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Rule Filings
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rulebook-rulefilings-phlx-2024rulebook-rulefilings-phlx-2024| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-Phlx-2024-17
| A proposal to amend the Exchange's fee schedule at Equity 7, Section 3 to implement a Market Data Revenue Rebate program. | Pending | No | | | SR-Phlx-2024-15
| A proposal to amend the Exchange's fees for Top of PHLX Options (TOPO), PHLX Orders, and TOPO Plus Orders. | Approved | No | | | SR-Phlx-2024-14
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4. | Approved | Yes | 4/15/2024 | 3/25/2024 | SR-Phlx-2024-13
Notice & Approval
| A proposal to amend Options 2, Sections 13 and 14 and Options 8, Section 24. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-Phlx-2024-12
Notice & Approval
| A proposal to amend the Exchange's Cabinet Proximity Option Fee at General 8, Section 1. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-Phlx-2024-10
Notice & Approval
| A proposal to amend its Rules at Options 7, Section 9, Other Member Fees. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-Phlx-2024-08
Notice & Approval
| A proposal to amend the Exchange's fees for connectivity and co-location services. | Approved | Yes | 4/11/2024 | 3/21/2024 | SR-Phlx-2024-06
Notice & Approval
| A proposal to expand the Exchange's Cabinet Proximity Option program. | Approved | Yes | 3/27/2024 | 3/6/2024 | SR-Phlx-2024-04
Notice & Approval
| A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3(a). | Approved | Yes | 3/13/2024 | 2/21/2024 | SR-Phlx-2024-01
Suspension
| A proposal to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail. | Suspended | No | | |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-Phlx-2023-58
Notice & Approval
| A proposal to amend the Exchange's schedule of fees at Equity 7, Section 3 | Approved | Yes | 1/30/2024 | 1/9/2024 | SR-Phlx-2023-55
Notice & Approval
| A proposal to amend the fees for Nasdaq 100 Index options in the Exchange's Pricing Schedule at Options 7, Section 5A. | Approved | Yes | 1/8/2024 | 12/18/2023 | SR-Phlx-2023-54
Notice & Approval
| A proposal to (i) adopt a Monthly Options Series and (ii) amend its Nonstandard Expirations Program. | Approved | Yes | 1/3/2024 | 12/13/2023 | SR-Phlx-2023-53
Notice & Approval
| A proposal to amend the PHLX GPS antenna fees at General 8, Section 1. | Approved | Yes | 1/4/2024 | 12/14/2023 | SR-Phlx-2023-49
Resubmission
Notice & Approval
| A proposal to amend Phlx Equity 11, Sections 6 (Ex-dividend, Ex-rights) and Section 7 (Ex-warrants) to conform to Rule 15c6-1(a) of the Act to shorten the standard settlement cycle from two business days after the trade date ("T+2") to one business days after the trade date ("T+1"). | Approved | Yes | 12/12/2023 | 11/21/2023 | SR-Phlx-2023-48
Notice & Approval
| A proposal to delay the implementation of SR-Phlx-2023-22. | Approved | Yes | 12/8/2023 | 11/17/2023 | SR-Phlx-2023-47
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, Multiply Listed Options Fees, and Options 7, Section 7, Routing Fees. | Approved | Yes | 12/12/2023 | 11/21/2023 | SR-Phlx-2023-45
Notice
Approval
| A proposal to permit the listing and trading of p.m.-settled Nasdasq-100 Index options with a third-Friday-of-the-month expiration. | Approved | Yes | 10/25/2023 | 10/4/2023 | SR-Phlx-2023-44
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7, Section 4. | Approved | Yes | 10/24/2023 | 10/3/2023 | SR-Phlx-2023-43
Notice & Approval
| A proposal to amend Equity 4, Rules 3301A and 3301B. | Approved | Yes | 10/10/2023 | 9/19/2023 | SR-Phlx-2023-41
Notice & Approval
| A proposal to amend its Rules at Options 3, Section 13, Price Improvement XL. | Approved | Yes | 10/4/2023 | 9/13/2023 | SR-Phlx-2023-38
Notice & Approval
| A proposal to amend its Rules at Options 8 concerning Floor Trading. | Approved | Yes | 9/22/2023 | 9/1/2023 | SR-Phlx-2023-37
Notice & Approval
| A proposal to set fees for the purchase of field-programmable gate array ("FPGA") technology as an optional delivery mechanism for PSX TotalView. | Approved | Yes | 9/15/2023 | 8/25/2023 | SR-Phlx-2023-36
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, "Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY and broad-based index options symbols listed within Options 7, Section 5.A). | Approved | Yes | 9/8/2023 | 8/18/2023 | SR-Phlx-2023-34
Notice & Approval
| A proposal to amend its Rules at Options 3, Options Trading Rules, at: Section 7, Types of Orders and Order and Quote Protocols; Section 8, Options Opening Process; Section 10, Electronic Execution Priority and Processing in the System; Section 12, Electronic Qualified Contingent Cross Order; Section 13, Price Improvement XL; Section 14, Complex Orders; Section 23, Data Feeds and Trade Information; Options 5, Section 4, Order Routing; and Options 7, Section 3, Rebates and Fees for Adding and Removing Liquidity in SPY. The Exchange also proposes to amend its Rules at Options 8, Floor Trading, at: Section 30, Crossing, Facilitation and Solicited Orders; and Section 32, Types of Floor-Based (Non-System) Orders. | Approved | Yes | 9/12/2023 | 8/22/2023 | SR-Phlx-2023-31
Notice & Approval
| A proposed rule change regarding a stockholders' agreement by and among the Exchange's parent corporation, Nasdaq, Inc. ("Nasdaq"), Adenza Parent, LP, a Delaware limited partnership ("Seller"), and the other parties thereto ("Stockholders' Agreement"). | Approved | Yes | 9/5/2023 | 8/14/2023 | SR-Phlx-2023-28
Notice & Approval
| A proposal to establish Purge Ports for equities trading. | Approved | Yes | 7/28/2023 | 7/7/2023 | SR-Phlx-2023-27
Notice & Approval
| A proposal to amend its Rules at Options 3, Options Trading Rules, at: Section 4 Entry and Display of Quotes; Section 5, Entry and Display of Orders; Section 7, Types of Orders and Order and Quote Protocols; Section 8, Options Opening Process; Section 10, Electronic Execution Priority and Processing in the System; Section 14, Complex Orders; and Section 15, Risk Protections. | Approved | Yes | 8/4/2023 | 7/14/2023 | SR-Phlx-2023-26
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7: Section 1, General Provisions; Section 3, Rebates and Fees for Adding and Removing Liquidity in SPY; and Section 6, Other Transaction Fees. | Approved | Yes | 7/20/2023 | 6/29/2023 | SR-Phlx-2023-23
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, "Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY)." | Approved | Yes | 7/5/2023 | 6/13/2023 | SR-Phlx-2023-22
Notice & Approval
| A proposal to amend certain rule text within Options 8 related to Phlx's trading floor. Specifically, the Exchange proposes to amend Options 8, Section 26, Trading Halts, Business Continuity and Disaster Recovery; Options 8, Section 28, Responsibilities of Floor Brokers; Options 8, Section 29, Use of Floor Based Management System by Floor Market Makers and Lead Market Makers; Options 8, Section 30, Crossing, Facilitation and Solicited Orders; Options 8, Section 32, Types of Floor-Based (non-System) Orders; Options 8, Section 33, Accommodation Transactions; Options 8, Section 34, FLEX Index, Equity, and Currency Options; and Options 8, Section 39, Option Minor Rule Violations and Order and Decorum Regulations. | Approved | Yes | 7/5/2023 | 6/13/2023 | SR-Phlx-2023-19
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7 to adopt pricing for index options on the Nasdaq-100 ESG Index. | Approved | Yes | 6/26/2023 | 6/5/2023 | SR-Phlx-2023-18
Notice & Approval
| A proposal to offer field-programmable gate array ("FPGA") technology as an optional delivery mechanism for PSX TotalView. | Approved | Yes | 6/16/2023 | 5/26/2023 | SR-Phlx-2023-16
Notice & Approval
| A proposal to amend Equity 7, Section 3(a)(1) to exclude certain days for purposes of calculating Consolidated Volume and trading activity. | Approved | Yes | 6/5/2023 | 5/15/2023 | SR-Phlx-2023-15
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, "Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY)." | Approved | Yes | 5/30/2023 | 5/9/2023 | SR-Phlx-2023-14
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, "Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY)." | Approved | Yes | 5/30/2023 | 5/8/2023 | SR-Phlx-2023-13
Notice & Approval
| A proposal to Extend the Pilot Program to permit the listing and trading of options based on 1/100 the value of the Nasdaq-100 Index ("XND Pilot") and the nonstandard expirations pilot program. | Approved | Yes | 5/23/2023 | 5/2/2023 | SR-Phlx-2023-11
Notice & Approval
| A proposal to amend the Exchange's schedule of fees and credits at Equity 7, Section 3. | Approved | Yes | 5/23/2023 | 5/2/2023 | SR-Phlx-2023-09
Resubmission
Notice
Approval
| A proposal to permit the listing and trading of options on the Nasdaq-100 ESG Index. | Approved | Yes | 4/27/2023 | 4/6/2023 | SR-Phlx-2023-08
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, "Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY)." | Approved | Yes | 4/10/2023 | 3/20/2023 | SR-Phlx-2023-07
Notice
SEC Extension
Amendment 1
Order Instituting Proceedings
SEC Extension 2
Approval
| A proposal to make permanent the pilot to permit the listing and trading of options based on 1/100 the value of the Nasdaq-100 Index ("Nasdaq-100" or "NDX") and the Exchange's nonstandard expirations pilot program which are both currently set to expire on May 4, 2023. | Approved | Yes | 3/23/2023 | 3/2/2023 | SR-Phlx-2023-06
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, "Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY)." | Approved | Yes | 3/24/2023 | 3/3/2023 | SR-Phlx-2023-02
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4. | Approved | Yes | 2/8/2023 | 1/18/2023 | SR-Phlx-2023-01
Notice & Approval
| A proposal to amend the Exchange's schedule of fees and credits at Equity 7, Section 3. | Approved | Yes | 2/9/2023 | 1/19/2023 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-Phlx-2022-50
Notice & Approval
| Proposal to amend Options 9, Section 13. | Approved | Yes | 1/30/2023 | 1/9/2023 | SR-Phlx-2022-49
Notice & Approval
| A proposal to modify Equity 4, Rule 3100 to establish common criteria and procedures for halting and resuming trading in equity securities in the event of regulatory or operational issues, reorganize the text of the rule, and make conforming changes to related rules. | Approved | Yes | 1/19/2023 | 12/29/2022 | SR-Phlx-2022-48
Notice & Approval
| A proposal to amend certain rule text within Equity 2, Market Participants; Options 1, General Provisions; Options 2, Options Market Participants; Options 4A, Options Index Rules; Options 7, Pricing Schedule; and Options 10, Doing Business with the Public | Approved | Yes | 12/28/2022 | 12/7/2022 | SR-Phlx-2022-47
Notice & Approval
| A proposal to amend Phlx Pricing Schedule at Options 7, Section 9, Other Member Fees, to reflect adjustments to FINRA Registration Fees and Fingerprinting Fees. | Approved | Yes | 12/16/2022 | 11/25/2022 | SR-Phlx-2022-46
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 5.D. | Approved | Yes | 12/13/2022 | 11/22/2022 | SR-Phlx-2022-45
Notice & Approval
| A proposal to extend the expiration date of the temporary amendments concerning video conference hearings from October 31, 2022, to January 31, 2023. | Approved | Yes | 12/7/2022 | 11/16/2022 | SR-Phlx-2022-44
Notice & Approval
| A proposal to amend Rule Phlx Equity 6 Section 5 (Exchange Sharing of PSX Participant Risk Settings) to provide PSX Participants with additional optional settings. | Approved | Yes | 12/7/2022 | 11/16/2022 | SR-Phlx-2022-43
Notice & Approval
| A proposal to amend Equity 4, Rule 3307 to Enhance the Anti-Internalization Functionality Available on the Exchange. | Approved | Yes | 11/21/2022 | 10/31/2022 | SR-Phlx-2022-42
Notice & Approval
| Proposal to permit certain standard monthly expirations for proprietary index options. | Approved | Yes | 11/28/2022 | 11/7/2022 | SR-Phlx-2022-41
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7 | Approved | Yes | 11/28/2022 | 11/7/2022 | SR-Phlx-2022-39
Notice & Approval
| A proposal to extend the pilot to permit the listing and trading of options based on 1/100 the value of the Nasdaq-100 Index and the Exchange's nonstandard expirations pilot program. | Approved | Yes | 11/3/2022 | 10/13/2022 | SR-Phlx-2022-38
Resubmission
Notice
Approval
| A proposal to permit Phlx to open for trading Weekly Expirations on Nasdaq 100 Micro Index Options ('XND') that expire on any Tuesday or Thursday within the Nonstandard Expirations Pilot Program. | Approved | Yes | 11/14/2022 | 10/21/2022 | SR-Phlx-2022-37
Notice & Approval
| A proposal to temporarily waive certain port-related fees at Equity 7, Section 3. | Approved | Yes | 11/2/2022 | 10/12/2022 | SR-Phlx-2022-36
Resubmission
Notice & Approval
| A proposal to amend Equity 4, Rule 3312. | Approved | Yes | 10/20/2022 | 9/29/2022 | SR-Phlx-2022-35
Notice & Approval
| A proposal to amend Equity 4, Rules 3100, 3301A and 3301B in light of planned changes to the System. | Approved | Yes | 10/12/2022 | 9/20/2022 | SR-Phlx-2022-34
Notice & Approval
| A proposal to amend the Exchange's port-related fees, at Equity 7, Section 3, and Options 7, Section 9. | Approved | Yes | 10/6/2022 | 9/15/2022 | SR-Phlx-2022-33
Notice & Approval
| A proposal to amend the Phlx Pricing Schedule at Options 7, Section 4, Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY and broad-based index options symbols listed within Options 7, Section 5.A). | Approved | Yes | 9/7/2022 | 8/17/2022 | SR-Phlx-2022-32
Notice & Approval
| A proposal to extend the expiration date of the temporary amendments concerning video conference hearings from July 31, 2022, to October 31, 2022. | Approved | Yes | 9/1/2022 | 8/11/2022 | SR-Phlx-2022-31
Notice & Approval
| A proposal to extend the current pilot program related to Phlx Equity 4, Rule 3312 to the close of business on October 20, 2022. | Approved | Yes | 8/16/2022 | 7/26/2022 | SR-Phlx-2022-29
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY and broad-based index options symbols listed within Options 7, Section 5.A). | Approved | Yes | 8/10/2022 | 7/20/2022 | SR-Phlx-2022-28
Notice & Approval
| A proposal to delete Phlxs membership rules and incorporate by reference The Nasdaq Stock Market LLCs General 3 Rules | Approved | Yes | 8/3/2022 | 7/13/2022 | SR-Phlx-2022-27
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 5, Index and Singly Listed Options (Includes options overlying FX Options, equities, ETFs, ETNs, and indexes not listed on another exchange), to adopt pricing for options on a Nasdaq-100® Volatility Index ('VOLQ'). | Approved | Yes | 7/27/2022 | 7/6/2022 | SR-Phlx-2022-25
Notice & Approval
| A proposal to amend certain rule text within Options 4A, Section 12, Terms of Index Options Contracts, related to the listing of options on the Nasdaq-100® Volatility Index. | Approved | Yes | 7/6/2022 | 6/15/2022 | SR-Phlx-2022-24
Notice & Approval
| A proposal to amend the Exchanges schedule of credits, at Equity 7, Section 3. | Approved | Yes | 7/12/2022 | 6/21/2022 | SR-Phlx-2022-23
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, 'Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY).' | Approved | Yes | 7/13/2022 | 6/22/2022 | SR-Phlx-2022-22
Resubmission
Notice
Approval
| A proposal to permit P.M.-settled Nasdaq-100 Index® ('NDX') options that expire on Tuesday or Thursday under its Nonstandard Expirations Pilot Program. | Approved | Yes | 7/12/2022 | 6/21/2022 | SR-Phlx-2022-21
Notice & Approval
| A proposed rule change to amend the Amended and Restated Certificate of Incorporation of its parent corporation, Nasdaq, Inc., to increase Nasdaq's authorized share capital. | Approved | Yes | 6/14/2022 | 5/24/2022 | SR-Phlx-2022-20
Notice & Approval
| A proposal to amend Equity 7, Section 3 to add a new transaction credit. | Approved | Yes | 6/6/2022 | 5/16/2022 | SR-Phlx-2022-19
Notice & Approval
| A proposal to extend the Clearly Erroneous Pilot until July 20, 2022. | Approved | Yes | 5/17/2022 | 4/26/2022 | SR-Phlx-2022-18
Notice & Approval
| A proposal to adopt on a permanent basis the pilot program for market-wide circuit breakers in Equity 4, Rule 3101. | Approved | Yes | 5/10/2022 | 4/19/2022 | SR-Phlx-2022-17
Notice & Approval
| A proposal to amend Equity 4, Rule 3306(a)(3), in light of planned changes to the System as well as to address existing issues, as described further below. | Approved | Yes | 5/18/2022 | 4/27/2022 | SR-Phlx-2022-16
Notice & Approval
| A proposal to extend the pilot to permit the listing and trading of options based on 1/100 the value of the Nasdaq-100 Index ('Nasdaq-100') and the Exchange's nonstandard expirations pilot program, both currently set to expire on May 4, 2022. | Approved | Yes | 5/4/2022 | 4/13/2022 | SR-Phlx-2022-15
Notice & Approval
| A proposal to extend the expiration date of the temporary amendments concerning video conference hearings from March 31, 2022, to July 31, 2022. | Approved | Yes | 5/2/2022 | 4/11/2022 | SR-Phlx-2022-14
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, 'Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY).'
