Nasdaq PHLX LLC (Phlx) Rulemaking Archive: 2017
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Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Nasdaq PHLX LLC File Number List for 2017
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Chronological List for 2017
Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
SR-Phlx-2017-104 | ||
34-82370 | Dec. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 17, 2018 Comments received are available for this proposal. |
SR-Phlx-2017-103 | ||
34-82363 | Dec. 19, 2017 | Notice of Filing of Proposed Rule Change to Amend Rule 1000 and Commentary .11 to Rule 1012
Comments due: January 16, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-79 | ||
34-82341 | Dec. 15, 2017 | Notice of Filing of Amendment No.2, Order Approving a Proposed Rule Change, as Modified by Amendment No.1 and Granting Accelerated Approval of Amendment No. 2, of a Proposed Rule Change to Establish a Nonstandard Expirations Pilot Program
Comments due: January 11, 2018 |
SR-Phlx-2017-101 | ||
34-82322 | Dec. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Obligations
Comments due: January 10, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-100 | ||
34-82314 | Dec. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VIII of the Phlx Pricing Schedule to Waive Port Fees for New PSX Participants for a Limited Time
Comments due: January 9, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-037 | ||
34-82288 | Dec. 11, 2017 | Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11
Comments due: January 4, 2018 Additional Materials: Exhibit 4, Exhibit 5, Appendix Comments received are available for this proposal. |
SR-Phlx-2017-102 | ||
34-82250 | Dec. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude Options Overlying NDX from Several Pricing Programs
Comments due: January 4, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-99 | ||
34-82245 | Dec. 8, 2017 | Notice of Filing of Proposed Rule Change to Amend the Exchange Rules to Make Permanent a Program that Allows Transactions to Take Place in Open Outcry Trading at Prices of at Least $0 But Less Than $1 per Option Contract ("sub-dollar cabinet trades")
Comments due: December 29, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-82445 |
SR-Phlx-2017-95 | ||
34-82219 | Dec. 5, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304
Comments due: January 2, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-97 | ||
34-82169 | Nov. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the Phlx Rulebook
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-96 | ||
34-82170 | Nov. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a)(i)(D) of Rule 1012, Series of Options Open for Trading
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-75 | ||
34-82147 | Nov. 22, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security
See also: Notice: Rel. No. 34-81814 |
SR-Phlx-2017-92 | ||
34-82143 | Nov. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Investigatory and Disciplinary Processes Substantially Similar to Nasdaq BX, Inc. and The Nasdaq Stock Market LLC
Comments due: December 20, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-43 | ||
34-82135 | Nov. 21, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-81499, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80811 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
SR-Phlx-2017-74 | ||
34-82085 | Nov. 15, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Introduce the Intellicator Analytic Tool
See also: Notice: Rel. No. 34-82425, Notice: Rel. No. 34-81754 |
SR-Phlx-2017-90 | ||
34-82074 | Nov. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VIII of the Nasdaq PHLX LLC Pricing Schedule
Comments due: December 11, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-37 | ||
34-82049 | Nov. 9, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-80725, Order: Rel. No. 34-81067 Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20 |
SR-Phlx-2017-87 | ||
34-82045 | Nov. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1059, Accommodation Transactions
Comments due: December 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-89 | ||
34-82035 | Nov. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Index Options Rules to Be More Clear and Conformed More Closely to Those of the Options Clearing Corporation ("OCC") and Other Exchanges
Comments due: December 6, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-84 | ||
34-82032 | Nov. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee
Comments due: December 6, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-91 | ||
34-82019 | Nov. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing Schedule Section II, Entitled Multiply Listed Options Fees
Comments due: December 4, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-93 | ||
34-82012 | Nov. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1080(p)(2) to Enhance Anti-Internalization Functionality
Comments due: November 30, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-88 | ||
34-82008 | Nov. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section IV, entitled "Other Transaction Fees"
Comments due: November 30, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-55 | ||
34-82005 | Nov. 2, 2017 | Order Approving Proposed Rule Changes to Amend Rules 1024, Conduct of Accounts for Options Trading, and 1025, Supervision of Accounts
