Nasdaq PHLX LLC (Phlx) Rulemaking - 2020
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Chronological List
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Third Quarter |
Second Quarter |
First Quarter
Nasdaq PHLX LLC File Number List for 2020
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Chronological List for 2020
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Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
SR-Phlx-2020-53 | ||
34-90758 | Dec. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize Exchange Rule General 3, Section 16 with Recent Changes by the Financial Industry Regulatory Authority, Inc.
Comments due: January 19, 2021 |
SR-Phlx-2020-41 | ||
34-90573 | Dec. 4, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Options on a Nasdaq-100 Volatility Index
Comments due: January 14, 2021 Rebuttal comments due: January 28, 2021 |
SR-Phlx-2020-51 | ||
34-90558 | Dec. 3, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq PSX Rules 3213, 3301A, and 3301B
Comments due: December 30, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-50 | ||
34-90339 | Nov. 4, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 3
Comments due: December 1, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-48 | ||
34-90256 | Oct. 22, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Nonstandard Expirations Pilot Program
Comments due: November 18, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-41 | ||
34-90226 | Oct. 20, 2020 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Options on a Nasdaq-100® Volatility Index |
SR-Phlx-2020-47 | ||
34-90205 | Oct. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Phlx Rule 3312
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-46 | ||
34-90153 | Oct. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend the pilot related to the market-wide circuit breaker in Rule 3101
Comments due: November 5, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
Third Quarter | ||
SR-Phlx-2020-45 | ||
34-89913 | Sep. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 3
Comments due: October 14, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-44 | ||
34-89870 | Sep. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304
Comments due: October 13, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-42 | ||
34-89782 | Sep. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304
Comments due: October 5, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-41 | ||
34-89725 | Sep. 1, 2020 | Notice of Filing of Proposed Rule Change to List and Trade Options on a Nasdaq-100® Volatility Index
Comments due: September 29, 2020 Additional Materials: Exhibit 5, Exhibit 3-1, Exhibit 3-2 Comments received are available for this proposal. |
SR-Phlx-2020-40 | ||
34-89667 | Aug. 25, 2020 | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations
Comments due: September 21, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-39 | ||
34-89582 | Aug. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)
Comments due: September 11, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-38 | ||
34-89527 | Aug. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Phlx's Business Continuity and Disaster Recovery for its Trading Floor
Comments due: September 8, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-37 | ||
34-89512 | Aug. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3316 and Rule 3215 Commentary
Comments due: September 4, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-36 | ||
34-89341 | Jul. 20, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3
Comments due: August 14, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-33 | ||
34-89256 | Jul. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule to Waive Certain Fees
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
SR-Phlx-2020-35 | ||
34-89247 | Jul. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Filing Requirements for Certain Written Reports Pursuant to Options 10, Section 7
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
Second Quarter | ||
SR-Phlx-2020-32 | ||
34-89168 | Jun. 26, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 3 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
SR-Phlx-2020-31 | ||
34-89164 | Jun. 26, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Implementation Date of the Proposed Rule Change to Amend Exchange Rules 3301A and 3301B
Comments due: 21 days after publication in the Federal Register |
SR-Phlx-2020-30 | ||
34-89153 | Jun. 25, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 9, Section 13 to Increase the Position Limits for Options on Certain Exchange-Traded Funds
Comments due: July 22, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-27 | ||
34-89040 | Jun. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Options 5, Section 4
Comments due: July 7, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-28 | ||
34-89041 | Jun. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Pricing Schedule at Options 7, Section 8, Membership Fees and Options 7, Section 9, Other Member Fees
Comments due: July 7, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-29 | ||
34-88995 | Jun. 2, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Extend the Deadline for Certain Written Supervisory-Related Reports Pursuant to Options 10, Section 7 (Supervision of Accounts)
Comments due: June 29, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-26 | ||
34-88858 | May 12, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 4
Comments due: June 8 , 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-21 | ||
34-88753 | Apr. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Phlx Rules related to Routing, Remote Specialist, and Assistant Lead Market Maker
Comments due: May 22, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-20 | ||
34-88728 | Apr. 22, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rules at Options 3, Section 8, Titled Options Opening Process
Comments due: May 19, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-25 | ||
34-88708 | Apr. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3
Comments due: May 18, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-24 | ||
34-88684 | Apr. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Non-Standard Pilot Program
Comments due: May 14, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-22 | ||