Additionally, the Exchange proposes to make a technical amendment and add descriptions of three additional terms within Options 7, Section 1, General Provisions. | Approved | Yes | 4/28/2022 | 4/7/2022 | SR-Phlx-2022-13
Notice & Approval
| A proposal to amend the implementation date related to the launch of options on the Nasdaq-100® Volatility Index. | Approved | Yes | 4/22/2022 | 4/1/2022 | SR-Phlx-2022-11
Notice & Approval
| A proposal to extend the pilot related to the market-wide circuit breaker in Equity 4, Rule 3101 to the close of business on April 18, 2022. | Approved | Yes | 4/12/2022 | 3/22/2022 | SR-Phlx-2022-07
Notice & Approval
| A proposal to amend Phlxs Pricing Schedule at Options 7, Section 4, 'Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed) (Excludes SPY).' | Approved | Yes | 3/21/2022 | 2/28/2022 | SR-Phlx-2022-05
Notice & Approval
| A proposal to amend its fee schedule, at Equity 7, Section 3. | Approved | Yes | 3/9/2022 | 2/16/2022 | SR-Phlx-2022-04
Notice & Approval
| A proposal to amend Options 3, Section 20 (Nullification and Adjustment of Options Transactions including Obvious Errors). | Approved | Yes | 2/25/2022 | 2/4/2022 | SR-Phlx-2022-03
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 6, Part D to reduce the Phlx Options Regulatory Fee or 'ORF'. | Approved | Yes | 2/22/2022 | 2/1/2022 | SR-Phlx-2022-02
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 9, Other Member Fees, to reflect adjustments to FINRA Continuing Education Fees. | Approved | Yes | 2/18/2022 | 1/28/2022 | SR-Phlx-2022-01
Notice & Approval
| A proposal to amend Phlx's Pricing Schedule at Options 7, Section 3, 'Rebates and Fees for Adding and Removing Liquidity in SPY.' The Exchange also proposes to remove obsolete rule text within Options 7, Section 9, 'Other Member Fees.' | Approved | Yes | 2/14/2022 | 1/24/2022 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2021-76
Notice
& Approval
|
A proposal to amend Phlx Rules at Options 3, Section 1, Hours of Business; Options 4A, Section 2,
Definitions and Section 12, Terms of Index Options Contracts. The Exchange also proposes to adopt
new Options 4A, Sections 4 and 14, which are currently reserved and amend Options 8, Section 9
Trading Floor Admittance. Finally, the Exchange proposes to make technical amendments to various
rules within Options 7 and Options 8. |
Approved |
Yes |
1/31/2022 |
1/10/2022 |
SR-Phlx-2021-75
Notice
& Approval
|
A proposal to extend the expiration date of the temporary amendments concerning
video conference hearings from December 31, 2021, to March 31, 2022. |
Approved |
Yes |
1/19/2022 |
12/29/2021 |
SR-Phlx-2021-74
Notice
& Approval
|
A proposal to amend Equity 7, Section 3 to restate the Exchange's schedule of transaction credits
and charges, to eliminate the Qualified Market Maker Program. |
Approved |
Yes |
1/13/2022 |
12/23/2021 |
SR-Phlx-2021-71
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 1, General
Provisions, and Section 2, Collection of Exchange Fees and Other Claims. |
Approved |
Yes |
1/3/2022 |
12/13/2021 |
SR-Phlx-2021-70
Notice
& Approval
|
A proposal to amend Position Limits on SPDR Gold Shares ('GLD') and iShares Silver Trust ('SLV')
options. |
Approved |
Yes |
12/21/2021 |
11/30/2021 |
SR-Phlx-2021-69
Notice
& Approval
|
A proposal to adopt a new rule within General 3, Rule 1030, titled 'Member Access
to the Exchange,' to make Juneteenth National Independence Day a holiday of the Exchange. |
Approved |
Yes |
12/27/2021 |
12/3/2021 |
SR-Phlx-2021-68
Resubmission
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Equity 7, Section 4, Membership Fees, and Options 7,
Section 9, Other Member Fees, to reflect adjustments to FINRA Registration Fees and Fingerprinting
Fees. |
Approved |
Yes |
12/10/2021 |
11/19/2021 |
SR-Phlx-2021-67
Notice
& Approval
|
A proposal to amend Equity 4, Rule 3301B in light of planned changes to the
System. |
Approved |
Yes |
11/26/2021 |
11/5/2021 |
SR-Phlx-2021-66
Notice
& Approval
|
A proposal to extend the pilot to permit the listing and trading of options based on 1/100 the value
of the Nasdaq-100 Index ('Nasdaq-100') currently set to expire on November 4, 2021. |
Approved |
Yes |
11/24/2021 |
11/3/2021 |
SR-Phlx-2021-65
Resubmission
Notice
& Approval
|
A proposal to extend the pilot period for the Exchange's nonstandard expirations
pilot program, currently set to expire on November 4, 2021. |
Approved |
Yes |
11/26/2021 |
11/4/2021 |
SR-Phlx-2021-64
Notice
& Approval
|
A proposal to amend Equity 7, Section 3 to modify the Enhanced Market Quality Program (the
'Program'). |
Approved |
Yes |
11/18/2021 |
10/28/2021 |
SR-Phlx-2021-61
Notice
& Approval
|
A proposal to extend the Pilot related to Clearly Erroneous Transactions until
April 20, 2022. |
Approved |
Yes |
11/10/2021 |
10/20/2021 |
SR-Phlx-2021-60
Notice
& Approval
|
A proposal to extend the pilot related to the market-wide circuit breaker in Equity 4, Rule 3101 to
the close of business on March 18, 2022. |
Approved |
Yes |
11/4/2021 |
10/14/2021 |
SR-Phlx-2021-58
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 10
(Proprietary Data Feed Fees) to: (i) allow the external distribution of analytic products derived
from information contained in the Phlx Options Trade Outline ('PHOTO') to the general investing
public; (ii) increase fees for End of Day, Intra-Day, and historical data to reflect the current
market value of these products; and (iii) offer a discounted fee for 36 months of historical data
for current distributors. |
Approved |
Yes |
11/8/2021 |
10/18/2021 |
SR-Phlx-2021-57
Notice
& Approval
|
A proposal to amend to Options 7, Section 4, Multiply Listed Options Fees. |
Approved |
Yes |
11/8/2021 |
10/18/2021 |
SR-Phlx-2021-56
Notice
Approval
|
A proposal to amend its rule regarding options on the Nasdaq-100® Volatility Index
within Options 4A, Section 12, Terms of Index Options Contracts. |
Approved |
Yes |
10/28/2021 |
10/7/2021 |
SR-Phlx-2021-55
Notice
& Approval
|
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3(a). |
Approved |
Yes |
10/20/2021 |
9/29/2021 |
SR-Phlx-2021-54
Notice
& Approval
|
A proposal to delete the Order Audit Trail System rules in the Equity 5 Series of
the Exchange rulebook that provides for the collection of information that is duplicative of the
data collection requirements of the CAT. |
Approved |
Yes |
10/12/2021 |
9/20/2021 |
SR-Phlx-2021-53
Notice
& Approval
|
A proposal to incorporate the Phlx Options 4 Rules by reference to the ISE Options 4 Rules. |
Approved |
Yes |
10/12/2021 |
9/21/2021 |
SR-Phlx-2021-52
Notice
& Approval
|
A proposal to adopt new Phlx Options 10, Section 5, Branch Office, and Options 10,
Section 17, Profit Sharing. The Exchange also proposes to amend General 9, Section 58, and Options
10, Section 6, Opening of Accounts. |
Approved |
Yes |
10/12/2021 |
9/21/2021 |
SR-Phlx-2021-51
Notice
& Approval
|
A proposal to decommission the Exchange's quote removal Kill Switch functionality at Options 3,
Section 17. |
Approved |
Yes |
10/13/2021 |
9/22/2021 |
SR-Phlx-2021-49
Resubmission
Notice
& Approval
|
A proposal to extend the expiration date of the temporary amendments in
SR-Phlx-2020-53 from August 31, 2021, to December 31, 2021. |
Approved |
Yes |
10/6/2021 |
9/15/2021 |
SR-Phlx-2021-48
Notice
& Approval
|
A proposal to amend Phlx Options 2, Section 5, Electronic Market Maker Obligations and Quoting
Requirements, Options 2, Section 10, Directed Orders, Options 3, Section 13, Price Improvement XL
('PIXL'), and Options 3, Section 26, Message Traffic Mitigation. |
Approved |
Yes |
9/30/2021 |
9/9/2021 |
SR-Phlx-2021-47
Notice
& Approval
|
A proposal to amend Equity 7, Section 3 to adopt an Enhanced Market Quality
Program and a related credit. |
Approved |
Yes |
9/21/2021 |
8/31/2021 |
SR-Phlx-2021-45
Resubmission
Resubmission 2
Notice
& Approval
|
A proposal to amend Phlx Rules at Options 8, Section 34, FLEX Index, Equity and Currency Options.
|
Approved |
Yes |
9/14/2021 |
8/24/2021 |
SR-Phlx-2021-43
Resubmission
Resubmission 2
Notice
Approval
|
A proposal to permit Monday and Wednesday expirations for options listed pursuant
to the Short Term Option Series Program on the iShares Russell 2000 ETF. |
Approved |
Yes |
9/8/2021 |
8/18/2021 |
SR-Phlx-2021-42
Notice
& Approval
|
A proposal to the amendments to Phlx Options 3, Section 8 definition of Valid Width Quote. |
Approved |
Yes |
8/20/2021 |
7/30/2021 |
SR-Phlx-2021-41
Notice
& Approval
|
A proposal to amend Phlx Rules at Options 8, Section 2 (Definitions); Section 8
(Trading Floor Registration); Section 12 (Clerks); Section 22 (Execution of Options Transactions on
the Trading Floor); Section 28 (Responsibilities of Floor Brokers); and Section 39 (Option Minor
Rule Violations and Order and Decorum Regulations) at C-2 (Options Floor Based Management System).
|
Approved |
Yes |
8/10/2021 |
7/20/2021 |
SR-Phlx-2021-40
Notice
& Approval
|
A proposal to amend Equity 4, Rules 3301A and 3301B in light of planned changes to the System. |
Approved |
Yes |
8/9/2021 |
7/19/2021 |
SR-Phlx-2021-39
Resubmission
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 6, Part D
related to the Options Regulatory Fee or 'ORF'. |
Approved |
Yes |
9/1/2021 |
8/11/2021 |
SR-Phlx-2021-38
Notice
& Approval
|
A proposal to amend Options 2, Section 5, Electronic Market Maker Obligations and Quoting
Requirements. |
Approved |
Yes |
8/9/2021 |
7/19/2021 |
SR-Phlx-2021-37
Notice
& Approval
|
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3. |
Approved |
Yes |
7/19/2021 |
6/28/2021 |
SR-Phlx-2021-36
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 5 to adopt an incentive
program for Lead Market Makers ('LMMs') and Market Makers in Nasdaq 100 Micro Index ('XND') options.
|
Approved |
Yes |
7/14/2021 |
6/23/2021 |
SR-Phlx-2021-35
Notice
& Approval
|
A proposal to extend the implementation date for changing the primary and
secondary source of quotation data of MEMX LLC in the list of proprietary and network processor
feeds that the Exchange utilizes for the handling, routing, and execution of orders. |
Approved |
Yes |
7/16/2021 |
6/25/2021 |
SR-Phlx-2021-32
Notice
& Approval
|
A proposal to amend Phlx Rules at Options 1, Section 1; Options 2, Section 4; Options 2, Section 12;
Options 3, Section 7; Options 3, Section 15; and Options 3, Section 16. |
Approved |
Yes |
7/1/2021 |
6/10/2021 |
SR-Phlx-2021-31
Notice
& Approval
|
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3. |
Approved |
Yes |
6/16/2021 |
5/26/2021 |
SR-Phlx-2021-30
Notice
& Approval
|
A proposal to amend Options 6, Section 7 to permit in-kind transfers of positions off of the
Exchange in connection with unit investment trusts ('UITs'). |
Approved |
Yes |
6/9/2021 |
5/19/2021 |
SR-Phlx-2021-28
Resubmission
Notice
& Approval
|
A proposal to relocate certain rule text related to bidask differentials. |
Approved |
Yes |
6/7/2021 |
5/17/2021 |
SR-Phlx-2021-27
Notice
& Approval
|
A proposal to extend the expiration date of the temporary amendments concerning video conference
hearings from April 30, 2021, to August 31, 2021 |
Approved |
Yes |
6/1/2021 |
5/10/2021 |
SR-Phlx-2021-26
Resubmission
Notice
& Approval
|
A proposal to limit Short Term Options Series intervals between strikes which are
available for quoting and trading on Phlx. |
Approved |
Yes |
6/14/2021 |
5/24/2021 |
SR-Phlx-2021-24
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7 to adopt pricing for index options
on the Nasdaq 100 Micro Index. |
Approved |
Yes |
5/26/2021 |
5/5/2021 |
SR-Phlx-2021-23
Notice
& Approval
|
A proposal to extend the current pilot program related to Phlx Equity 4, Rule 3312
(Clearly Erroneous Transactions) to the close of business on October 20, 2021. |
Approved |
Yes |
5/12/2021 |
4/21/2021 |
SR-Phlx-2021-22
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7 |
Approved |
Yes |
5/18/2021 |
4/27/2021 |
SR-Phlx-2021-21
Notice
& Approval
|
A proposal to extend the pilot period for the Exchange's nonstandard expirations
pilot program, currently set to expire on May 4, 2021. |
Approved |
Yes |
5/3/2021 |
4/12/2021 |
SR-Phlx-2021-19
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 8, 'Membership Fees.' |
Approved |
Yes |
5/3/2021 |
4/12/2021 |
SR-Phlx-2021-17
Notice
& Approval
|
A proposal to enhance the End of Day ('EOD') summary message on Nasdaq Last Sale
('NLS') Plus by replacing the current high, low and closing price of a security based on its trading
on Phlx with the high, low and closing price of a security published by the securities information
processors ('SIPs'), and adding the opening price of a security as published by the SIPs to that
message. |
Approved |
Yes |
4/28/2021 |
4/7/2021 |
SR-Phlx-2021-16
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 6, Part D to reduce the Phlx
Options Regulatory Fee or 'ORF'. |
Approved |
Yes |
4/22/2021 |
4/1/2021 |
SR-Phlx-2021-14
Resubmission
Resubmission 2
Notice
& Approval
|
A proposal to amend the Phlx Options Rules at Options 4 (Options Listing Rules) in
the Exchange's rulebook's shell structure. This proposal also creates a new Options 4C entitled
'U.S. Dollar-Settled Foreign Currency Options.' |
Approved |
Yes |
5/3/2021 |
4/12/2021 |
SR-Phlx-2021-13
Notice
& Approval
|
A proposal to amend General 9, Section 19, 'Discretionary Power as to Customers' Accounts' and adopt
two new rules within General 9 at Sections 30 and 45 |
Approved |
Yes |
4/13/2021 |
3/23/2021 |
SR-Phlx-2021-12
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 3, 'Rebates and
Fees for Adding and Removing Liquidity in SPY.' |
Approved |
Yes |
4/5/2021 |
3/15/2021 |
SR-Phlx-2021-11
Notice
& Approval
|
A proposal to amend Equity 4, Rule 3301B |
Approved |
Yes |
4/1/2021 |
3/11/2021 |
SR-Phlx-2021-10
Notice
Approval
|
A proposal to permit Monday and Wednesday expirations for options listed pursuant
to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ETF Trust. |
Approved |
Yes |
3/29/2021 |
3/8/2021 |
SR-Phlx-2021-09
Notice
& Approval
|
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3 |
Approved |
Yes |
3/17/2021 |
2/24/2021 |
SR-Phlx-2021-08
Notice
& Approval
|
A proposal to amend Rule 3304 (Data Feeds Utilized) to change the primary and
secondary source of quotation data of certain market centers in the list of proprietary and network
processor feeds that the Exchange utilizes for the handling, routing, and execution of orders as
well as regulatory compliance processes related to those functions. |
Approved |
Yes |
3/16/2021 |
2/23/2021 |
SR-Phlx-2021-07
Resubmission
Notice
Amendment
1
Approval
|
A proposal to permit the listing and trading of options based on 1/100 the value of the Nasdaq-100
Index®. |
Approved |
Yes |
3/19/2021 |
2/26/2021 |
SR-Phlx-2021-05
Notice
& Approval
|
A proposal to amend various Phlx Rules. |
Approved |
Yes |
3/3/2021 |
2/10/2021 |
SR-Phlx-2021-04
Resubmission
Notice
& Approval
|
A proposal to relocate its PSX equity and general rules from its current Rulebook into its new
Rulebook shell and make other changes to the Phlx Rules. |
Approved |
Yes |
3/3/2021 |
2/10/2021 |
SR-Phlx-2021-03
Notice
SEC
Extension
Amendment 1
Approval
|
A proposal to modify Phlx Options 8, Section 26, 'Trading Halts, Business
Continuity and Disaster Recovery' to permit a Virtual Trading Crowd in the event that the Trading
Floor is unavailable. |
Approved |
Yes |
2/4/2021 |
1/14/2021 |
SR-Phlx-2021-02
Notice
& Approval
|
A proposal to modify Phlx Options 8, Section 28, 'Responsibilities of Floor Brokers' and Section 30,
'Crossing, Facilitation and Solicited Orders.' |
Approved |
Yes |
2/11/2021 |
1/21/2021 |
SR-Phlx-2021-01
Notice
& Approval
|
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3 |
Approved |
Yes |
2/9/2021 |
1/21/2021 |
rulebook-rulefilings-phlx-2020rulebook-rulefilings-phlx-2020
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2020-53
Notice
& Approval
|
A proposal to harmonize Exchange Rule General 3, Section 16 with recent changes by the Financial
Industry Regulatory Authority, Inc |
Approved |
Yes |
1/19/2021 |
12/29/2020 |
SR-Phlx-2020-51
Notice
& Approval
|
A proposal to amend Nasdaq PSX Rules 3213, 3301A, and 3301B. |
Approved |
Yes |
12/30/2020 |
12/9/2020 |
SR-Phlx-2020-50
Notice
& Approval
|
A proposal to amend the Exchanges transaction fees at Equity 7 Section 3 |
Approved |
Yes |
12/1/2020 |
11/10/2020 |
SR-Phlx-2020-48
Notice
& Approval
|
A proposal to extend the pilot period for the Exchange's nonstandard expirations
pilot program. |
Approved |
Yes |
11/18/2020 |
10/28/2020 |
SR-Phlx-2020-47
Notice
& Approval
|
A proposed rule change to extend the current pilot program related to Phlx Rule 3312 (Clearly
Erroneous Transactions) to the close of business on April 20, 2021. |
Approved |
Yes |
11/12/2020 |
10/21/2020 |
SR-Phlx-2020-46
Notice
& Approval
|
A proposal to extend the pilot related to the market-wide circuit breaker in Rule
3101. |
Approved |
Yes |
11/5/2020 |
10/15/2020 |
SR-Phlx-2020-45
Notice
& Approval
|
A proposed rule change to amend the Exchange's transaction credits at Equity 7, Section 3. |
Approved |
Yes |
10/14/2020 |
9/23/2020 |
SR-Phlx-2020-44
Notice
& Approval
|
A proposal to amend Rule 3304 to change the primary and secondary source of
quotation data of certain market centers in the list of proprietary and network processor feeds that
the Exchange utilizes for the handling, routing, and execution of orders as well as regulatory
compliance processes related to those functions. |
Approved |
Yes |
10/13/2020 |
9/21/2020 |
SR-Phlx-2020-42
Notice
& Approval
|
A proposal to amend Rule 3304 to add the Long-Term Stock Exchange, Inc. MIAX PEARL, LLC and MEMX LLC
to the list of market centers under Rule 3304 and provide that the Exchange will utilize CQS/UQDF.