See also: Notice: Rel. No. 34-81642 |
SR-Phlx-2017-85 | ||
34-81999 | Nov. 2, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Price Improvement XL Auction
Comments due: November 29, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-34 | ||
34-81980 | Oct. 30, 2017 | 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 an Exception to Phlx Rule 1000(f)(iii) for certain Floor Broker Transactions and add the Snapshot Functionality to the Options Floor Broker Management System
Comments due: November 24, 2017 See also: Notice: Rel. No. 34-81567, Notice: Rel. No. 34-81230 |
SR-Phlx-2017-79 | ||
34-81975 | Oct. 27, 2017 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Nonstandard Expirations Pilot Program on a Pilot Basis, for an Initial Period of Twelve Months from the Date of Approval of this Proposed Rule Change
Comments due: November 24, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-82341 Comments received are available for this proposal. |
SR-Phlx-2017-83 | ||
34-81938 | Oct. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change
Comments due: November 20, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-78 | ||
34-81860 | Oct. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decrease the Qualification Criteria of a Credit Tier and Make Related Changes
Comments due: November 8, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-67 | ||
34-81826 | Oct. 5, 2017 | Order Approving a Proposed Rule Change Relating to Quarterly Trading Requirements
See also: Notice: Rel. No. 34-81409 |
SR-Phlx-2017-75 | ||
34-81814 | Oct. 4, 2017 | Notice of Filing of Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security
Comments due: November 1, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-82147 Comments received are available for this proposal. |
Third Quarter | ||
SR-Phlx-2017-74 | ||
34-81754 | Sep. 28, 2017 | Notice of Filing of Proposed Rule Change to Introduce the Intellicator Analytic Tool
Comments due: October 25, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-82425, Notice: Rel. No. 34-82085 Comments received are available for this proposal. |
SR-Phlx-2017-55 | ||
34-81642 | Sep. 18, 2017 | Notice of Filing of Proposed Rule Change to amend certain sections of Rules 1024, Conduct of Accounts for Options Trading, and of 1025, Supervision of Accounts, to conform them more closely to comparable rules of the Chicago Board Options Exchange ("CBOE") and to make minor clarifications and corrections to the text
Comments due: October 13, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-82005 |
SR-Phlx-2017-56 | ||
34-81630 | Sep. 15, 2017 | Order Approving Proposed Rule Change to a proposal to amend Rule 1027, Discretionary Accounts, to conform it more closely to a comparable rule of the Chicago Board Options Exchange ("CBOE") and to make minor corrections and clarifications
See also: Notice: Rel. No. 34-81270 |
SR-Phlx-2017-72 | ||
34-81583 | Sep. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Missing Letter to Section IV, Part D of the Pricing Schedule
Comments due: October 10, 2017 |
SR-Phlx-2017-34 | ||
34-81567 | Sep. 11, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and Adopt Rule 1063(e)(v) to Add the Snapshot Functionality to the Options Floor Broker Management System
See also: Notice: Rel. No. 34-81230, Notice: Rel. No. 34-81980 |
SR-Phlx-2017-43 | ||
34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80811 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 Comments received are available for this proposal. |
SR-Phlx-2017-47 | ||
34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80967 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
SR-Phlx-2017-71 | ||
34-81501 | Aug. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 431, 432, and 835 to Conform them to Securities Exchange Act Rule 15c6-1(a), which Shortens the Settlement Cycle to Two Dates after the Trade Date, and to Interpret the Amended Rules to Exclude September 5, 2017 as the First Ex-Dividend Date Thereunder
Comments due: September 27, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-69 | ||
34-81433 | Aug. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening
Comments due: September 14, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-67 | ||
34-81409 | Aug. 16, 2017 | Notice of Filing of Proposed Rule Change Related to the Floor Requirements
Comments due: September 12, 2017 See also: Order: Rel. No. 34-81826 |
SR-Phlx-2017-68 | ||
34-81401 | Aug. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 925 to Create a Limited Exception to the Exchange's Procedures to Designate an Inactive Nominee as an Effective Permit Holder Intra-Day and Make a Non-Substantive Change to the Pricing Schedule
Comments due: September 11, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-65 | ||
34-81382 | Aug. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Clarify When Nasdaq PSX Will Utilize the Secondary Source of Data Pursuant to Rule 3304
Comments due: September 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-64 | ||
34-81370 | Aug. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: September 6, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-63 | ||
34-81374 | Aug. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section A of its Pricing Schedule Relating to the Exchange's Monthly Permit Fees for PSX Only Members