34-88676 | Apr. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5, Titled Transfer of Positions
Comments due: May 14, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-19 | ||
34-88626 | Apr. 13, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule
Comments due: May 8, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-15 | ||
34-88583 | Apr. 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 3301A and 3301B
Comments due: May 4, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-17 | ||
34-88581 | Apr. 7, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 4
Comments due: May 4, 2020 Additional Materials: Exhibit 5 |
First Quarter | ||
SR-Phlx-2020-16 | ||
34-88527 | Mar. 31, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend Certain Filing Requirements
Comments due: April 27, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-12 | ||
34-88525 | Mar. 31, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Certain Trading Floor Fees as Well as Adopt a Trading Floor Credit
Comments due: April 27, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-09 | ||
34-88519 | Mar. 31, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Phlx Series 8000 and 9000 Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC
Comments due: April 27, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2020-13 | ||
34-88503 | Mar. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Phlx Rule 3312
Comments due: April 23, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-14 | ||
34-88473 | Mar. 25, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 8, Openings in Options
Comments due: April 21, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-10 | ||
34-88460 | Mar. 23, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4A, Section 12, Terms of Option Contracts
Comments due: April 16, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-11 | ||
34-88431 | Mar. 19, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 3101(b)
Comments due: April 15, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-07 | ||
34-88390 | Mar. 16, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amendments to Complex Orders
Comments due: April 10, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-08 | ||
34-88374 | Mar. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Phlx Rules to Remove References to Mini Options
Comments due: April 8, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-05 | ||
34-88286 | Feb. 26, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 7 Related to Order Types and Times-in-Force Provisions
Comments due: March 24, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-06 | ||
34-88272 | Feb. 24, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend PSX Rule 3506 (Anti-Money Laundering Compliance Program) and Options 9, Section 21 (Anti-Money Laundering Compliance Program)
Comments due: March 20, 2020 |
SR-Phlx-2020-03 | ||
34-88213 | Feb. 14, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Rules from its Current Rulebook into its New Rulebook Shell
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-02 | ||
34-88036 | Jan. 24, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx's Pricing Schedule
Comments due: February 20, 2020 Additional Materials: Exhibit 5 |
File Number List for 2020
Release No. | Date | Details |
---|---|---|
SR-Phlx-2020-53 | ||
34-90758 | Dec. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize Exchange Rule General 3, Section 16 with Recent Changes by the Financial Industry Regulatory Authority, Inc.
Comments due: January 19, 2021 |
SR-Phlx-2020-51 | ||
34-90558 | Dec. 3, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq PSX Rules 3213, 3301A, and 3301B
Comments due: December 30, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-50 | ||
34-90339 | Nov. 4, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 3
Comments due: December 1, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-48 | ||
34-90256 | Oct. 22, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Nonstandard Expirations Pilot Program
Comments due: November 18, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-47 | ||
34-90205 | Oct. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Phlx Rule 3312
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-46 | ||
34-90153 | Oct. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend the pilot related to the market-wide circuit breaker in Rule 3101
Comments due: November 5, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2020-45 | ||
34-89913 | Sep. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 3
Comments due: October 14, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-44 | ||
34-89870 | Sep. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304
Comments due: October 13, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-42 | ||
34-89782 | Sep. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304
Comments due: October 5, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-41 | ||
34-91781 | May 5, 2021 | Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Options on a Nasdaq-100 Volatility Index
Comments due: June 1, 2021 |
34-91254 | Mar. 4, 2021 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Options on a Nasdaq-100 Volatility Index |
34-90573 | Dec. 4, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Options on a Nasdaq-100 Volatility Index
Comments due: January 14, 2021 Rebuttal comments due: January 28, 2021 |
34-90226 | Oct. 20, 2020 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Options on a Nasdaq-100® Volatility Index |
34-89725 | Sep. 1, 2020 | Notice of Filing of Proposed Rule Change to List and Trade Options on a Nasdaq-100® Volatility Index
Comments due: September 29, 2020 Additional Materials: Exhibit 5 Exhibit 3-1, Exhibit 3-2 Comments received are available for this proposal. |
SR-Phlx-2020-40 | ||
34-89667 | Aug. 25, 2020 | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations
Comments due: September 21, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-39 | ||
34-89582 | Aug. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)
Comments due: September 11, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-38 | ||
34-89527 | Aug. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Phlx's Business Continuity and Disaster Recovery for its Trading Floor