|
Approved |
Yes |
10/5/2020 |
9/14/2020 |
SR-Phlx-2020-41
Resubmission
Resubmission 2
Notice
SEC
Extension
Order Instituting Proceedings
SEC
Extension 2
Amendment 1
Amendment
2
Approval
|
A proposal to list and trade options on a Nasdaq-100® Volatility Index (Ticker
Symbol: VOLQ), a new index that measures changes in 30-day implied volatility of the Nasdaq-100
Index. |
Approved |
Yes |
9/29/2020 |
9/8/2020 |
SR-Phlx-2020-40
Resubmission
Notice
& Approval
|
Proposal to add the Consolidated Audit Trail industry member compliance rules to the list of minor
rule violations in its rulebook. |
Approved |
Yes |
9/21/2020 |
8/31/2020 |
SR-Phlx-2020-39
Notice
& Approval
|
A proposal to amend Options 6, Section 5, titled 'Transfer of Positions.' |
Approved |
Yes |
9/11/2020 |
8/21/2020 |
SR-Phlx-2020-38
Notice
& Approval
|
A proposal to memorialize Phlx's Business Continuity and Disaster Recovery for its Trading Floor.
|
Approved |
Yes |
9/8/2020 |
8/18/2020 |
SR-Phlx-2020-37
Resubmission
Notice
& Approval
|
A proposal to amend Rule 3316 PHLX Kill Switch. |
Approved |
Yes |
9/4/2020 |
8/14/2020 |
SR-Phlx-2020-36
Notice
& Approval
|
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3. |
Approved |
Yes |
8/14/2020 |
7/24/2020 |
SR-Phlx-2020-35
Notice
& Approval
|
A proposal to further extend the filing requirements for certain written reports
pursuant to Options 10, Section 7, currently due June 30, 2020, to July 31, 2020. |
Approved |
Yes |
8/4/2020 |
7/14/2020 |
SR-Phlx-2020-33
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 8, 'Membership Fees' and Options
7, Section 9, 'Other Member Fees. |
Approved |
Yes |
8/4/2020 |
7/14/2020 |
SR-Phlx-2020-32
Notice
& Approval
|
A proposal 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. |
Approved |
Yes |
7/23/2020 |
7/2/2020 |
SR-Phlx-2020-31
Notice
& Approval
|
A proposal to modify the operative date of SR-Phlx-2020-15 |
Approved |
Yes |
7/23/2020 |
7/2/2020 |
SR-Phlx-2020-30
Notice
& Approval
|
A proposal to amend certain position limits within Options 9, Section 13. |
Approved |
Yes |
7/22/2020 |
7/1/2020 |
SR-Phlx-2020-29
Notice
& Approval
|
A proposal to further extend the filing requirements for certain written reports pursuant to Options
10, Section 7 |
Approved |
Yes |
6/29/2020 |
6/8/2020 |
SR-Phlx-2020-28
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 8, 'Membership
Fees' and Options 7, Section 9, 'Other Member Fees.' |
Approved |
Yes |
7/7/2020 |
6/16/2020 |
SR-Phlx-2020-27
Notice
& Approval
|
A proposal which amends Phlx Options 5, Section 4 |
Approved |
Yes |
7/7/2020 |
6/16/2020 |
SR-Phlx-2020-26
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, 'Multiply
Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply
Listed).' The Exchange also proposes to correct a technical amendment within Options 7, Section 1.
|
Approved |
Yes |
6/8/2020 |
5/18/2020 |
SR-Phlx-2020-25
Notice
& Approval
|
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3, as described further
below. |
Approved |
Yes |
5/18/2020 |
4/27/2020 |
SR-Phlx-2020-24
Notice
& Approval
|
A proposal related to a Non-Standard Pilot Program. |
Approved |
Yes |
5/14/2020 |
4/23/2020 |
SR-Phlx-2020-22
Resubmission
Resubmission 2
Notice
& Approval
|
Proposal to amend the Transfer Rule. |
Approved |
Yes |
5/14/2020 |
4/23/2020 |
SR-Phlx-2020-21
Resubmission
Notice
& Approval
|
A proposal to amend Phlx Rules at Options 2, Section 3, Allocation Application,
Allocation, Reallocation, Transfer and Voluntary Resignation'; Options 2, Section 4, Obligations of
Market Makers; Options 2, Section 11, Lead Market Maker Appointments; Options 5, Section 4, Order
Routing; Options 8, Section 11, Floor Market Maker and Lead Market Maker Appointment; Options 8,
Section 25, Floor Allocation; and Options 8, Section 39, Option Minor Rule Violations and Order and
Decorum Regulations at E-2, Allocation, Time Stamping, Matching and Access to Matched Trades. |
Approved |
Yes |
5/22/2020 |
5/1/2020 |
SR-Phlx-2020-20
Resubmission
Notice
& Approval
|
A proposal regarding rule amendments to Options 3, Section 8, Opening Process. |
Approved |
Yes |
5/19/2020 |
4/28/2020 |
SR-Phlx-2020-19
Notice
& Approval
|
Proposal to amend Phlx's Pricing Schedule, specifically to amend rule text within
Options 7, Section 8, 'Membership Fees.' |
Approved |
Yes |
5/8/2020 |
4/17/2020 |
SR-Phlx-2020-17
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, Multiply Listed Options Fees
|
Approved |
Yes |
5/4/2020 |
4/13/2020 |
SR-Phlx-2020-16
Notice
& Approval
|
A proposal to temporarily extend the filing requirements for certain written
reports, currently due April 1, 2020 pursuant to Options 10, Section 7, to June 1, 2020. |
Approved |
Yes |
4/27/2020 |
4/6/2020 |
SR-Phlx-2020-15
Notice
& Approval
|
A proposal to amend Exchange Rules 3301A and 3301B to modify the behavior of Order Types and Order
Attributes in certain situations. |
Approved |
Yes |
5/4/2020 |
4/13/2020 |
SR-Phlx-2020-14
Notice
& Approval
|
Proposal to amend Phlx Rules at Options 3, Section 8, titled 'Openings in
Options.' |
Approved |
Yes |
4/21/2020 |
3/31/2020 |
SR-Phlx-2020-13
Notice
& Approval
|
A proposal to extend the current pilot program related to Phlx Rule 3312 (Clearly Erroneous
Transactions) by six months, to the close of business on October 20, 2020 |
Approved |
Yes |
4/23/2020 |
4/2/2020 |
SR-Phlx-2020-12
Notice
& Approval
|
Phlx proposes waiving certain Trading Floor fees as well as a Trading Floor credit
|
Approved |
Yes |
4/27/2020 |
4/6/2020 |
SR-Phlx-2020-11
Notice
& Approval
|
A proposal to amend Rule 3101(b) concerning the resumption of trading following a Level 3
market-wide circuit breaker halt. |
Approved |
Yes |
4/15/2020 |
3/25/2020 |
SR-Phlx-2020-10
Notice
& Approval
|
Proposal to amend Options 4A, Section 12, Terms of Option Contracts |
Approved |
Yes |
4/16/2020 |
3/26/2020 |
SR-Phlx-2020-09
Resubmission
Notice
& Approval
|
Proposal to relocate the Phlx Series 8000 and 9000 Rules from its current Rulebook into its new
Rulebook shell. |
Approved |
Yes |
4/27/2020 |
4/6/2020 |
SR-Phlx-2020-08
Notice
& Approval
|
a proposal to amend Phlx Rules at Options 3, Section 3, Minimum Increments,
Section 12, Electronic Qualified Contingent Cross Order, Section 13, Price Improvement XL, Section
14, Complex Orders; Options 4, Section 5, Series of Options Open for Trading; Options 7, Section 1,
General Provisions, Section 6, Other Transaction Fees; Options 8, Section 24, Bids And
Offers-Premium, Section 30, Crossing, Facilitation and Solicited Orders; and Options 9, Section 13,
Position Limits to remove references to Mini Options |
Approved |
Yes |
4/8/2020 |
3/18/2020 |
SR-Phlx-2020-07
Notice
& Approval
|
Amendments to Complex Orders |
Approved |
Yes |
4/10/2020 |
3/20/2020 |
SR-Phlx-2020-06
Notice
& Approval
|
Proposed rule to amend PSX Rule 3506 and Options 9, Section 21 |
Approved |
Yes |
3/20/2020 |
2/28/2020 |
SR-Phlx-2020-05
Notice
& Approval
|
A proposed rule to amend Options 3, Section 7, Electronic Acceptance of Quotes and Orders and
Options 8, Section 32, Certain Types of Floor-Based Orders Defined, to permit the Exchange to
determine the availability of order types and time-in-force provisions. |
Approved |
Yes |
3/24/2020 |
3/3/2020 |
SR-Phlx-2020-03
Resubmission
Notice
& Approval
|
A rule change to relocate the Phlx Rulebook into the new Rulebook Shell. |
Approved |
Yes |
3/12/2020 |
2/20/2020 |
SR-Phlx-2020-02
Notice
& Approval
|
A proposal to amend Phlx's Pricing Schedule. Specifically, the Exchange proposes to amend Options 7,
Section 4 |
Approved |
Yes |
2/20/2020 |
1/30/2020 |
rulebook-rulefilings-phlx-2019rulebook-rulefilings-phlx-2019
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2019-56
Notice
& Approval
|
Proposal to amend Rule 1000, 1014, 1034, 1068, 1080, 1087, 1090, 1093 |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-Phlx-2019-55
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30,
2020 or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in
certain issues (Penny Pilot or Pilot). |
Approved |
Yes |
1/8/2020 |
12/18/2019 |
SR-Phlx-2019-54
Resubmission
Resubmission 2
Notice
& Approval
|
Proposal to adopt a new rule titled Off-Floor RWA Transfers at Phlx Rule 1045. |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-Phlx-2019-53
Notice
& Approval
|
A proposal to adopt a new Rule 1059 titled 'In-Kind Exchange of Options Positions
and ETF Shares.' |
Approved |
Yes |
1/12/2020 |
12/22/2019 |
SR-Phlx-2019-52
Notice
& Approval
|
Proposal to amend order types and remove and relocate certain rule text currently located within
Rule 1080 |
Approved |
Yes |
1/2/2020 |
12/12/2019 |
SR-Phlx-2019-51
Resubmission
Notice
& Approval
|
A proposal to delete certain Phlx Rules |
Approved |
Yes |
1/7/2020 |
12/17/2019 |
SR-Phlx-2019-50
Notice
& Approval
|
A proposal to amend Phlx Rule 507, titled 'Application for Approval as an SQT, RSQT, or RSQTO and
Assignment in Options.' |
Approved |
Yes |
12/26/2019 |
12/5/2019 |
SR-Phlx-2019-49
Notice
& Approval
|
Proposal to remove rule text from Phlx Rule 1101A Terms of Options Contracts at
Commentary 05 in connection to the listing of P M settled Nasdaq 100 Index Options expiring on the
third Friday of the month NDXPM. |
Approved |
Yes |
12/9/2019 |
11/18/2019 |
SR-Phlx-2019-48
Notice
& Approval
|
Proposal to amend the Exchange's Customer Rebate Program, as set forth in the Pricing Schedule at
Options 7, Section 1, Part B. |
Approved |
Yes |
12/10/2019 |
11/19/2019 |
SR-Phlx-2019-47
Notice
& Approval
|
A proposal to amend Rule 3304(a) |
Approved |
Yes |
12/4/2019 |
11/13/2019 |
SR-Phlx-2019-46
Notice
& Approval
|
A proposal to amend Phlx Rule 1097, 'Limitations on Order Entry.' |
Approved |
Yes |
11/20/2019 |
10/30/2019 |
SR-Phlx-2019-45
Notice
& Approval
|
A proposal to make permanent certain options market rules that are linked to the
equity market Plan to Address Extraordinary Market Volatility |
Approved |
Yes |
11/14/2019 |
10/24/2019 |
SR-Phlx-2019-44
Notice
& Approval
|
A proposal to extend the current pilot program related to Phlx Rule 3312, Clearly Erroneous
Transactions six months, to the close of business on April 20, 2020. |
Approved |
Yes |
11/13/2019 |
10/23/2019 |
SR-Phlx-2019-43
Notice
& Approval
|
A Proposal to Extend the Nonstandard Expirations Pilot Program |
Approved |
Yes |
11/17/2019 |
10/27/2019 |
SR-Phlx-2019-40
Notice
& Approval
|
Proposal to extend the pilot related to the market-wide circuit breaker in Rule 133 |
Approved |
Yes |
10/29/2019 |
10/8/2019 |
SR-Phlx-2019-38
Notice
& Approval
|
Proposal to amend its Second Amended Limited Liability Company Agreement and
By-Laws |
Approved |
Yes |
10/29/2019 |
10/8/2019 |
SR-Phlx-2019-37
Notice
& Approval
|
Proposal to amend Phlx pricing at Options 7, Section 9 to describe the pricing with respect to a
technology infrastructure migration. |
Approved |
Yes |
10/20/2019 |
9/29/2019 |
SR-Phlx-2019-36
Notice
& Approval
|
Proposal to amend the Exchange's transaction fees at Equity 7, Section 3 |
Approved |
Yes |
10/21/2019 |
9/30/2019 |
SR-Phlx-2019-35
Notice
& Approval
|
Proposal to amend the Exchange's transaction fees at Equity 7, Section 3. |
Approved |
Yes |
10/20/2019 |
9/29/2019 |
SR-Phlx-2019-33
Notice
& Approval
|
Proposal to amend Rules 1000; 1014; 1020; 1082; 1087; Options 8, Sections 2 and
39; relocate Rule 1064 to Options 8, Section 30; and relocate other rules, update cross-references,
and make various other technical amendments. |
Approved |
Yes |
10/9/2019 |
9/18/2019 |
SR-Phlx-2019-31
Notice
& Approval
|
A proposal to modify the manner in which it calculates volume, liquidity and quoting thresholds
applicable to billing on the Exchange in relation to a systems issue experienced by SIAC on August
12, 2019, which impacted trading across all markets. |
Approved |
Yes |
9/26/2019 |
9/5/2019 |
SR-Phlx-2019-30
Notice
& Approval
|
Proposal to amend Phlx pricing at Options 7, Section 9 titled Other Member Fees
|
Approved |
Yes |
9/24/2019 |
9/3/2019 |
SR-Phlx-2019-28
Notice
& Approval
|
A proposal to amend Exchange Rules 605 and 1049, titled 'Advertisements, Market Letters, Research
Reports and Sales Literature' and 'Options Communications.' |
Approved |
Yes |
9/11/2019 |
8/21/2019 |
SR-Phlx-2019-27
Notice
& Approval
|
A proposal to amend Equity 7, Section 3(a) to adopt revised pricing for the
recently adopted SCAR routing strategy |
Approved |
Yes |
9/3/2019 |
8/13/2019 |
SR-Phlx-2019-25
Notice
& Approval
|
Proposal to amend Rule 1019, adopt new Rule 1073, adopt Rule 1074, Rule 1080, adopt new Rule 1096,
and adopt a new Rule 1097 |
Approved |
Yes |
7/29/2019 |
7/8/2019 |
SR-Phlx-2019-24
Notice
& Approval
|
Proposal to Extend the Penny Pilot Program to December 31, 2019 |
Approved |
Yes |
7/14/2019 |
6/23/2019 |
SR-Phlx-2019-23
Notice
& Approval
|
A proposal to amend Equity 7, Section 3, which governs pricing for Phlx members using the Nasdaq PSX
System ('PSX'). |
Approved |
Yes |
6/30/2019 |
6/9/2019 |
SR-Phlx-2019-22
Notice
& Approval
|
Proposal to allow dollar strike price intervals in QQQ and IWM options |
Approved |
Yes |
6/24/2019 |
6/3/2019 |
SR-Phlx-2019-20
Resubmission
Notice
Approval
|
A proposal to reserve Rule 1014(g)(vii) and (viii), which describes the allocation of automatically
executed trades, and adopt a new Rule 1089 and title that rule Electronic Execution Priority and
Processing in the System. |
Approved |
Yes |
6/11/2019 |
5/21/2019 |
SR-Phlx-2019-19
Notice
& Approval
|
A proposal to amend the Exchange's transaction fees at Equity 7, Section 3 to
adopt a Qualified Market Maker Program and a related credit, and to modify two existing fees. |
Approved |
Yes |
6/10/2019 |
5/20/2019 |
SR-Phlx-2019-18
Notice
& Approval
|
A proposal to delete and relocate the Exchange's current Registration, Qualification and Continuing
Education rules under the 1200 Series (Rules 1210 through 1260), and incorporate by reference The
Nasdaq Stock Market LLC's ('Nasdaq') rules at General 4 ('Nasdaq Registration Rules'), into General
4 of the Exchange's rulebook's ('Rulebook') shell structure. |
Approved |
Yes |
5/28/2019 |
5/7/2019 |
SR-Phlx-2019-17
Resubmission
Notice
& Approval
|
Proposal to relocate rules related to the trading floor into the new Rulebook
shell at Options 8, entitled 'Options Floor Trading.' |
Approved |
Yes |
6/2/2019 |
5/2/2019 |
SR-Phlx-2019-16
Notice
& Approval
|
A proposal to extend the pilot period for the listing of P.M.-settled Nasdaq-100 Index Options
expiring on the third Friday of the month |
Approved |
Yes |
5/14/2019 |
4/23/2019 |
SR-Phlx-2019-15
Notice
& Approval
|
Proposal to amend the Pricing Schedule at Section 1, B, 'Customer Rebate Program,'
Section 3, 'Rebates and Fees for Adding and Removing Liquidity in SPY,' and Section 6, E, 'Market
Access and Routing Subsidy.' |
Approved |
Yes |
5/12/2019 |
4/21/2019 |
SR-Phlx-2019-14
Notice
& Approval
|
Proposal to extend the current pilot program related to Phlx Rule 3312, Clearly Erroneous
Transactions, to the close of business on October 18, 2019. |
Approved |
Yes |
5/7/2019 |
4/16/2019 |
SR-Phlx-2019-13
Notice
& Approval
|
Proposal to extend the pilot period for the Exchange's nonstandard expirations
pilot program, currently set to expire on May 6, 2019 |
Approved |
Yes |
5/13/2019 |
4/22/2019 |
SR-Phlx-2019-12
Notice
& Approval
|
Proposed Rule Change to Extend the Pilot Related to Rule 133, Trading Halts Due to Extraordinary
Market Volatility |
Approved |
Yes |
5/5/2019 |
4/14/2019 |
SR-Phlx-2019-11
Notice
& Approval
|
A proposal to extend the pilot to the close of business on October 18, 2019, for
certain options market rules that are linked to the equity market Plan to Address Extraordinary
Market Volatility. |
Approved |
Yes |
5/7/2019 |
4/16/2019 |
SR-Phlx-2019-09
Notice
& Approval
|
A proposal to delay the implementation of the FBMS FIX Interface to submit orders to a particular
Floor Broker on the options floor. |
Approved |
Yes |
5/5/2019 |
4/14/2019 |
SR-Phlx-2019-07
Resubmission
Notice
& Approval
|
Proposal to amend and relocate Qualified Contingent Cross Orders which are
submitted electronically and QCC Orders which are transacted on the Floor. |
Approved |
Yes |
5/1/2019 |
4/10/2019 |
SR-Phlx-2019-06
Resubmission
Notice
& Approval
|
Proposal to relocate and amend Rule 1080(m), titled 'Away Markets and Order Routing,' to new Rule
1093 with the same title. The Exchange also proposes to relocate Rule 1080(m)(v) to new Rule 1091.