Comments due: September 6, 2017 Additional Materials: Exhibit 3, Exhibit 5 |
SR-Phlx-2017-61 | ||
34-81362 | Aug. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-66 | ||
34-81352 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-54 | ||
34-81343 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule with Respect to the Options Regulatory Fee
Comments due: September 5, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-04 | ||
34-81293 | Aug. 2, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
See also: Notice: Rel. No. 34-80581, Notice: Rel. No. 34-80241, Notice: Rel. No. 34-79894 |
SR-Phlx-2017-56 | ||
34-81270 | Jul. 31, 2017 | Notice of Filing of Proposed Rule Change to a Proposal to Amend Rule 1027, Discretionary Accounts, to Conform it More Closely to a Comparable Rule of the Chicago Board Options Exchange (“CBOE”) and to Make Minor Corrections and Clarifications
Comments due: August, 25, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81630 |
SR-Phlx-2017-57 | ||
34-81246 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012
Comments due: August 23, 2017 |
SR-Phlx-2017-34 | ||
34-81230 | Jul. 27, 2017 | Notice of Filing of Proposed Rule Change to Add Functionality to the Options Floor Broker Management System
Comments due: August 22, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-81567, Notice: Rel. No. 34-81980 Comments received are available for this proposal. |
SR-Phlx-2017-47 | ||
34-81162 | Jul. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 996A
See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-80967 |
SR-Phlx-2017-43 | ||
34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-80811, Notice: Rel. No. 34-81499 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
SR-Phlx-2017-53 | ||
34-81117 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Phlx Pricing Schedule, Section IX
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-48 | ||
34-81116 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-52 | ||
34-81091 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017 Additional Materials: Exhibit 3, Exhibit 5 |
Second Quarter | ||
SR-Phlx-2017-37 | ||
34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 See also: Notice: Rel. No. 34-80725, Notice: Rel. No. 34-82049 Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 Comments received are available for this proposal. |
SR-Phlx-2017-49 | ||
34-81069 | Jun. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delivery of Options Disclosure Documents and Special Statement for Uncovered Options Writers
Comments due: July 28, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-47 | ||
34-80967 | Jun. 19, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 996A
Comments due: July 14, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-81162 Comments received are available for this proposal. |
SR-Phlx-2017-39 | ||
34-80972 | Jun. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1049, Communications to Customers
Comments due: July 14, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-44 | ||
34-80938 | Jun. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exchange's Transaction Fees at Section VIII
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-40 | ||
34-80820 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Openings in Options Rule
Comments due: June 27, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-43 | ||
34-80811 | May 30, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499 Comments received are available for this proposal. |
SR-Phlx-2017-41 | ||
34-80769 | May 25, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012
Comments due: June 22, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-36 | ||
34-80755 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: June 21, 2017 |
SR-Phlx-2017-37 | ||
34-80725 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section XIV
Comments due: June 14, 2017 Additional Materials: Exhibit 3, Exhibit 5 See also: Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049 Comments received are available for this proposal. |
SR-Phlx-2017-33 | ||
34-80660 | May 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3317 to Modify the Date of Appendix B Website Data Publication Comments due: June 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-04 | ||
34-80581 | May 3, 2017 | 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, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
Comments due: May 30, 2017 Rebuttal comments due: June 13, 2017 See also: Order: Rel. No. 34-81293, Notice: Rel. No. 34-80241, Notice: Rel. No. 34-79894 |
SR-Phlx-2017-32 | ||
34-80504 | Apr. 21, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1002 of the Exchange's Rules to Establish Certain Exemptions from Exercise Limits
Comments due: May 18, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-31 | ||
34-80483 | Apr. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Section VIII
Comments due: May 16, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-30 | ||
34-80474 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-29 | ||
34-80466 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates and Pricing for Multiply Listed Options
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-27 | ||
34-80431 | Apr. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors
