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-03 |
34-71257 |
Jan. 8, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Comments due: February 4, 2014
Additional Materials:
Exhibit 5
|
SR-Phlx-2014-01 |
34-71236 |
Jan. 6, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that an Extranet Access Fee is Not Charged
Comments due: January 31, 2014
|
http://www.sec.gov/rules/sro/phlx/phlxarchive/phlxarchive2014.shtml
|