|
Approved |
Yes |
5/12/2019 |
4/21/2019 |
SR-Phlx-2019-05
Resubmission
Notice
& Approval
|
A proposal to amend Rule 1034, 'Minimum Increments,' to specify replacement issues
that may be added to the Penny Pilot on a quarterly basis, without altering the expiration date of
the Pilot, which is June 30, 2019. |
Approved |
Yes |
4/24/2019 |
4/3/2019 |
SR-Phlx-2019-04
Notice
& Approval
|
A proposal to adopt a new SCAR routing option under Rule 3315 |
Approved |
Yes |
4/15/2019 |
3/25/2019 |
SR-Phlx-2019-03
Notice
& Approval
|
A proposal to amend Option Floor Procedure Advice A-9, titled 'All-or-None Options
Orders', amend Phlx Rule 1066, titled 'Certain Types of Floor-Based (Non-System) Orders Defined',
and adopt a new Phlx Rule 1078, titled 'All-or-None Orders |
Approved |
Yes |
4/2/2019 |
3/12/2019 |
SR-Phlx-2019-02
Notice
& Approval
|
Terms of Index Option Contracts to amend certain expiration timeframes and make technical
corrections to this rule |
Approved |
Yes |
3/25/2019 |
3/4/2019 |
SR-Phlx-2019-01
Notice
& Approval
|
A proposal to revise its Pricing Schedule at Options 7, Section 6, Part D to amend
the Phlx Options Regulatory Fee. |
Approved |
Yes |
3/12/2019 |
2/19/2019 |
rulebook-rulefilings-phlx-2018
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2018-84
Resubmission
Notice
& Approval
|
Proposed Rule Change to Extend the Penny Pilot Program |
Approved |
Yes |
2/21/2019 |
1/31/2019 |
SR-Phlx-2018-83
Notice
& Approval
Suspension
Withdrawal
Notice of Withdrawal
|
Proposal to amend the Exchange's port fee schedule at Equity 7, Section 3. |
Withdrawn |
Yes |
2/21/2019 |
1/31/2019 |
SR-Phlx-2018-82
Notice
& Approval
|
Proposal to delete the Exchange's existing rules on colocation, connectivity, and direct
connectivity under General 8, and incorporate by reference into General 8 of The Nasdaq Stock Market
LLC's rules on colocation, connectivity and direct connectivity. |
Approved |
Yes |
1/22/2019 |
12/31/2018 |
SR-Phlx-2018-81
|
A proposal to replace the text of the Phlx Series 8000 and 9000 Rules with
introductory paragraphs to each that incorporate by reference The Nasdaq Stock Market LLC's Series
8000 and 9000 Rules into the Phlx Series 8000 and 9000 Rules. |
Rejected |
No |
|
|
SR-Phlx-2018-80
Notice
& Approval
|
A proposal to amend the pilot period for the Exchange's nonstandard expirations pilot program,
currently set to expire on December 15, 2018 |
Approved |
Yes |
1/11/2019 |
12/21/2018 |
SR-Phlx-2018-79
Notice
& Approval
|
A proposal to revise the Exchange floor qualification examination. |
Approved |
Yes |
1/4/2019 |
12/14/2018 |
SR-Phlx-2018-78
|
Proposed rule change to amend the Exchange's rules to (1) correct existing references in the
Exchange's rules to "Reduced Value Nasdaq 100 Options," and (2) to permit the listing and trading of
index options, including FLEX options, on the Nasdaq 100 Re |
Rejected |
No |
|
|
SR-Phlx-2018-77
Notice
& Approval
|
Proposal to amend Phlx Rule 1017, entitled "Openings in Options," Phlx Rule 1014,
entitled "Obligations and Restrictions Applicable to Specialists and Registered Options Traders,"
and Rule 1000, entitled "Applicability, Definitions an References." |
Approved |
Yes |
1/2/2019 |
12/12/2018 |
SR-Phlx-2018-76
Notice
& Approval
|
Proposal to amend the pilot period for the listing of P.M.-settled Nasdaq-100 Index Options expiring
on the third Friday of the month ("NDXPM options") |
Approved |
Yes |
12/26/2018 |
12/6/2018 |
SR-Phlx-2018-75
Notice
& Approval
|
A proposal to allow the Exchange to aggregate Displayed odd-lot Orders across
price levels for transmission to network processors as the Exchange's best priced Order under Rule
3306(c)(2). |
Approved |
Yes |
12/26/2018 |
12/4/2018 |
SR-Phlx-2018-74
Withdrawal
|
A proposal to amend Phlx Rule 1017, entitled "Openings in Options," Phlx Rule 1014, entitled
"Obligations and Restrictions Applicable to Specialists and Registered Options Traders," and Rule
1000, entitled "Applicability, Definitions an References." |
Withdrawn |
No |
|
|
SR-Phlx-2018-73
Notice
& Approval
|
Proposed rule change to amend the Exchange's provisions for excluding a day from
its volume calculations for purposes of determining pricing tiers. |
Approved |
Yes |
12/21/2018 |
11/30/2018 |
SR-Phlx-2018-72
Notice
SEC
Extension
Approval
|
Proposal to establish rules governing the Give Up of a Clearing Member by a member organization on
Exchange transactions. |
Approved |
Yes |
12/17/2018 |
11/26/2018 |
SR-Phlx-2018-71
Notice
& Approval
|
A proposal to add definitions to Rule 1000, titled "Applicability, Definitions and
References," amend Rule 1090, titled "Clerks" and amend Rule 1099, titled, "Risk Protections." |
Approved |
Yes |
12/17/2018 |
11/26/2018 |
SR-Phlx-2018-70
Notice
& Approval
|
Clarify General 8 of the Exchanges Rules |
Approved |
Yes |
12/7/2018 |
11/16/2018 |
SR-Phlx-2018-69
Withdrawal
|
A proposal to add definitions to Rule 1000 titled Applicability, Definitions and
References; amend Rule 1090 titled Clerks; and amend Rule 1099 titled Risk Protections |
Replaced by SR-Phlx-2018-71 |
No |
|
|
SR-Phlx-2018-68
Notice
& Approval
|
A proposal to amend the Rule 3400 Series concerning the Order Audit Trail System to make conforming
and technical changes. |
Approved |
Yes |
12/4/2018 |
11/13/2018 |
SR-Phlx-2018-67
Notice
& Approval
|
Proposal to amend Phlx Rule 803 related to derivative securities traded under
unlisted trading privileges. |
Approved |
Yes |
12/4/2018 |
11/13/2018 |
SR-Phlx-2018-66
Notice
& Approval
|
Proposal to relocate rules from the Phlx's Pricing Schedule and current Rule 909 to the Exchange's
rulebook shell structure. |
Approved |
Yes |
11/23/2018 |
11/2/2018 |
SR-Phlx-2018-65
Withdrawal
|
Proposal to add definitions to Rule 1000, titled Applicability, Definitions and
References, amend Rule 1090, titled Clerks and amend Rule 1099, titled, Risk Protections |
Replaced by SR-Phlx-2018-69 |
No |
|
|
SR-Phlx-2018-64
Notice
& Approval
|
A proposal to amend Section (a)(i)(D) of Rule 1012, Series of Options Open for Trading, to permit
the listing and trading of up to ten expiration months for long term options on the SPDR® S&P
500® exchange-traded fund (the "SPY ETF") |
Approved |
Yes |
11/14/2018 |
10/24/2018 |
SR-Phlx-2018-63
Notice
& Approval
|
A proposal to amend Exchange Rule 1101A, Terms of Option Contracts |
Approved |
Yes |
11/30/2018 |
11/9/2018 |
SR-Phlx-2018-62
Notice
& Approval
|
A proposal to delete the current rules on arbitration ("Current Arbitration Rules"), under Rule 950,
and incorporate by reference The Nasdaq Stock Market LLC's ("Nasdaq") rules on arbitration at
General 6 ("Proposed Arbitration Rules"), into General 6 of |
Approved |
Yes |
11/20/2018 |
10/30/2018 |
SR-Phlx-2018-61
Resubmission
Notice
& Approval
|
Amendments to the Exchange's Registration, Qualification Examination and
Continuing Education Rules |
Approved |
Yes |
10/31/2018 |
10/10/2018 |
SR-Phlx-2018-60
|
A proposed rule change to permit the listing and trading of options based on 1/5 the value of the
Nasdaq-100 Index ("Nasdaq-100") on a twelve month pilot basis |
Replaced by SR-Phlx-2018-78 |
No |
|
|
SR-Phlx-2018-59
Resubmission
Notice
|
Proposal to amend Exchange Rules 1000, 1064, and 1069 to allow for the Snapshot
functionality of the Floor Based Management System to be used for all orders |
Approved |
Yes |
10/23/2018 |
10/2/2018 |
SR-Phlx-2018-58
Notice
& Approval
|
Proposal to amend Rule 1080(a)(i)(C) relating to Options Floor Based Management System in connection
with offering an interface to submit orders to the options floor. |
Approved |
Yes |
10/15/2018 |
9/24/2018 |
SR-Phlx-2018-57
Notice
& Approval
|
Proposal to move the P.M.-settled Nasdaq-100 Index Options expiring on the third
Friday of the month to the NDX index options class |
Approved |
Yes |
10/2/2018 |
9/11/2018 |
SR-Phlx-2018-56
|
Proposal to amend and reorganize the Exchange's membership, registration and qualification rules.