Comments due: May 8, 2017 Additional Materials: Exhibit 5 |
First Quarter | ||
SR-Phlx-2017-25 | ||
34-80305 | Mar. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section VII(A)
Comments due: April 20, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-07 | ||
34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules See also: Notice: Rel. No. 34-79945 Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
SR-Phlx-2017-24 | ||
34-80244 | Mar. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing for NDX and MNX
Comments due: April 10, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-23 | ||
34-80243 | Mar. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Address of the Exchange and its Shareholder
Comments due: April 10, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-04 | ||
34-80241 | Mar. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
See also: Order: Rel. No. 34-81293, Notice: Rel. No. 34-80581, Notice: Rel. No. 34-79894 |
SR-Phlx-2017-22 | ||
34-80226 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 3317
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-18 | ||
34-80162 | Mar. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 31, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-19 | ||
34-80119 | Feb. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Qualified Contingent Cross Orders
Comments due: March 27, 2017 |
SR-Phlx-2017-16 | ||
34-80109 | Feb. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2016-105 | ||
34-80074 | Feb. 21, 2017 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as modified by Amendment No. 1, to Amend Rules 501, 507, 508, 510, and 511 of the Exchange
Comments due: March 20, 2017 |
SR-Phlx-2017-15 | ||
34-80064 | Feb. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend PIXL pricing
Comments due: March 17, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-09 | ||
34-80008 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections I and II of the Pricing Schedule
Comments due: March 9, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-13 | ||
34-80007 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy
Comments due: March 9, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2016-120 | ||
34-79996 | Feb. 9, 2017 | Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1s, To Accept Orders Routed Inbound from the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC
See also: Notice: Rel. No. 34-79662, Notice: Rel. No. 34-79661, Notice: Rel. No. 34-79660 |
SR-Phlx-2017-07 | ||
34-79945 | Feb. 2, 2017 | Notice of Filing of Proposed Rule Change to Adopt the Rule 900A Series
Comments due: March 1, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80256 Comments received are available for this proposal. |
SR-Phlx-2017-05 | ||
34-79905 | Jan. 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error
Comments due: February 27, 2017 |
SR-Phlx-2017-04 | ||
34-79894 | Jan. 30, 2017 | Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
Comments due: February 24, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81293, Notice: Rel. No. 34-80581, Notice: Rel. No. 34-79894 Comments received are available for this proposal. |
SR-Phlx-2016-119 | ||
34-79835 | Jan. 18, 2017 | Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and to Make Pilot Program Permanent
See also: Notice: Rel. No. 34-79584 |
SR-Phlx-2016-82 | ||
34-79805 | Jan. 17, 2017 | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. , to Adopt a New Exception in Phlx Rule 1000(f) for Sub-MPV Split-Price Orders
Comments due: February 14, 2017 See also: Notice: Rel. No. 34-79345, Notice: Rel. No. 34-79023, Notice: Rel. No. 34-78593 |
SR-Phlx-2017-01 | ||
34-79782 | Jan. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program
Comments due: February 9, 2017 |
SR-Phlx-2017-02 | ||
34-79751 | Jan. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Regulatory Fee
Comments due: February 2, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2016-105 | ||
34-79724 | Jan. 3, 2017 | Notice of Filing of Proposed Rule Change to Amend Rules 501, 507, 508, 510, and 511
Comments due: January 30, 2017 Additional Materials: Exhibit 5 See also: Notice/Order: Rel. No. 34-80074 Comments received are available for this proposal. |
Nasdaq PHLX LLC File Number List for 2017
Release No. | Date | Details |
---|---|---|
SR-Phlx-2017-108 | ||
34-82442 | Jan. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: January 30, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-104 | ||
34-82370 | Dec. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 17, 2018 Comments received are available for this proposal. |
SR-Phlx-2017-103 | ||
34-82611 | Feb. 1, 2018 | Order Approving a Proposed Rule Change to Expand the Short Term Option Series Program to Allow Monday Expirations for SPY Options |
34-82363 | Dec. 19, 2017 | Notice of Filing of Proposed Rule Change to Amend Rule 1000 and Commentary .11 to Rule 1012
Comments due: January 16, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-102 | ||
34-82250 | Dec. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude Options Overlying NDX from Several Pricing Programs
Comments due: January 4, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-101 | ||
34-82322 | Dec. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Obligations
Comments due: January 10, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-100 | ||