Comments due: September 8, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-37 | ||
34-89512 | Aug. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3316 and Rule 3215 Commentary
Comments due: September 4, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-36 | ||
34-89341 | Jul. 20, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3
Comments due: August 14, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-35 | ||
34-89247 | Jul. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Filing Requirements for Certain Written Reports Pursuant to Options 10, Section 7
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
SR-Phlx-2020-33 | ||
34-89256 | Jul. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule to Waive Certain Fees
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
SR-Phlx-2020-32 | ||
34-89168 | Jun. 26, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 3 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
SR-Phlx-2020-31 | ||
34-89164 | Jun. 26, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Implementation Date of the Proposed Rule Change to Amend Exchange Rules 3301A and 3301B
Comments due: 21 days after publication in the Federal Register |
SR-Phlx-2020-30 | ||
34-89153 | Jun. 25, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 9, Section 13 to Increase the Position Limits for Options on Certain Exchange-Traded Funds
Comments due: July 22, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-29 | ||
34-88995 | Jun. 2, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Extend the Deadline for Certain Written Supervisory-Related Reports Pursuant to Options 10, Section 7 (Supervision of Accounts)
Comments due: June 29, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-28 | ||
34-89041 | Jun. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Pricing Schedule at Options 7, Section 8, Membership Fees and Options 7, Section 9, Other Member Fees
Comments due: July 7, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-27 | ||
34-89040 | Jun. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Options 5, Section 4
Comments due: July 7, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-26 | ||
34-88858 | May 12, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 4
Comments due: June 8, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-25 | ||
34-88708 | Apr. 21, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3
Comments due: May 18, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-24 | ||
34-88684 | Apr. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Non-Standard Pilot Program
Comments due: May 14. 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-22 | ||
34-88676 | Apr. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5, Titled Transfer of Positions
Comments due: May 14, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-21 | ||
34-88753 | Apr. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Phlx Rules related to Routing, Remote Specialist, and Assistant Lead Market Maker
Comments due: May 22, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-20 | ||
34-88728 | Apr. 22, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rules at Options 3, Section 8, Titled Options Opening Process
Comments due: May 19, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-19 | ||
34-88626 | Apr. 13, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule
Comments due: May 8, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-17 | ||
34-88581 | Apr. 7, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 4
Comments due: May 4, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-16 | ||
34-88527 | Mar. 31, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend Certain Filing Requirements
Comments due: April 27, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-15 | ||
34-88583 | Apr. 7, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 3301A and 3301B
Comments due: May 4, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-14 | ||
34-88473 | Mar. 25, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 8, Openings in Options
Comments due: April 21, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-13 | ||
34-88503 | Mar. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Phlx Rule 3312
Comments due: April 23, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-12 | ||
34-88525 | Mar. 31, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Certain Trading Floor Fees as Well as Adopt a Trading Floor Credit
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
SR-Phlx-2020-11 | ||
34-88431 | Mar. 19, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 3101(b)
Comments due: April 15, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-10 | ||
34-88460 | Mar. 23, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4A, Section 12, Terms of Option Contracts
Comments due: April 16, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-09 | ||
34-88519 | Mar. 31, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Phlx Series 8000 and 9000 Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC
Comments due: April 27, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
SR-Phlx-2020-08 | ||
34-88374 | Mar. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Phlx Rules to Remove References to Mini Options
Comments due: April 8, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-07 | ||
34-88390 | Mar. 16, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amendments to Complex Orders
Comments due: April 10, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-06 | ||
34-88272 | Feb. 24, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend PSX Rule 3506 (Anti-Money Laundering Compliance Program) and Options 9, Section 21 (Anti-Money Laundering Compliance Program)
Comments due: March 20, 2020 |
SR-Phlx-2020-05 | ||
34-88286 | Feb. 26, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 7 Related to Order Types and Times-in-Force Provisions
Comments due: March 24, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-03 | ||
34-88213 | Feb. 14, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Rules from its Current Rulebook into its New Rulebook Shell
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
SR-Phlx-2020-02 | ||
34-88036 | Jan. 24, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx's Pricing Schedule
Comments due: February 20, 2020 Additional Materials: Exhibit 5 |