|
Rejected |
No |
|
|
SR-Phlx-2018-55
Notice
Approval
|
Proposal to amend Rule 1064(d) related to Anticipatory Hedging. |
Approved |
Yes |
9/6/2018 |
8/16/2018 |
SR-Phlx-2018-54
Resubmission
Notice
& Approval
|
A proposal to remove text currently contained in Rule 1080(a) and relocate and add text into that
section (a) to codify the definitions of the protocols that members can use to enter quotes and
orders on the Exchange. |
Approved |
Yes |
9/12/2018 |
8/22/2018 |
SR-Phlx-2018-53
Notice
& Approval
|
A proposal to incorporate the "PSX Last Sale and Nasdaq Last Sale Plus Data Feeds"
into the market data enterprise license proposed by the Nasdaq Stock Market LLC, which is designed
to lower fees, reduce administrative costs, and expand the availability o |
Approved |
Yes |
9/5/2018 |
8/15/2018 |
SR-Phlx-2018-52
Withdrawal
|
A proposal to incorporate PSX Last Sale and Nasdaq Last Sale Plus data feeds into the market data
enterprise license proposed by the Nasdaq Stock Market LLC |
Replaced by SR-Phlx-2018-53 |
No |
|
|
SR-Phlx-2018-51
Withdrawal
|
A proposal to incorporate PSX Last Sale and Nasdaq Last Sale Plus data feeds into
the market data enterprise license |
Replaced by SR-Phlx-2018-52 |
No |
|
|
SR-Phlx-2018-50
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through December 31, 2018 or the
date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues
("Penny Pilot" or "Pilot"), and to change the date whe |
Approved |
Yes |
7/24/2018 |
7/3/2018 |
SR-Phlx-2018-49
Resubmission
Withdrawal
|
Proposal to amend Rule 1064(d) related to Anticipatory Hedging. |
Replaced by SR-Phlx-2018-55 |
No |
|
|
SR-Phlx-2018-48
Notice
& Approval
|
Proposal to amend the firm participation guarantee for a Floor Broker under Commentary .02 to Rule
1064. |
Approved |
Yes |
7/24/2018 |
7/3/2018 |
SR-Phlx-2018-47
Notice
& Approval
|
A proposal to amend Exchange Rule 1101A, Terms of Option Contracts. |
Approved |
Yes |
7/13/2018 |
6/22/2018 |
SR-Phlx-2018-46
Notice
& Approval
|
Proposal to relocate the Exchange rules pertaining to co-location and direct connectivity to the
Exchange's new rulebook shell at new General 8, Sections 1 and 2. |
Approved |
Yes |
7/16/2018 |
6/25/2018 |
SR-Phlx-2018-45
Withdrawal
|
Proposal to amend the firm participation guarantee for a Floor Broker under
Commentary .02 to Rule 1064. |
Replaced by SR-Phlx-2018-48 |
No |
|
|
SR-Phlx-2018-44
Notice
& Approval
|
A proposal to amend Rule 1001, entitled "Position Limits", to amend position limits for options on
the SPDR® S&P 500® exchange-traded fund ("SPY ETF" or "SPY"), which list and trade under the
symbol "SPY." Terminates the SPY pilot program (allows it to e |
Approved |
Yes |
|
6/18/2018 |
SR-Phlx-2018-43
Notice
& Approval
|
Proposal to amend the descriptions of certain data feeds within Rule 1070 entitled
Data Feeds and Trade Information |
Approved |
Yes |
6/26/2018 |
6/5/2018 |
SR-Phlx-2018-42
Withdrawal
|
A proposal to relocate the Exchange's rules pertaining to co-location and direct connectivity, which
are presently at Sections X and XI of the Exchange's Pricing Schedule, to the Exchange's new
rulebook shell, entitled "General Equity and Options Rules," |
Replaced by SR-Phlx-2018-46 |
No |
|
|
SR-Phlx-2018-41
Notice
& Approval
|
Proposal to amend Rule 1095, entitled "Automated Removal of Quotes" and Rule 1099,
entitled "Order Protections." |
Approved |
Yes |
6/21/2018 |
5/31/2018 |
SR-Phlx-2018-40
Resubmission
Notice
Amendment
1
Approval
|
Proposal to change the name of the Floor Broker Management System, to require all members that
operate on the Exchange Floor to enter and submit Floor-based trades using that system, and to
extend the availability of the Snapshot functionality. |
Approved |
Yes |
|
6/4/2018 |
SR-Phlx-2018-39
Notice
& Approval
|
Proposal to amend Phlx's Pricing Schedule at Sections I and II to further reduce
costs of SPY and Complex Order Transactions |
Approved |
Yes |
6/15/2018 |
5/25/2018 |
SR-Phlx-2018-38
Resubmission 1
Resubmission 2
Resubmission 3
Withdrawal
|
Proposal to revise the Exchange's floor qualification examination by deleting obsolete questions,
changing the format of certain questions, and add several new questions. |
Replaced by Sr-Phlx-2018-79 |
No |
|
|
SR-Phlx-2018-37
Withdrawal
|
A proposal to amend Phlx's Pricing Schedule at Section I, entitled "Rebates and
Fees for Adding and Removing Liquidity in SPY," and Section II, entitled "Multiply Listed Options
Fees (Includes options overlying equities, ETFs, ETNs and indexes which are M |
Replaced by SR-Phlx-2018-39 |
No |
|
|
SR-Phlx-2018-36
Withdrawal
|
A proposal to amend Phlx's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and
Removing Liquidity in SPY," and Section II, entitled "Multiply Listed Options Fees (Includes options
overlying equities, ETFs, ETNs and indexes which are M |
Replaced by SR-Phlx-2018-37 |
No |
|
|
SR-Phlx-2018-35
Notice
& Approval 1
|
A proposal to relocate the rule text relating to zero-bid option series currently
located at Rule 1080(i) to new Rule 1035 and amend the current rule text to describe the current
operation of a zero bid series. |
Approved |
Yes |
6/5/2018 |
5/15/2018 |
SR-Phlx-2018-34
Notice
& Approval
|
A proposal to reorganize and amend the Exchange's Pricing Schedule at Section VII, B, entitled "Port
Fees." |
Approved |
Yes |
6/5/2018 |
5/15/2018 |
SR-Phlx-2018-33
Notice
& Approval
|
Proposal to memorialize the Exchange's order and execution information into Phlx
Rule 1070. |
Approved |
Yes |
6/5/2018 |
5/15/2018 |
SR-Phlx-2018-32
Notice
& Approval
|
Proposal to relocate the rule text relating to adopt a new Market Order Spread Protection. |
Approved |
Yes |
5/29/2018 |
5/7/2018 |
SR-Phlx-2018-31
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section II |
Approved |
Yes |
6/7/2018 |
5/17/2018 |
SR-Phlx-2018-30
Notice
& Approval
|
Proposal to incorporate The Nasdaq Stock Market LLC's rules at General 7, entitled "Consolidated
Audit Trail Compliance" into Phlx's General 7. |
Approved |
Yes |
|
4/26/2018 |
SR-Phlx-2018-29
Withdrawal
|
A proposal to amend the Exchange's Pricing Schedule at Section II to clarify fees
applicable to correcting "as/of" or "reversal" trades. |
Replaced by SR-Phlx-2018-31 |
No |
|
|
SR-Phlx-2018-28
Notice
& Approval
|
A proposal to amend Exchange Rule 1101A, Terms of Option Contracts, Section (b)(vii)(4) in order to
clarify trading hours of expiring Weekly Expirations and End of Month ("EOM") options on the last
trading day. |
Approved |
Yes |
|
4/12/2018 |
SR-Phlx-2018-27
Notice
& Approval
|
A proposed rule change to amend the Exchanges provisions for excluding a day from
its volume calculations for purposes of determing volume based pricing |
Approved |
Yes |
|
4/5/2018 |
SR-Phlx-2018-26
Resubmission
Notice
& Approval
|
Proposal to amend several sections of the Exchange's Pricing Schedule to harmonize its colocation,
connectivity, and direct connectivity services and fees with the rules of Nasdaq BX, Inc. |
Approved |
Yes |
|
4/13/2018 |
SR-Phlx-2018-25
Withdrawal
|
A proposed rule change to amend the Exchange's provisions for excluding a day from
its volume calculations for purposes of determining volume based pricing. |
Replaced by SR-Phlx-2018-27 |
No |
|
|
SR-Phlx-2018-24
Notice
& Approval
|
A proposal to amend Exchange Rule 1001, to increase the position limits for options on exchange
traded funds. |
Approved |
Yes |
4/18/2018 |
3/28/2018 |
SR-Phlx-2018-23
Notice
& Approval
|
A proposal to amend Rule 990 regarding the requirements for securities listed on
the exchange issued by Nasdaq, Inc. |
Approved |
Yes |
4/17/2018 |
3/27/2018 |
SR-Phlx-2018-22
Resubmission
Notice
Approval
|
A new Rule 1081, entitled Electronic Market Maker Obligations and Quoting |
Approved |
Yes |
|
4/5/2018 |
SR-Phlx-2018-21
Notice
& Approval
|
A proposal to amend the Exchange's transaction fees at Section VIII of Phlx's
Pricing Schedule |
Approved |
Yes |
4/9/2018 |
3/19/2018 |
SR-Phlx-2018-20
Notice
Approval
|
A proposal to amend Rule 1079, FLEX Index, Equity and Currency Options and Rule 1059, Accommodation
Transactions. |
Approved |
Yes |
|
3/19/2018 |
SR-Phlx-2018-19
Notice
& Approval
|
Proposal to relocate the data feeds currently located at Rule 1000(b)45(C)(i)
through (iv) to Rule 1070, which is currently reserved, and entitle it "Data Feeds." |
Approved |
Yes |
3/30/2018 |
3/9/2018 |
SR-Phlx-2018-18
|
A proposal to change the name of the Floor Broker Management System |
Rejected |
No |
|
|
SR-Phlx-2018-17
Notice
& Approval
|
A proposal to amend Section VI.A. of the Exchange's Pricing Schedule to clarify
the Exchange's billing practices with respect to permit fees when a member organization must
transfer a permit due to the fact that the individual who is designated as the per |
Approved |
Yes |
3/20/2018 |
2/27/2018 |
SR-Phlx-2018-16
Notice
& Approval
|
A proposal to delete Rule 1082(a)(ii)(B)(2), which is obsolete, because the Phlx XL system no longer
operates. |
Approved |
Yes |
3/22/2018 |
3/1/2018 |
SR-Phlx-2018-15
Notice
& Approval
|
Proposal to amend Rule 1092, Nullification and Adjustment of Options Transactions
including Obvious Errors, by deleting a cross-reference to Rule 124(d). |
Approved |
Yes |
3/6/2018 |
2/13/2018 |
SR-Phlx-2018-14
Resubmission
Amendment
1
Notice
Amendment
2
Amendment 3
Approval
|
A proposal to adopt new order type protections, Butterfly and Box Spread protections, for Complex
Order strategy trades. |
Approved |
Yes |
|
3/1/2018 |
SR-Phlx-2018-13
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule to exclude A.M. and P.M.-settled
options on broad-based indexes with nonstandard expiration dates from its pricing for Strategy Caps
and for FLEX transactions. |
Approved |
Yes |
3/6/2018 |
2/13/2018 |
SR-Phlx-2018-12
Notice
& Approval
|
Proposal to relocate Execution Protections currently located at Phlx Rule 1080(p) to new Phlx Rule
1099 and entitle the rule "Order Protections." |
Approved |
Yes |
2/27/2018 |
2/6/2018 |
SR-Phlx-2018-11
Notice
& Approval
|
A proposal to relocate the Consolidated Audit Trail Compliance rules ("CAT
Rules"), Rules 900A through 996A, to General 7, Sections 1 through 13 in the Exchange's rulebook's
("Rulebook") shell structure |
Approved |
Yes |
2/23/2018 |
2/2/2018 |
SR-Phlx-2018-10
Notice
& Approval
|
A proposal to modify the fee schedule for PSX TotalView to reflect substantial enhancements to the
product since the current fees were set in 2010 |
Approved |
Yes |
2/20/2018 |
1/29/2018 |
SR-Phlx-2018-09
|
Proposal to relocate and amend Rule 1080(l), entitled "Directed Orders" to new
Rule 1068 with the same title. The Exchange is also proposing to amend Rule 1000(b) to add various
definitions. The Exchange will also update cross references to Rule 1080(l) t |
Approved |
No |
|
|
SR-Phlx-2018-08
Notice
& Approval
|
Proposal to amend the Exchange's fee schedule at Chapter IX (Proprietary Data Feed Fees) to change
the Internal Distributor fee for Top of PHLX Options Plus Orders to reflect substantial enhancements
to the product since the current Distributor fees were |
Approved |
Yes |
2/9/2018 |
1/19/2018 |
SR-Phlx-2018-07
Resubmission
Withdrawal
|
A proposal to amend Rule 1079, FLEX Index, Equity and Currency Options. |
Replaced by SR-Phlx-2018-20 |
No |
|
|
SR-Phlx-2018-06
Notice
& Approval
|
Proposal to relocate Rule 1080(n), make conforming cross-reference changes and minor corrections
throughout the Exchange's rulebook. |
Approved |
Yes |
2/12/2018 |
1/22/2018 |
SR-Phlx-2018-05
Notice
& Approval
|
A proposal to amend a cross-reference in Rule 1017, entitled "Openings in
Options." |
Approved |
Yes |
2/6/2018 |
1/16/2018 |
SR-Phlx-2018-04
Withdrawal
|
Proposal to amend Section VIII of the Exchange's Pricing Schedule, Nasdaq PSX Fees, to modify the
fee schedule for PSX TotalView to reflect substantial enhancements to the product since the current
fees were set in 2010. |
Replaced by SR-PHLX-2018-10 |
No |
|
|
SR-Phlx-2018-03
Resubmission 1
Resubmission 2
Notice
& Approval
|
Proposal to add a new Rule 3215 to authorize the Exchange to share PSX
Participant-designated risk settings in PSX, the Exchange's trading system, with the clearing member
that clears transactions on behalf of the PSX Participant. |
Approved |
Yes |
2/16/2018 |
1/26/2018 |
SR-Phlx-2018-02
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule to add pricing for p.m.-settled options on
broad-based indexes |
Approved |
Yes |
2/9/2018 |
1/19/2018 |
SR-Phlx-2018-01
Withdrawal
|
A proposal to amend the Exchange's Pricing Schedule to add pricing for
p.m.-settled options on broad-based indexes |
Replaced by SR-Phlx-2018-02 |
No |
|
|
rulebook-rulefilings-phlx-2017
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2017-110
Withdrawal
|
Proposal to amend the Exchange's fee schedule at Chapter IX (Proprietary Data Feed Fees) to change
the Internal Distributor fee for Top of PHLX Options Plus Orders to reflect substantial enhancements
to the product since the current Distributor fees were |
Replaced by SR-Phlx-2018-08 |
No |
|
|
SR-Phlx-2017-109
|
Proposal to relocate Execution Protections currently located at Phlx Rule 1080(p)
to new Phlx Rule 1099 and entitle the rule "Order Protections." |
Replaced by SR-Phlx-2018-12 |
No |
|
|
SR-Phlx-2017-108
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule |
Approved |
Yes |
1/30/2018 |
1/9/2018 |
SR-Phlx-2017-107
Withdrawal
|
Proposal to relocate Execution Protections currently located at Phlx Rule 1080(p)
to new Phlx Rule 1099 and entitle the rule "Order Protections." |
Replaced by SR-Phlx-2017-109 |
No |
|
|
SR-Phlx-2017-106
Withdrawal
|
TotalView Non-Display Fee January Price Change |
Replaced by SR-Phlx-2018-04 |
No |
|
|
SR-Phlx-2017-105
|
Proposal to relocate Rule 1080(n), make conforming cross-reference changes and
minor corrections throughout the Exchange's rulebook. |
Rejected |
No |
|
|
SR-Phlx-2017-104
Notice
& Approval
|
Proposed Rule Change to Extend the Penny Pilot Program |
Approved |
Yes |
1/17/2018 |
12/27/2017 |
SR-Phlx-2017-103
Notice
Approval
|
Proposal to expand the Short Term Option Series Program to allow Monday
expirations for options listed pursuant to the Short Term Option Series Program, including options
on the SPDR S&P 500 ETF Trust. |
Approved |
Yes |
1/16/2018 |
12/26/2017 |
SR-Phlx-2017-102
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule to exclude options overlying NDX from several
pricing programs. |
Approved |
Yes |
1/4/2018 |
12/14/2017 |
SR-Phlx-2017-101
Notice
& Approval
|
Proposal to amend Rule 1017 to specify the obligations of a Specialist when
entering Valid Width Quotes during the Opening Process. |
Approved |
Yes |
1/10/2018 |
12/20/2017 |
SR-Phlx-2017-100
Notice
& Approval
|
A proposal to amend the Exchange connectivity fees at Chapter VIII of the Phlx Pricing Schedule to
provide a waiver of all connectivity fees to new PSX Participants for a limited time. |
Approved |
Yes |
1/9/2018 |
12/19/2017 |
SR-Phlx-2017-99
Notice
Approval
|
A proposal to amend the Exchange's rules to make permanent a pilot program that
allows transactions to take place in open outcry trading ("Cabinet Trading Below $1.00 Per contract
pilot"). |
Approved |
Yes |
1/4/2018 |
12/14/2017 |
SR-Phlx-2017-98
Withdrawal
|
A proposal to amend the Exchange's 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
("Cabinet Trading Below $1.00 Per contract"). |
Replaced by SR-Phlx-2017-99 |
No |
|
|
SR-Phlx-2017-97
Notice
& Approval
|
Proposal to amend the structure of the Phlx rulebook. |
Approved |
Yes |
12/26/2017 |
12/5/2017 |
SR-Phlx-2017-96
Resubmission
Notice
& Approval
|
A proposal to amend Section (a)(i)(D) of Rule 1012, Series of Options Open for Trading, to delete
two sentences regarding opening for trading of long term option series, which sentences have
effectively been superseded by another rule. |
Approved |
Yes |
12/26/2017 |
12/5/2017 |
SR-Phlx-2017-95
Resubmission
Notice
& Approval
|
A proposed rule change to clarify the purposes for which Nasdaq PSX uses
securities information processor data pursuant to Rule 3304. |
Approved |
Yes |
1/2/2018 |
12/11/2017 |
SR-Phlx-2017-94
|
A new Rule 1081, entitled "Electronic Market Maker Obligations and Quoting" to amend electronic
quoting obligations for market makers . |
Replaced by SR-Phlx-2018-22 |
No |
|
|
SR-Phlx-2017-93
Notice
& Approval
|
Proposed rule change to amend Rule 1080 |
Approved |
Yes |
11/30/2017 |
11/9/2017 |
SR-Phlx-2017-92
Resubmission
Notice
& Approval
|
Proposed rule change to adopt an investigatory and disciplinary process identical in all material
respects to the investigatory and disciplinary processes of Nasdaq BX, Inc. and The Nasdaq Stock
Market LLC. |
Approved |
Yes |
12/20/2017 |
11/29/2017 |
SR-Phlx-2017-91
Notice
& Approval
|
A proposal to amend the Exchanges Pricing Schedule Multiply Options Fees |
Approved |
Yes |
12/4/2017 |
11/13/2017 |
SR-Phlx-2017-90
Notice
& Approval
|
A proposal to amend Section VIII (Nasdaq PSX Fees) of the Exchange's Pricing Schedule to decrease
both the amount of and the Consolidated Volume necessary to qualify for the credit that the Exchange
pays to member organizations for displayed quotes and or |
Approved |
Yes |
12/11/2017 |
11/20/2017 |
SR-Phlx-2017-89
Notice
& Approval
|
A proposal 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. |
Approved |
Yes |
12/6/2017 |
11/15/2017 |
SR-Phlx-2017-88
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section IV, entitled "Other Transaction Fees.
|
Approved |
Yes |
11/30/2017 |
11/9/2017 |
SR-Phlx-2017-87
Notice
& Approval
|
The Exchange proposes to amend Rule 1059, Accommodation Transactions, which
provides for cabinet trading and is sometimes referred to as the "cabinet rule," to delete outdated
language in Rule 1059(a) relating to the role of specialists in cabinet trading |
Approved |
Yes |
12/7/2017 |
11/16/2017 |
SR-Phlx-2017-86
Withdrawal
|
The Exchange proposes to amend Rule 1059, Accommodation Transactions, which provides for cabinet
trading and is sometimes referred to as the "cabinet rule," to delete outdated language in Rule
1059(a) relating to the role of specialists in cabinet trading |
Replaced by SR-Phlx-2017-87 |
No |
|
|
SR-Phlx-2017-85
Notice
& Approval
|
Proposal to amend Rule 1080(n) related to Phlx's Price Improvement XL auction.