34-82314 | Dec. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VIII of the Phlx Pricing Schedule to Waive Port Fees for New PSX Participants for a Limited Time
Comments due: January 9, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-99 | ||
34-82445 | Jan. 5, 2018 | Order Granting Accelerated Approval of a Proposed Rule Change to Amend Rule 1059 to Make Permanent a Program that Allows Cabinet Trade Transactions to Take Place at a Price Below $1 Per Option Contract |
34-82245 | Dec. 8, 2017 | Notice of Filing of Proposed Rule Change to Amend the Exchange Rules to Make Permanent a Program that Allows Transactions to Take Place in Open Outcry Trading at Prices of at Least $0 But Less Than $1 per Option Contract ("sub-dollar cabinet trades")
Comments due: December 29, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-97 | ||
34-82169 | Nov. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the Phlx Rulebook
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-96 | ||
34-82170 | Nov. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a)(i)(D) of Rule 1012, Series of Options Open for Trading
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-95 | ||
34-82219 | Dec. 5, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304
Comments due: January 2, 2018 Additional Materials: Exhibit 5 |
SR-Phlx-2017-93 | ||
34-82012 | Nov. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1080(p)(2) to Enhance Anti-Internalization Functionality
Comments due: November 30, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-92 | ||
34-82143 | Nov. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Investigatory and Disciplinary Processes Substantially Similar to Nasdaq BX, Inc. and The Nasdaq Stock Market LLC
Comments due: December 20, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-91 | ||
34-82019 | Nov. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing Schedule Section II, Entitled Multiply Listed Options Fees
Comments due: December 4, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-90 | ||
34-82074 | Nov. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section VIII of the Nasdaq PHLX LLC Pricing Schedule
Comments due: December 11, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-89 | ||
34-82035 | Nov. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Index Options Rules to Be More Clear and Conformed More Closely to Those of the Options Clearing Corporation ("OCC") and Other Exchanges
Comments due: December 6, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-88 | ||
34-82008 | Nov. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section IV, entitled "Other Transaction Fees"
Comments due: November 30, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-87 | ||
34-82045 | Nov. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1059, Accommodation Transactions
Comments due: December 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-85 | ||
34-81999 | Nov. 2, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Price Improvement XL Auction
Comments due: November 29, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-84 | ||
34-82032 | Nov. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee
Comments due: December 6, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-83 | ||
34-81938 | Oct. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change
Comments due: November 20, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-79 | ||
34-82341 | Dec. 15, 2017 | Notice of Filing of Amendment No.2, Order Approving a Proposed Rule Change, as Modified by Amendment No.1 and Granting Accelerated Approval of Amendment No. 2, of a Proposed Rule Change to Establish a Nonstandard Expirations Pilot Program
Comments due: January 11, 2018 |
34-81975 | Oct. 27, 2017 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Nonstandard Expirations Pilot Program on a Pilot Basis, for an Initial Period of Twelve Months from the Date of Approval of this Proposed Rule Change
Comments due: November 24, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-78 | ||
34-81860 | Oct. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decrease the Qualification Criteria of a Credit Tier and Make Related Changes
Comments due: November 8, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-75 | ||
34-82474 | Jan. 9, 2018 | Order Granting Approval of a Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security |
34-82147 | Nov. 22, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security |
34-81814 | Oct. 4, 2017 | Notice of Filing of Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security
Comments due: November 1, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-74 | ||
34-82425 | Jan. 2, 2018 | Notice of Withdrawal of a Proposed Rule Change to Introduce the Intellicator Analytic Tool |
34-82085 | Nov. 15, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Introduce the Intellicator Analytic Tool |
34-81754 | Sep. 28, 2017 | Notice of Filing of Proposed Rule Change to Introduce the Intellicator Analytic Tool
Comments due: October 25, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-72 | ||
34-81583 | Sep. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Missing Letter to Section IV, Part D of the Pricing Schedule
Comments due: October 10, 2017 |
SR-Phlx-2017-71 | ||
34-81501 | Aug. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 431, 432, and 835 to Conform them to Securities Exchange Act Rule 15c6-1(a), which Shortens the Settlement Cycle to Two Dates after the Trade Date, and to Interpret the Amended Rules to Exclude September 5, 2017 as the First Ex-Dividend Date Thereunder
Comments due: September 27, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-69 | ||
34-81433 | Aug. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening
Comments due: September 14, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-68 | ||
34-81401 | Aug. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 925 to Create a Limited Exception to the Exchange's Procedures to Designate an Inactive Nominee as an Effective Permit Holder Intra-Day and Make a Non-Substantive Change to the Pricing Schedule
Comments due: September 11, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-67 | ||
34-81826 | Oct. 5, 2017 | Order Approving a Proposed Rule Change Relating to Quarterly Trading Requirements |
34-81409 | Aug. 16, 2017 | Notice of Filing of Proposed Rule Change Related to the Floor Requirements
Comments due: September 12, 2017 |
SR-Phlx-2017-66 | ||
34-81352 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-65 | ||
34-81382 | Aug. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Clarify When Nasdaq PSX Will Utilize the Secondary Source of Data Pursuant to Rule 3304
Comments due: September 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-64 | ||
34-81370 | Aug. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: September 6, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-63 | ||
34-81374 | Aug. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section A of its Pricing Schedule Relating to the Exchange's Monthly Permit Fees for PSX Only Members
Comments due: September 6, 2017 Additional Materials: Exhibit 3, Exhibit 5 |
SR-Phlx-2017-61 | ||
34-81362 | Aug. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-57 | ||
34-81246 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012
Comments due: August 23, 2017 |
SR-Phlx-2017-56 | ||
34-81630 | Sep. 15, 2017 | Order Approving Proposed Rule Change to a proposal to amend Rule 1027, Discretionary Accounts, to conform it more closely to a comparable rule of the Chicago Board Options Exchange ("CBOE") and to make minor corrections and clarifications |
34-81270 | Jul. 31, 2017 | Notice of Filing of Proposed Rule Change to a Proposal to Amend Rule 1027, Discretionary Accounts, to Conform it More Closely to a Comparable Rule of the Chicago Board Options Exchange (“CBOE”) and to Make Minor Corrections and Clarifications
Comments due: August, 25, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-55 | ||
34-82005 | Nov. 2, 2017 | Order Approving Proposed Rule Changes to Amend Rules 1024, Conduct of Accounts for Options Trading, and 1025, Supervision of Accounts |
34-81642 | Sep. 18, 2017 | Notice of Filing of Proposed Rule Change to amend certain sections of Rules 1024, Conduct of Accounts for Options Trading, and of 1025, Supervision of Accounts, to conform them more closely to comparable rules of the Chicago Board Options Exchange ("CBOE") and to make minor clarifications and corrections to the text
Comments due: October 13, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-54 | ||
34-81343 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule with Respect to the Options Regulatory Fee
Comments due: September 5, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-53 | ||
34-81117 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Phlx Pricing Schedule, Section IX
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-52 | ||
34-81091 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017 Additional Materials: Exhibit 3, Exhibit 5 |
SR-Phlx-2017-49 | ||
34-81069 | Jun. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delivery of Options Disclosure Documents and Special Statement for Uncovered Options Writers
Comments due: July 28, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-48 | ||
34-81116 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-47 | ||
34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80967 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
34-81162 | Jul. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 996A |
34-80967 | Jun. 19, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 996A
Comments due: July 14, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-44 | ||
34-80938 | Jun. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exchange's Transaction Fees at Section VIII
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-43 | ||
34-82524 | Jan. 17, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
34-82135 | Nov. 21, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 Comments received are available for this proposal. |
34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT Additional File Nos.:SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
34-80811 | May 30, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-41 | ||
34-80769 | May 25, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1012
Comments due: June 22, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-40 | ||
34-80820 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Openings in Options Rule
Comments due: June 27, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-39 | ||