|
Approved |
Yes |
11/29/2017 |
11/8/2017 |
SR-Phlx-2017-84
Notice
& Approval
|
A proposal to amend and conform Sections VIII and XIII of the Exchange's Pricing Schedule, to define
key terms; to clarify the rule language; to clarify its application to Extranet Providers, Members,
and Non-members in various contexts; and to make confo |
Approved |
Yes |
12/6/2017 |
11/15/2017 |
SR-Phlx-2017-83
Notice
& Approval
|
Proposal to amend the Exchange's rules as well as certain of its corporate
documents to reflect legal name changes. |
Approved |
Yes |
11/20/2017 |
10/30/2017 |
SR-Phlx-2017-82
Resubmission
Withdrawal
|
Proposal to amend Exchange rules as well as certain corporate documents of the Exchange to reflect
legal name changes. |
Replaced by SR-Phlx-2017-83 |
No |
|
|
SR-Phlx-2017-81
Withdrawal
|
Proposal to amend the Exchange's rules to make permanent a pilot program ("Cabinet
Trading") that allows transactions to take place in open outcry trading. |
Replaced by SR-Phlx-2017-98 |
No |
|
|
SR-Phlx-2017-80
Withdrawal
|
Proposal to amend and conform Sections VIII and Section XIII of the Exchange's Pricing Schedule, to
define key terms; to clarify the rule language; and to clarify its application to Extranet
Providers, Members, and Non-members in various contexts. |
Replaced by SR-Phlx-2017-84 |
No |
|
|
SR-Phlx-2017-79
Amendment
1
Notice
Amendment
2
Approval
|
A proposal 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. |
Approved |
Yes |
11/24/2017 |
11/2/2017 |
SR-Phlx-2017-78
Notice
& Approval
|
Proposal to amend the Exchange's transaction fees at Section VIII of the NASDAQ PHLX LLC Pricing
Schedule to decrease the level of Consolidated Volume required to qualify for a $0.0031 per share
executed credit and make related changes. |
Approved |
Yes |
11/8/2017 |
10/18/2017 |
SR-Phlx-2017-77
Withdrawal
|
Proposal to amend and conform Sections VIII and Section XIII of the Exchange's
Pricing Schedule, to define key terms; to clarify the rule language; and to clarify its application
to Extranet Providers, Members, and Non-members in various contexts. |
Replaced by SR-Phlx-2017-80 |
No |
|
|
SR-Phlx-2017-76
Withdrawal
|
Proposal to amend and conform Sections VIII and Section XIII of the Exchange's Pricing Schedule, to
define key terms; to clarify the rule language; and to clarify its application to Extranet
Providers, Members, and Non-members in various contexts. |
Replaced by SR-Phlx-2017-77 |
No |
|
|
SR-Phlx-2017-75
Notice
Approval
|
Proposal to amend Commentary .01 to Rule 1009 to modify the criteria for listing
an option on an underlying covered security. |
Approved |
Yes |
11/1/2017 |
10/11/2017 |
SR-Phlx-2017-74
Resubmission
Notice
SEC
Extension
Withdrawal
Notice of Withdrawal
|
Proposal to introduce the Intellicator Analytic Tool, a new market data product designed to analyze
options market transactions and synthesize that analysis to assist investors in assessing the
equities underlying those transactions. |
Withdrawn |
Yes |
10/25/2017 |
10/4/2017 |
SR-Phlx-2017-73
Withdrawal
|
Proposal to amend Commentary .01 to Rule 1009 to modify the criteria for listing
an option on an underlying covered security. |
Replaced by SR-Phlx-2017-75 |
No |
|
|
SR-Phlx-2017-72
Notice
& Approval
|
A proposal to add a missing letter into Section IV, Part D of the Pricing Schedule. |
Approved |
Yes |
10/10/2017 |
9/18/2017 |
SR-Phlx-2017-71
Notice
& Approval
|
A proposal to amend PHLX Rules 431, 432, and 825 to conform them to SEA Rule
15c6-1(a) to shorten the standard settlement cycle for most broker-dealer transactions. |
Approved |
Yes |
9/27/2017 |
9/6/2017 |
SR-Phlx-2017-70
|
Amendment to Rules 1059, Accommodation Transactions, and 1079 FLEX Index, Equity and Currency
Options. |
Replaced by SR-Phlx-2018-07 |
No |
|
|
SR-Phlx-2017-69
Resubmission 1
Resubmission 2
|
Proposal to amend Phlx Rule 1017, entitled "Openings in Options." |
Approved |
No |
|
|
SR-Phlx-2017-68
Notice
& Approval
|
A proposal to (i) amend Rule 925 to create a limited exception to the Exchange existing procedures
and (ii) make a nonsubstantive change to its Pricing Schedule related to the fees assessed. |
Approved |
Yes |
9/11/2017 |
8/21/2017 |
SR-Phlx-2017-67
Notice
Approval
|
Proposal to amend Commentary .01 of Rule 1014, Obligations and Restrictions
Applicable to Specialists and Registered Options Traders, to change quarterly trading requirements
applicable to Registered Options Traders. |
Approved |
Yes |
9/12/2017 |
8/22/2017 |
SR-Phlx-2017-66
Notice
& Approval
|
Proposal to amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious
Errors. |
Approved |
Yes |
9/5/2017 |
8/14/2017 |
SR-Phlx-2017-65
Notice
& Approval
|
A proposed rule change to further clarify when Nasdaq PSX will utilize the
Secondary Source of data pursuant to Rule 3304. |
Approved |
Yes |
9/7/2017 |
8/17/2017 |
SR-Phlx-2017-64
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for
Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend
pricing related to PIXL executions. |
Approved |
Yes |
9/6/2017 |
8/16/2017 |
SR-Phlx-2017-63
Notice
& Approval
|
A proposal to amend Chapter VI, Section A of its Pricing Schedule relating to the
Exchange's monthly permit fees for PSX only members. |
Approved |
Yes |
9/6/2017 |
8/16/2017 |
SR-Phlx-2017-62
Withdrawal
|
Intellicator Analytic Tool |
Replaced by SR-Phlx-2017-74 |
No |
|
|
SR-Phlx-2017-61
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule to: (i) increase the Options
Transaction Charge for Specialists and Market Makers who engage in NDX transactions on the Exchange
Floor; (ii) exclude NDX transactions from the Exchange's Monthly Firm Fee Ca |
Approved |
Yes |
9/5/2017 |
8/15/2017 |
SR-Phlx-2017-60
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for
Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend
pricing related to PIXL executions. |
Replaced by SR-PHLX-2017-64 |
No |
|
|
SR-Phlx-2017-59
Withdrawal
|
A proposal to amend Rule 1092, Nullification and Adjustment of Options
Transactions including Obvious Errors. |
Replaced by SR-Phlx-2017-66 |
No |
|
|
SR-Phlx-2017-58
Withdrawal
|
Proposed rule change to further clarify when Nasdaq PSX will utilize the Secondary Source of data
pursuant to Rule 3304. |
Replaced by SR-Phlx-2017-65 |
No |
|
|
SR-Phlx-2017-57
Notice
& Approval
|
Proposal to amend Rule 1012, entitled Series of Options Open for Trading. |
Approved |
Yes |
8/23/2017 |
8/2/2017 |
SR-Phlx-2017-56
Resubmission
Notice
Approval
|
A proposal to amend Rule 1027, Discretionary Accounts, to conform it more closely to a comparable
rule of the Chicago Board Options Exchange. |
Approved |
Yes |
8/25/2017 |
8/4/2017 |
SR-Phlx-2017-55
Resubmission 1
Resubmission 2
Notice
Approval
|
Proposal to amend Rules 1024, Conduct of Accounts for Options Trading, and 1025,
Supervision of Accounts. |
Approved |
Yes |
10/13/2017 |
9/22/2017 |
SR-Phlx-2017-54
Resubmission
Notice
& Approval
|
Proposal to revise Section IV, Part D of the Pricing Schedule to more closely reflect the manner in
which Phlx assesses and collects its Options Regulatory Fee. |
Approved |
Yes |
9/5/2017 |
8/14/2017 |
SR-Phlx-2017-53
Notice
& Approval
|
A proposal to amend Nasdaq Phlx Rules Section IX to make a sample of PHLX Options
Trade Outline ("PHOTO") Historical Data for the period January 1 through June 30, 2014, available
free of charge; current charges will continue to be assessed for PHOTO Hist |
Approved |
Yes |
8/7/2017 |
7/17/2017 |
SR-Phlx-2017-52
Resubmission
Notice
& Approval
|
Proposal to extend for another twelve (12) month time period the pilot program to eliminate position
limits for options on the SPDR® S&P 500® exchange-traded fund, which list and trade under the
symbol SPY. |
Approved |
Yes |
8/3/2017 |
7/13/2017 |
SR-Phlx-2017-51
Withdrawal
|
A proposal to amend Phlx Rule 1017, entitled "Openings in Options." |
Replaced by SR-Phlx-2017-69 |
No |
|
|
SR-Phlx-2017-50
|
Proposal to amend Commentary .01 of Rule 1014, Obligations and Restrictions Applicable to
Specialists and Registered Options Traders, to change quarterly trading requirements applicable to
Registered Options Traders. |
Replaced by SR-Phlx-2017-67 |
No |
|
|
SR-Phlx-2017-49
Notice
& Approval
|
Proposal to amend Rule 1029, Delivery of Options Disclosure Documents. |
Approved |
Yes |
7/28/2017 |
7/7/2017 |
SR-Phlx-2017-48
Resubmission
Notice
& Approval
|
Proposal to amend Phlx Rule 1082 regarding quote mitigation. |
Approved |
Yes |
8/7/2017 |
7/17/2017 |
SR-Phlx-2017-47
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to adopt Rule 996A (Consolidated Audit Trail - Fee Dispute Resolution) to
establish the procedures for resolving potential disputes related to CAT Fees charged to Industry
Members. |
Approved |
Yes |
7/14/2017 |
6/23/2017 |
SR-Phlx-2017-46
Withdrawal
|
Proposal to amend Commentary .01 of Rule 1014, Obligations and Restrictions Applicable to
Specialists and Registered Options Traders, to change quarterly trading requirements applicable to
Registered Options Traders. |
Replaced by SR-Phlx-2017-50 |
No |
|
|
SR-Phlx-2017-45
Resubmission
|
Proposal to reserve Rule 1014(g)(vii) and (viii), which describes the allocation
of automatically executed trades, and adopt a new Rule 1089 and title that rule "Execution Priority
and Processing in the System." |
Rejected |
No |
|
|
SR-Phlx-2017-44
Notice
& Approval
|
Proposal to amend the Exchange's transaction fees at Section VIII (NASDAQ PSX Fees). |
Approved |
Yes |
7/11/2017 |
6/20/2017 |
SR-Phlx-2017-43
Notice
Amendment
1
SEC Extension 1
Amendment
2
OIP
SEC
Extension 2
Withdrawal
Notice of Withdrawal
|
Proposal to amend the Rule 3400 series relating to the Order Audit Trail System,
Rule 785 relating to Electronic Blue Sheets, Rule 1022 relating to account identification, and Rule
1063 and Option Floor Procedure Advices and Order and Decorum Regulations |
Withdrawn |
Yes |
6/26/2017 |
6/5/2017 |
SR-Phlx-2017-42
Withdrawal
|
A proposal to amend Rule 1092, Nullification and Adjustment of Options Transactions including
Obvious Errors |
Replaced by SR-PHLX-2017-59 |
No |
|
|
SR-Phlx-2017-41
Notice
& Approval
|
A proposal to amend Rule 1012, Series of Options Open for Trading, with respect to
long term options. |
Approved |
Yes |
6/22/2017 |
6/1/2017 |
SR-Phlx-2017-40
Notice
& Approval
|
Proposal to amend Rule 1017, Openings in Options, to conform this rule to recently filed Nasdaq ISE,
LLC Rule 701. |
Approved |
Yes |
6/27/2017 |
6/6/2017 |
SR-Phlx-2017-39
Resubmission 1
Resubmission 2
Notice
& Approval
|
A proposed rule change to update and modernize Rule 1049, to be retitled Options
Communications. |
Approved |
Yes |
7/14/2017 |
6/23/2017 |
SR-Phlx-2017-38
Withdrawal
|
Proposal to amend Exchange Rule 3400 series relating to the Order Audit Trail System, Rule 785
relating to Electronic Blue Sheets, and Rule 1063 and Option Floor Procedure Advices and Order and
Decorum Regulations C-2 relating to the Consolidated Options |
Replaced by SR-Phlx-2017-43 |
No |
|
|
SR-Phlx-2017-37
Notice
& Approval
Suspension
Amendment
1
SEC Extension
Amendment
2
Notice
Withdrawal
Notice of Withdrawal
|
Proposal to adopt a fee schedule to establish the fees for Industry Members
related to the National Market System Plan Governing the Consolidated Audit Trail at Section XIV of
the Phlx Pricing Schedule. |
Withdrawn |
Yes |
1/4/2018 |
12/14/2017 |
SR-Phlx-2017-36
Notice
& Approval
|
Proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through December 31, 2017 or the
date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain
issues. |
Approved |
Yes |
6/21/2017 |
5/31/2017 |
SR-Phlx-2017-35
Withdrawal
|
Proposal to adopt a fee schedule to establish the fees for Industry Members
related to the National Market System Plan Governing the Consolidated Audit Trail at Section XIV of
the Phlx Pricing Schedule. |
Replaced by SR-Phlx-2017-37 |
No |
|
|
SR-Phlx-2017-34
Resubmission 1
Resubmission 2
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to amend Exchange Rule 1063 to add functionality to the Options Floor Broker Management
System, the electronic system through which Exchange Floor Brokers transmit orders to the Exchange's
trading system. |
Approved |
Yes |
8/22/2017 |
8/1/2017 |
SR-Phlx-2017-33
Notice
& Approval
|
Proposal to amend Rule 3317 to modify the date of Appendix B website data
publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program |
Approved |
Yes |
6/7/2017 |
5/17/2017 |
SR-Phlx-2017-32
Notice
& Approval
|
Proposal to amend Rule 1002 of the Exchange Rules to make it consistent with the rules of its sister
exchange, Nasdaq ISE, LLC. |
Approved |
Yes |
5/18/2017 |
4/27/2017 |
SR-Phlx-2017-31
Notice
& Approval
|
Proposal to amend the Exchange's transaction fees at Section VIII (NASDAQ PSX
Fees) to provide an additional credit tier for displayed quotes and orders on NASDAQ PSX in
securities that are listed on exchanges other than The NASDAQ Stock Market LLC or New |
Approved |
Yes |
5/16/2017 |
4/25/2017 |
SR-Phlx-2017-30
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule at Section B, entitled "Customer Rebate Program,"
Section II, entitled "Multiply Listed Options Fees," and Section IV, Part B entitled "FLEX
Transaction Fees" to remove references to MNX. |
Approved |
Yes |
5/12/2017 |
4/21/2017 |
SR-Phlx-2017-29
Notice
& Approval
|
Proposal to amend Section B of the Exchange's Pricing Schedule to create a new
Category D and make other amendments to this section; and amend Section II of the Exchange's Pricing
Schedule entitled "Multiply Listed Options Fees," to assess a surcharge re |
Approved |
Yes |
5/12/2017 |
4/21/2017 |
SR-Phlx-2017-28
Withdrawal
|
Proposal to amend the Exchange's transaction fees at Section VIII, to provide an additional credit
tier for displayed quotes and orders on NASDAQ PSX in securities that are listed on exchanges other
than NASDAQ or NYSE. |
Replaced by SR-Phlx-2017-31 |
No |
|
|
SR-Phlx-2017-27
Notice
& Approval
|
Proposal to amend Rule 1092, entitled "Nullification and Adjustment of Options
Transactions including Obvious Errors," by adding a new Commentary .04. |
Approved |
Yes |
5/8/2017 |
4/17/2017 |
SR-Phlx-2017-26
Withdrawal
|
A proposal to amend Rule 1012, Series of Options Open for Trading, with respect to long term options
and strike price intervals for Quarterly Options Series. |
Withdrawn |
No |
|
|
SR-Phlx-2017-25
Resubmission
Notice
& Approval
|
A proposal to amend the PHLX Pricing Schedule at Section VII(A), entitled "Option
Trading Floor Fees," to establish fees for housing on the premises of the Exchange and for
connecting servers and telecommunications equipment of members, member organizatio |
Approved |
Yes |
4/20/2017 |
3/30/2017 |
SR-Phlx-2017-24
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options
Fees," to amend pricing related to options overlying NDX and MNX. |
Approved |
Yes |
4/10/2017 |
3/20/2017 |
SR-Phlx-2017-23
Notice
& Approval
|
A proposal to amend the addresses for Phlx and its shareholder, Nasdaq, Inc. |
Approved |
Yes |
4/10/2017 |
3/20/2017 |
SR-Phlx-2017-22
Notice
& Approval
|
A proposal to amend Rule 3317 to modify the date of Appendix B website data publication pursuant to
the Regulation NMS Plan to Implement a Tick Size Pilot Program. |
Approved |
Yes |
4/7/2017 |
3/17/2017 |
SR-Phlx-2017-21
Withdrawal
|
FILED IN ERROR AND IMMEDIATELY WITHDRAWN. Proposal to amend the Exchange Pricing
Schedule, Section II, to increase the maximum Qualified Contingent Cross orders rebate which will be
paid in a given month |
Withdrawn |
No |
|
|
SR-Phlx-2017-20
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule at Section II, relating to options overlying NDX
and MNX. |
Replaced by SR-Phlx-2017-24 |
No |
|
|
SR-Phlx-2017-19
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule, Section II, to increase the
maximum Qualified Contingent Cross orders rebate which will be paid in a given month. |
Approved |
Yes |
3/27/2017 |
3/6/2017 |
SR-Phlx-2017-18
Notice
& Approval
|
Proposal to amend Port Fees in Chapter VII at Part B to indicate those fees are not prorated. |
Approved |
Yes |
3/31/2017 |
3/10/2017 |
SR-Phlx-2017-17
|
A proposal to amend Section VIII of the Phlx Pricing Schedule (PSX Last Sale and
NASDAQ Last Sale Plus Data Feeds) to clarify the framework for sale of the data contained in the
Nasdaq Last Sale Plus data feed to Professional Subscribers. |
Rejected |
No |
|
|
SR-Phlx-2017-16
Notice
& Approval
|
Proposal to amend Rule 1014 of the Options Rules relating to Market Maker Quotations. |
Approved |
Yes |
3/23/2017 |
3/2/2017 |
SR-Phlx-2017-15
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates
and Fees for Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing"
to amend pricing related to PIXL executions. |
Approved |
Yes |
3/17/2017 |
2/24/2017 |
SR-Phlx-2017-14
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for
Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend
pricing related to PIXL executions. |
Replaced by SR-Phlx-2017-15 |
No |
|
|
SR-Phlx-2017-13
Notice
& Approval
|
Proposal to amend the Exchange's subsidy program, the Market Access and Routing
Subsidy, for Phlx members that provide certain order routing functionalities to other Phlx members
and/or use such functionalities themselves. |
Approved |
Yes |
3/9/2017 |
2/16/2017 |
SR-Phlx-2017-12
Withdrawal
|
Proposal to amend Rule 1002 of the Exchange rules, to make it consistent with the rules of PHLX
sister exchange, the International Securities Exchange, with respect to exercise limits. |
Replaced by SR-Phlx-2017-32 |
No |
|
|
SR-Phlx-2017-11
Withdrawal
|
Proposal to amend Rule 1002 of the Exchange's rules, to make it consistent with
the rules of PHLX's sister exchange, the International Securities Exchange, with respect to exercise
limits. |
Replaced by SR-Phlx-2017-12 |
No |
|
|
SR-Phlx-2017-10
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for
Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend
pricing related to PIXL executions. |
Replaced by SR-Phlx-2017-14 |
No |
|
|
SR-Phlx-2017-09
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates
and Fees for Adding and Removing Liquidity in SPY," and Section II, entitled "Multiply Listed
Options Fees" to amend various transaction fees and rebates. |
Approved |
Yes |
3/9/2017 |
2/16/2017 |
SR-Phlx-2017-08
Withdrawal
|
Amendments to the Market Access and Routing Subsidy. |
Replaced by SR-Phlx-2017-13 |
No |
|
|
SR-Phlx-2017-07
Notice
Amendment
1
Approval
|
Proposal to adopt the Rule 900A Series to implement the compliance rule regarding
the National Market System Plan Governing the Consolidated Audit Trail. |
Approved |
Yes |
3/1/2017 |
2/8/2017 |
SR-Phlx-2017-06
Withdrawal
|
FILED IN ERROR AND IMMEDIATELY WITHDRAWN. A proposal to adopt the Rule 900A Series to implement the
compliance rule regarding the National Market System Plan Governing the Consolidated Audit Trail.
|
Withdrawn |
No |
|
|
SR-Phlx-2017-05
Notice
& Approval
|
Proposal to correct a typographical error in Phlx Rule 754. |
Approved |
Yes |
2/27/2017 |
2/6/2017 |
SR-Phlx-2017-04
Resubmission
Notice
SEC
Extension
Amendment 1
OIP
Amendment
2
Approval
|
A proposed rule change to permit the listing and trading of P.M.-settled NASDAQ-100 Index® options
on a pilot basis. |
Approved |
Yes |
2/24/2017 |
2/3/2017 |
SR-Phlx-2017-03
Withdrawal
|
A proposal to adopt the Rule 900A Series to implement the compliance rule
regarding the National Market System Plan Governing the Consolidated Audit Trail. |
Replaced by SR-Phlx-2017-07 |
No |
|
|
SR-Phlx-2017-02
Notice
& Approval
|
Proposal to make adjustments to the Exchange's Options Regulatory Fee by amending Section IV, Part
D, of the Pricing Schedule. |
Approved |
Yes |
2/2/2017 |
1/12/2017 |
SR-Phlx-2017-01
Notice
& Approval
|
A proposed rule change to extend the Cabinet Trading pilot program in Phlx Rule
1059, Accommodation Transactions. |
Approved |
Yes |
2/9/2017 |
1/19/2017 |
rulebook-rulefilings-phlx-2016
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2016-127
|
A proposal to amend Rules 1024, Conduct of Accounts for Options Trading; 1025, Supervision of
Accounts; 1027, Discretionary Accounts; 1029, Delivery of Options Disclosure Documents; and 1049,
Communications to Customers. |
Rejected |
No |
|
|
SR-Phlx-2016-126
Withdrawal
|
Proposal to make adjustments to its Options Regulatory Fee by amending Section IV,
Part D, of the Pricing Schedule. |
Replaced by SR-Phlx-2017-02 |
No |
|
|
SR-Phlx-2016-125
|
A proposal to reserve Rule 1014(g)(vii) and (viii), which describes the allocation of automatically
executed trades, and adopt a new Rule 1089. |
Replaced by SR-Phlx-2017-45 |
No |
|
|
SR-Phlx-2016-124
Resubmission
Notice
& Approval
|
A proposal to delay the implementation of the Limit Order Protection (LOP) for
members accessing PSX. |
Approved |
Yes |
1/18/2017 |
12/28/2016 |
SR-Phlx-2016-123
|
A proposal to correct a typographical error. |
Replaced by SR-Phlx-2017-05 |
No |
|
|
SR-Phlx-2016-122
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule to change the billing cycle for
administrative fees paid by distributors of the Exchange's market data from annual to monthly. |
Approved |
Yes |
1/19/2017 |
12/29/2016 |
SR-Phlx-2016-121
Notice
& Approval
|
A proposal to amend Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot)
relating to the handling to certain Order Types in Test Group Three Pilot Securities. The Exchange
also proposes to delete Commentary .14, which addresses t |
Approved |
Yes |
1/17/2017 |
12/27/2016 |
SR-Phlx-2016-120
Amendment
1
Notice
Approval
|
Proposed rule change to permit Phlx to accept inbound options orders routed by
Nasdaq Execution Services LLC from the ISE Exchanges. |
Approved |
Yes |
1/19/2017 |
12/29/2016 |
SR-Phlx-2016-119
Amendment
1
Notice
Approval
|
A proposal to make permanent the PIXL Pilot in Phlx Rule 1080(n). |
Approved |
Yes |
1/12/2017 |
12/22/2016 |
SR-Phlx-2016-118
Notice
& Approval
|
A proposal to amend Phlx Rule 3317 to modify the web site data publication
requirements relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program. |
Approved |
Yes |
1/10/2017 |
12/20/2016 |
SR-Phlx-2016-117
Withdrawal
|
A proposal to make permanent certain pilots within Rule 1080(n) "Price Improvement XL" ("PIXL"). In
addition, Phlx proposes to modify the requirements for PIXL auctions involving less than 50
contracts (other than auctions involving Complex Orders) where |
Replaced by SR-Phlx-2016-119 |
No |
|
|
SR-Phlx-2016-116
Notice
& Approval
|
A proposal to amend the allocation of Directed Orders as it relates to Complex
Orders. |
Approved |
Yes |
12/20/2016 |
11/29/2016 |
SR-Phlx-2016-115
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30, 2017 or the date
of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues, and
to change the date when delisted classes may be repla |
Approved |
Yes |
12/27/2016 |
12/5/2016 |
SR-Phlx-2016-114
Notice
& Approval
|
A proposal to amend Commentary .14 to Rule 3317 (Compliance with Regulation NMS
Plan to Implement a Tick Size Pilot). |
Approved |
Yes |
12/23/2016 |
12/2/2016 |
SR-Phlx-2016-113
Resubmission
Notice
& Approval
|
A proposal to delay implementation of the Limit Order Protection or "LOP" for members accessing PSX.
|
Approved |
Yes |
12/13/2016 |
11/22/2016 |
SR-Phlx-2016-112
|
Proposal to make minor typographical amendments to Rules 749 and 751 of the Phlx
rules. |
Rejected |
No |
|
|
SR-Phlx-2016-111
|
A proposal to amend the Exchange's connectivity fees at Chapter VIII of the NASDAQ PHLX LLC Pricing
Schedule. |
Rejected |
No |
|
|
SR-Phlx-2016-110
Notice
& Approval
|
A proposal to amend Commentary .14 to Rule 3317 (Compliance with Regulation NMS
Plan to Implement a Tick Size Pilot). |
Approved |
Yes |
12/6/2016 |
11/15/2016 |
SR-Phlx-2016-109
Notice
& Approval
|
Proposal to adopt Phlx Rule 765 (Prohibition Against Trading Ahead of Customer Orders) and to amend
Rule 3404 (Recording of Order Information) to include an additional order reporting requirement
related to one of the exceptions in Rule 765. |
Approved |
Yes |
11/18/2016 |
10/28/2016 |
SR-Phlx-2016-108
Withdrawal
|
Proposal to amend Exchange Rule 1034, Minimum Increments. |
Withdrawn |
No |
|
|
SR-Phlx-2016-107
Notice
& Approval
|
Proposal to amend Exchange Rule 1079, FLEX Index, Equity, and Currency Options, at Section (b),
Procedure for Quoting and Trading FLEX Options. |
Approved |
Yes |
11/29/2016 |
11/8/2016 |
SR-Phlx-2016-106
Notice
& Approval
|
Proposal to add Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan
to Implement a Tick Size Pilot) to provide the SEC with notice of its efforts to re-program its
systems to eliminate a re-pricing functionality for certain orders in Test Gro |
Approved |
Yes |
11/21/2016 |
10/31/2016 |
SR-Phlx-2016-105
Resubmission 1
Resubmission 2
Notice
Amendment
1
Approval
|
A proposal to amend Rule 501 (Specialist Appointment), Rule 507 (Application for Approval as an SQT,
RSQT, or RSQTO and Assignment in Options), Rule 508 (Transfer Application), Rule 510 (SQT and RSQT
Performance Evaluation), and Rule 511 (Specialist Alloc |
Approved |
Yes |
1/30/2017 |
1/9/2017 |
SR-Phlx-2016-104
Notice
Approval
|
A proposal to amend Phlx Rule 748, Supervision. |
Approved |
Yes |
11/24/2016 |
11/3/2016 |
SR-Phlx-2016-103
Withdrawal
|
A proposal to amend Exchange Rule 1079, FLEX Index, Equity and Currency Options, at Section (b),
Procedure for Quoting and Trading FLEX Options. |
Replaced by SR-Phlx-2016-107 |
No |
|
|
SR-Phlx-2016-102
Resubmission
|
Proposed rule change to adopt an investigatory and disciplinary process identical
in all material respects to the investigatory and disciplinary processes of NASDAQ BX, Inc. and the
NASDAQ Stock Market LLC. |
Replaced by SR-Phlx-2017-92 |
No |
|
|
SR-Phlx-2016-101
Withdrawal
|
A proposal to adopt Phlx Rule 765 (Prohibition Against Trading Ahead of Customer Orders). |
Replaced by SR-Phlx-2016-109 |
No |
|
|
SR-Phlx-2016-100
Notice
& Approval
|
A proposal to amend the Pricing Schedule at Section IV, Part B titled "Flex
Transaction Fees" to permit FLEX options to trade as strategies for purposes Section II Strategy Cap
pricing. |
Approved |
No |
|
|
SR-Phlx-2016-99
Withdrawal
|
A proposal to amend the Exchange's Pricing Schedule at Section IV, Part B titled "Flex Transaction
Fees." |
Replaced by SR-Phlx-2016-100 |
No |
|
|
SR-Phlx-2016-98
|
A proposal to amend Rule 1063, Responsibilities of Floor Brokers. |
Rejected |
No |
|
|
SR-Phlx-2016-97
Notice
Approval
|
Proposal to delete outdated or unnecessary rule language contained in Rule 1020, section (b), and
Commentary .01 through .06 |
Approved |
Yes |
11/4/2016 |
10/14/2016 |
SR-Phlx-2016-96
Notice
& Approval
|
A proposal to amend Options Floor Procedure Advice F-1, entitled "Use of
Identification Letters and Numbers." |
Approved |
Yes |
11/2/2016 |
10/12/2016 |
SR-Phlx-2016-95
Withdrawal
|
The Exchange is proposing to amend several provisions of Rule 748. A proposed rule change to upgrade
and strengthen the Exchange's rules pertaining to supervisory obligations of its members and member
organizations. |
Replaced by SR-Phlx-2016-104 |
No |
|
|
SR-Phlx-2016-94
Withdrawal
|
A proposal to amend the Pricing Schedule at Section IV, Part B titled "Flex
Transaction Fees" to permit FLEX options to trade as strategies for purposes Section II Strategy Cap
pricing. |
Replaced by SR-Phlx-2016-99 |
No |
|
|
SR-Phlx-2016-93
Notice
Amendment
1
Approval
|
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq,
Inc., to implement proxy access. |
Approved |
Yes |
10/26/2016 |
10/5/2016 |
SR-Phlx-2016-92
Notice
Amendment
1
Amendment 2
Amendment
3
Approval
|
Proposal to adopt paragraph (d) and Commentary .12 to Exchange Rule 3317 to
describe changes to System functionality necessary to implement the Regulation NMS Plan to Implement
a Tick Size Pilot Program ("Plan"). |
Approved |
Yes |
10/11/2016 |
9/20/2016 |
SR-Phlx-2016-91
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ PSX FEES,"
("Pricing Schedule") with respect to execution and routing of orders in securities priced at $1 or
more per share. |
Approved |
Yes |
10/5/2016 |
9/14/2016 |
SR-Phlx-2016-90
Notice
& Approval
|
Proposed Rule Change to Amend Rule 3317 Relating to the Data Collection
Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program. |
Approved |
Yes |
10/7/2016 |
9/16/2016 |
SR-Phlx-2016-89
Notice
& Approval
|
Proposal to expand the Short Term Option Series Program to allow Wednesday expirations for SPY
options. |
Approved |
Yes |
9/21/2016 |
8/31/2016 |
SR-Phlx-2016-88
Notice
& Approval
|
Proposal to amend a prior rule change, SR-Phlx- 2016-38, which inadvertently
contained the incorrect Exhibit 3. |
Approved |
Yes |
9/28/2016 |
9/7/2016 |
SR-Phlx-2016-87
|
A proposal to update and correct Rule 1080, Phlx XL, and Phlx XL II to provide a clearer and more
detailed description of certain aspects of Phlx functionality. |
Rejected |
No |
|
|
SR-Phlx-2016-86
Notice
SEC
Extension
Approval
|
A proposal to delete or amend outdated rule language contained in Rules 1022,
1036, and 1037. |
Approved |
Yes |
9/21/2016 |
8/31/2016 |
SR-Phlx-2016-85
Notice
& Approval
|
Proposal to amend the Exchange's connectivity fees at Chapter VIII of the NASDAQ PHLX LLC Pricing
Schedule. |
Approved |
Yes |
9/20/2016 |
8/30/2016 |
SR-Phlx-2016-84
Resubmission
Notice
& Approval
|
A proposal to amend Rule 1042A, Exercise of Options Contracts and Options Floor
Procedure Advice G-1, Index Option Exercise Advice Forms. |
Approved |
Yes |
9/23/2016 |
9/2/2016 |
SR-Phlx-2016-83
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section I titled "Rebates and Fees for Adding
and Removing Liquidity in SPY" at Part A relating to Simple Orders for SPY options. |
Approved |
Yes |
9/9/2016 |
8/19/2016 |
SR-Phlx-2016-82
Notice
SEC
Extension
OIP
Amendment
1
Approval
|
Proposal to adopt a new exception in Rule 1000(f) permitting Floor Brokers to
execute certain split price orders in the trading crowd rather than electronically through the
Options Floor Broker Management System. |
Approved |
Yes |
9/12/2016 |
8/22/2016 |
SR-Phlx-2016-81
Withdrawal
|
Proposal to amend the Exchange's connectivity fees at Chapter VIII of the NASDAQ PHLX LLC Pricing
Schedule. |
Replaced by SR-PHLX-2016-85 |
No |
|
|
SR-Phlx-2016-80
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule at Section I titled "Rebates and
Fees for Adding and Removing Liquidity in SPY" at Part A, relating to Simple Orders for SPY options.