34-80972 | Jun. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1049, Communications to Customers
Comments due: July 14, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-37 | ||
34-82503 | Jan. 16, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20 |
34-82288 | Dec. 11, 2017 | Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11
Comments due: January 4, 2018 Additional Materials: Exhibit 4, Exhibit 5, Appendix Comments received are available for this proposal. |
34-82049 | Nov. 9, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20 |
34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 Comments received are available for this proposal. |
34-80725 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section XIV
Comments due: June 14, 2017 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-36 | ||
34-80755 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: June 21, 2017 |
SR-Phlx-2017-34 | ||
34-81980 | Oct. 30, 2017 | 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 an Exception to Phlx Rule 1000(f)(iii) for certain Floor Broker Transactions and add the Snapshot Functionality to the Options Floor Broker Management System
Comments due: November 24, 2017 |
34-81567 | Sep. 11, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and Adopt Rule 1063(e)(v) to Add the Snapshot Functionality to the Options Floor Broker Management System |
34-81230 | Jul. 27, 2017 | Notice of Filing of Proposed Rule Change to Add Functionality to the Options Floor Broker Management System
Comments due: August 22, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-33 | ||
34-80660 | May 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3317 to Modify the Date of Appendix B Website Data Publication Comments due: June 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-32 | ||
34-80504 | Apr. 21, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1002 of the Exchange's Rules to Establish Certain Exemptions from Exercise Limits
Comments due: May 18, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-31 | ||
34-80483 | Apr. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Section VIII
Comments due: May 16, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-30 | ||
34-80474 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-29 | ||
34-80466 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates and Pricing for Multiply Listed Options
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-27 | ||
34-80431 | Apr. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors
Comments due: May 8, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-25 | ||
34-80305 | Mar. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Section VII(A)
Comments due: April 20, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-24 | ||
34-80244 | Mar. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Pricing for NDX and MNX
Comments due: April 10, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-23 | ||
34-80243 | Mar. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Address of the Exchange and its Shareholder
Comments due: April 10, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-22 | ||
34-80226 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 3317
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-19 | ||
34-80119 | Feb. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Qualified Contingent Cross Orders
Comments due: March 27, 2017 |
SR-Phlx-2017-18 | ||
34-80162 | Mar. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 31, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-16 | ||
34-80109 | Feb. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-15 | ||
34-80064 | Feb. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend PIXL pricing
Comments due: March 17, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-13 | ||
34-80007 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy
Comments due: March 9, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-09 | ||
34-80008 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections I and II of the Pricing Schedule
Comments due: March 9, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-07 | ||
34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
34-79945 | Feb. 2, 2017 | Notice of Filing of Proposed Rule Change to Adopt the Rule 900A Series
Comments due: March 1, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-05 | ||
34-79905 | Jan. 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error
Comments due: February 27, 2017 |
SR-Phlx-2017-04 | ||
34-81293 | Aug. 2, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis |
34-80581 | May 3, 2017 | 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, to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
Comments due: May 30, 2017 Rebuttal comments due: June 13, 2017 |
34-80241 | Mar. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis |
34-79894 | Jan. 30, 2017 | Notice of Filing of Proposed Rule Change to Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index® Options on a Pilot Basis
Comments due: February 24, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2017-02 | ||
34-79751 | Jan. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Regulatory Fee
Comments due: February 2, 2017 Additional Materials: Exhibit 5 |
SR-Phlx-2017-01 | ||
34-79782 | Jan. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program
Comments due: February 9, 2017 |