|
Replaced by SR-Phlx-2016-83 |
No |
|
|
SR-Phlx-2016-79
Resubmission
Notice
SEC
Extension
Amendment 1
Amendment
2
Approval
|
Proposal to amend Rule 1017, Openings in Options. |
Approved |
Yes |
9/12/2016 |
8/22/2016 |
SR-Phlx-2016-78
Notice
& Approval
|
Proposal to amend and retitle Phlx Rule 754, which deals with employees'
discretion as to customers' accounts. |
Approved |
Yes |
8/22/2016 |
8/1/2016 |
SR-Phlx-2016-77
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule at Section IV, Part A, to amend Price Improvement
XL (PIXL) Pricing. |
Approved |
Yes |
8/18/2016 |
7/28/2016 |
SR-Phlx-2016-76
Notice
& Approval
|
A proposed rule change to update Exchange Rule 3304 to amend the public disclosure
of the sources of data that the Exchange utilizes when performing (1) order handling and execution;
(2) order routing; and (3) related compliance processes. |
Approved |
Yes |
8/19/2016 |
7/29/2016 |
SR-Phlx-2016-75
Notice
& Approval
|
Proposed rule change to amend Exchange Rule 1080(n), Price Improvement XL ("PIXL") to extend,
through January 18, 2017. PIXL Pilot. |
Approved |
Yes |
8/8/2016 |
7/18/2016 |
SR-Phlx-2016-74
Resubmission
Withdrawal
|
PIXL Pilot. A proposed rule change to amend Exchange Rule 1080(n), Price
Improvement XL ("PIXL") to extend, through January18, 2017. |
Replaced by SR-Phlx-2016-75 |
No |
|
|
SR-Phlx-2016-73
Notice
& Approval
|
Proposal to adopt rules under Rule 3317 to implement the quoting and trading provisions of the Plan
to Implement a Tick Size Pilot Program submitted to the Commission pursuant to Rule 608 of
Regulation NMS under the Act. |
Approved |
Yes |
8/9/2016 |
7/19/2016 |
SR-Phlx-2016-72
Notice
& Approval
|
Relating to Detection of Loss of Connection. |
Approved |
Yes |
7/27/2016 |
7/6/2016 |
SR-Phlx-2016-71
|
Proposal to amend Rule 1017, Openings in Options. |
Replaced by SR-PHLX-2016-79 |
No |
|
|
SR-Phlx-2016-70
Resubmission
Notice
& Approval
|
A proposed rule change to amend Rule 3100 and the Exchange process for commencing
trading of a security that is the subject of a trading halt. |
Approved |
Yes |
8/2/2016 |
7/12/2016 |
SR-Phlx-2016-69
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule at Section B, entitled "Customer Rebates," and
Section IV, Part E., entitled "Market Access and Routing Subsidy to propose a change regarding the
MARS Payment. |
Approved |
Yes |
7/18/2016 |
6/27/2016 |
SR-Phlx-2016-68
Notice
& Approval
|
Proposal to extend for another twelve month time period the pilot program to
eliminate position limits for options on the
SPDR S&P 500 exchange-traded fund. Relating to SPY Position Limits Pilot. |
Approved |
Yes |
7/19/2016 |
6/28/2016 |
SR-Phlx-2016-67
Notice
& Approval
|
A proposal to amend Rule 1095 ("Automated Removal of Quotes") to modify the minimum Specified to
enable a Market Maker to enhance their risk management for an underlying security as market
conditions warrant, based on their own risk tolerance level and qu |
Approved |
Yes |
7/19/2016 |
6/28/2016 |
SR-Phlx-2016-66
|
A proposal to update and modernize rules 501, 507, 508, 510 and 511. |
Replaced by SR-Phlx-2016-105 |
No |
|
|
SR-Phlx-2016-65
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule ("Pricing Schedule") at Section B, entitled
"Customer Rebates," and Section IV. E., entitled "Market Access and Routing Subsidy." |
Replaced by SR-Phlx-2016-69 |
No |
|
|
SR-Phlx-2016-64
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled
"NASDAQ OMX PSX FEES." |
Approved |
Yes |
7/6/2016 |
6/15/2016 |
SR-Phlx-2016-63
Notice
& Approval
|
A proposal to relocate and update the existing provisions of Rule 1080.07 to add new Rule 1098. |
Approved |
Yes |
7/5/2016 |
6/13/2016 |
SR-Phlx-2016-62
Resubmission 1
Resubmission 2
Resubmission 3
Resubmission 4
Notice
& Approval
|
A proposal to amend the Preface, Section B and Section II of the Exchange's
Pricing Schedule. |
Approved |
Yes |
8/17/2016 |
7/27/2016 |
SR-Phlx-2016-61
Notice
& Approval
|
A proposal to amend certain rules governing trading of index options. |
Approved |
Yes |
7/5/2016 |
6/13/2016 |
SR-Phlx-2016-60
Notice
& Approval
|
Proposal to amend Rule 1000A, Applicability and Definitions. The rule applies to
index options. |
Approved |
Yes |
6/28/2016 |
6/7/2016 |
SR-Phlx-2016-59
Notice
& Approval
|
A proposal to amend Section IV, Part A of the Pricing Schedule entitled "PIXL Pricing." |
Approved |
Yes |
6/22/2016 |
6/1/2016 |
SR-Phlx-2016-58
Resubmission
Notice
Amendment
1
Approval
|
Proposal to amend NASDAQ OMX PSX Rule 3307, entitled "Processing of Orders" to
adopt a Limit Order Protection or "LOP" for members accessing PSX. |
Approved |
Yes |
8/3/2016 |
7/13/2016 |
SR-Phlx-2016-57
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule at Section B, entitled "Customer Rebate Program."
|
Approved |
Yes |
6/7/2016 |
5/17/2016 |
SR-Phlx-2016-56
Withdrawal
|
PIXL Pricing. |
Replaced by SR-Phlx-2016-59 |
No |
|
|
SR-Phlx-2016-55
Notice
& Approval
|
Proposal to modify the maximum number of times an Order on PSX may be updated before the System
cancels the Order. |
Approved |
Yes |
6/6/2016 |
5/16/2016 |
SR-Phlx-2016-54
Withdrawal
|
A proposal to amend the Exchange's Pricing Schedule at Section B, entitled
"Customer Rebate Program." |
Replaced by SR-Phlx-2016-57 |
No |
|
|
SR-Phlx-2016-53
Notice
& Approval
|
A proposed rule change to update Exchange Rule 3304. |
Approved |
Yes |
5/23/2016 |
5/2/2016 |
SR-Phlx-2016-52
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section II. |
Approved |
Yes |
5/19/2016 |
4/28/2016 |
SR-Phlx-2016-51
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options
Fees." |
Approved |
Yes |
5/18/2016 |
4/27/2016 |
SR-Phlx-2016-50
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule at Section II, entitled
"Multiply Listed Options Fees." |
Replaced by SR-Phlx-2016-51 |
No |
|
|
SR-Phlx-2016-49
Notice
& Approval
|
Proposal to delete Rule 971, entitled "Termination of Memberships and Equity Trading Permits and
Leases and A-B-C Agreements Relating to Memberships and ETP Use Agreements," to delete Rule 972,
entitled "Continuation of Status After the NASDAQ OMX Merger, |
Approved |
Yes |
5/16/2016 |
4/25/2016 |
SR-Phlx-2016-48
Notice
& Approval
|
A proposal to amend Rule 606 (Communications and Equipment). |
Approved |
Yes |
5/19/2016 |
4/28/2016 |
SR-Phlx-2016-47
Resubmission
Notice
& Approval
|
Proposal to amend Phlx Rule 1034 (Minimum Increments) to extend the Penny Pilot Program through June
30, 2017 or the date of permanent approval. |
Approved |
Yes |
7/11/2016 |
6/20/2016 |
SR-Phlx-2016-46
|
Proposed rule change to adopt an investigatory and disciplinary process identical
in all material respects to the investigatory and disciplinary processes of NASDAQ BX, Inc. ("BX")
and the NASDAQ Stock Market LLC ("NASDAQ"). |
Replaced by SR-Phlx-2016-102 |
No |
|
|
SR-Phlx-2016-45
Notice
& Approval
|
A proposed rule change to modify NASDAQ PHLX LLC Pricing Schedule Chapter VII (OTHER MEMBER FEES),
Section B (Port Fees). |
Approved |
Yes |
5/10/2016 |
4/19/2016 |
SR-Phlx-2016-44
Notice
& Approval
|
A proposal to delete two incorrect cross-references in Rule 1064, Crossing,
Facilitation and Solicited Orders. |
Approved |
Yes |
5/3/2016 |
4/12/2016 |
SR-Phlx-2016-43
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options
Fees." |
Replaced by SR-Phlx-2016-50 |
No |
|
|
SR-Phlx-2016-42
Notice
& Approval
|
Proposal to amend the Exchange's Pricing Schedule; specifically, the Qualified
Contingent Cross rebates and certain floor Options Transaction Charges. |
Approved |
Yes |
5/6/2016 |
4/15/2016 |
SR-Phlx-2016-41
Resubmission
Notice
& Approval
|
A proposal to make clarifying amendments to Exchange Rules 1053, Filing of Trade Information, and
1056, Maintaining Office and Filing Signatures. |
Approved |
Yes |
7/13/2016 |
6/22/2016 |
SR-Phlx-2016-40
Notice
& Approval
|
A proposal to amend Phlx Rule 1080, entitled "Phlx XL and Phlx XL II" to amend the
length of time of a Price Improvement XL or PIXLSM Auction and make other rule changes. |
Approved |
Yes |
5/4/2016 |
4/13/2016 |
SR-Phlx-2016-39
Notice
& Approval
|
A proposal to adopt Exchange Rule 3317 to implement the Regulation NMS Plan to Implement a Tick Size
Pilot Program. |
Approved |
Yes |
4/22/2016 |
4/1/2016 |
SR-Phlx-2016-38
Resubmission 1
Resubmission 2
Resubmission 3
Resubmission 4
Resubmission 5
Notice
& Approval
|
Proposal to amend Exchange Rules 900.1, 910, and 921 in order to harmonize them
with Nasdaq and BX rules and to modernize the Exchange's Rulebook. |
Approved |
Yes |
6/22/2016 |
6/1/2016 |
SR-Phlx-2016-37
Notice
& Approval
|
Proposal to delete Rule 756 from the Phlx rules. |
Approved |
Yes |
4/21/2016 |
3/31/2016 |
SR-Phlx-2016-36
Notice
& Approval
|
A proposal to delete the following Rules: 902 entitled, "Admission to
Partnership-Partnership Arrangements"; and 907 entitled "Partners and Officers." |
Approved |
Yes |
4/26/2016 |
4/5/2016 |
SR-Phlx-2016-35
|
A proposal to amend Rule 606, which applies to the use of electronic communication devices on the
options floor, to: 1) limit the use of a communication device under certain circumstances; 2)
describe the process for changing registration and web-based an |
Replaced by SR-Phlx-2016-48 |
No |
|
|
SR-Phlx-2016-34
Notice
& Approval
|
A proposal to amend the Exchange's Continuing Education fee schedule. |
Approved |
Yes |
4/21/2016 |
3/31/2016 |
SR-Phlx-2016-33
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for
Adding and Removing Liquidity in SPY." |
Approved |
Yes |
4/7/2016 |
3/17/2016 |
SR-Phlx-2016-32
Notice
& Approval
|
A proposal to amend Rule 124, Disputes-Options and the corollary Options Floor
Procedure Advice F-27, Options Exchange Official Rulings. |
Approved |
Yes |
3/31/2016 |
3/10/2016 |
SR-Phlx-2016-31
Notice
& Approval
|
A proposal to amend the Exchange's Access Services fees under Chapter VIII of the Exchange's Pricing
Schedule. |
Approved |
Yes |
3/30/2016 |
3/9/2016 |
SR-Phlx-2016-30
Resubmission 1
Resubmission 2
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule to (1) remove unnecessary rule
text and footnotes; (2) update names of Nasdaq exchanges to reflect a recent name change; (3) update
the current definitions to add detail and rearrange rule text; and (4) |
Approved |
Yes |
3/29/2016 |
3/8/2016 |
SR-Phlx-2016-29
|
A proposal to delete two incorrect cross-references in Rule 1064, Crossing, Facilitation and
Solicited Orders. |
Replaced by SR-Phlx-2016-44 |
No |
|
|
SR-Phlx-2016-28
Resubmission
Withdrawal
|
Proposal to amend the Exchange's Continuing Education fee schedule. |
Replaced by SR-Phlx-2016-34 |
No |
|
|
SR-Phlx-2016-27
Withdrawal
|
Proposal to amend the Exchange's Access Services fees under Chapter VIII of the Exchange's Pricing
Schedule |
Replaced by SR-Phlx-2016-31 |
No |
|
|
SR-Phlx-2016-26
Notice
& Approval
|
Proposal to amend Pricing Schedule to exclude floor volume from the Monthly Market
Maker Cap, increase
assessment for select Firm electronic simple orders, and state that members that executed MARS
Eligible Contracts
may receive MARS Payment. |
Approved |
Yes |
3/22/2016 |
3/1/2016 |
SR-Phlx-2016-25
Resubmission
|
Proposal to relocate and update the existing provisions of Rule 1080.07 to new Rule 1098. |
Replaced by SR-Phlx-2016-63 |
No |
|
|
SR-Phlx-2016-24
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule ("Pricing Schedule") at Section
II, entitled "Multiply Listed Options Fees." |
Replaced by SR-Phlx-2016-26 |
No |
|
|
SR-Phlx-2016-23
Resubmission
Notice
& Approval
|
Adopt a Kill Switch |
Approved |
Yes |
3/24/2016 |
3/3/2016 |
SR-Phlx-2016-22
Notice
& Approval
|
Proposed rule change to delete Rule 505 (Allocation, Reallocation and Transfer of
Issues) and update Rule 506 (Allocation Application) |
Approved |
Yes |
3/10/2016 |
2/18/2016 |
SR-Phlx-2016-21
Resubmission 1
Resubmission 2
Resubmission 3
Notice
& Approval
|
Proposal to amend the Phlx Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and
Removing Liquidity in SPY," specifically related to PIXL executions in options overlying SPY. |
Approved |
Yes |
4/14/2016 |
3/24/2016 |
SR-Phlx-2016-20
Resubmission 1
Resubmission 2
Notice
& Approval
|
The Exchange proposes to delete Phlx membership rules in order to harmonize and
modernize the Exchange's Rulebook: 903 (Fixed Interest of Partner), 904 (Use of a Partnership Name),
905 (Special or Limited Partners), 906 (Notice of Change in Partnership). |
Approved |
Yes |
3/17/2016 |
2/25/2016 |
SR-Phlx-2016-19
Notice
& Approval
|
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot
program. |
Approved |
Yes |
3/15/2016 |
2/23/2016 |
SR-Phlx-2016-18
Withdrawal
|
Proposal to amend the Exchange's Pricing Schedule ("Pricing Schedule") at Section
II, entitled "Multiply Listed Options Fees." |
Replaced by SR-PHLX-2016-24 |
No |
|
|
SR-Phlx-2016-17
Withdrawal
|
A proposal to amend the Exchange's Access Services fees under Chapter VIII of the Exchange's Pricing
Schedule to: (i) assess a $25/port/month Disaster Recovery Port fee; and (ii) assess a
$100/port/month fee for Trading Ports used in Test Mode. |
Replaced by SR-Phlx-2016-27 |
No |
|
|
SR-Phlx-2016-16
Notice
& Approval
|
Proposal to delete obsolete Rules 1000C - 1009C, collectively captioned Rules
Applicable to Trading of PHLX FOREX Optionsâ„¢. |
Approved |
Yes |
3/4/2016 |
2/12/2016 |
SR-Phlx-2016-15
|
Proposal to introduce a new Options Floor Broker Management System ("FBMS") feature. |
Rejected |
No |
|
|
SR-Phlx-2016-14
Resubmission
Notice
& Approval
|
A proposal to amend Rule 1066, Certain Types of Floor-Based (Non-PHLX XL) Orders
Defined. |
Approved |
Yes |
3/11/2016 |
2/19/2016 |
SR-Phlx-2016-13
Withdrawal
|
A proposal to amend Rule 124 (Disputes-Options) and the corollary Options Floor Procedure Advice
F-27 to update the rules under which disputes can be addressed as well as to update the appeal fee.
|
Replaced by SR-Phlx-2016-32 |
No |
|
|
SR-Phlx-2016-12
Notice
Withdrawal
Notice of Withdrawal
|
A proposal to amend NASDAQ OMX PSX Rule 3307, entitled "Processing of Orders."
|
Withdrawn |
Yes |
2/26/2016 |
2/5/2016 |
SR-Phlx-2016-11
|
A proposal to amend Rule 1017, Openings in Options. |
Rejected |
No |
|
|
SR-Phlx-2016-10
Notice
Amendment
1
Approval
|
A proposal to amend Exchange Rule 1000(b)(14) (Applicability, Definitions and
References). |
Approved |
Yes |
3/2/2016 |
2/10/2016 |
SR-Phlx-2016-09
Resubmission
Notice
& Approval
|
Proposal to adopt a "Policy for Amending Billing Information" and a Research Fee. |
Approved |
Yes |
3/14/2016 |
2/22/2016 |
SR-Phlx-2016-08
Withdrawal
|
A proposal to amend Rule 1066 (Certain Types of Floor-Based (Non-PHLX XL) Orders
Defined) by deleting obsolete and duplicative provisions. |
Replaced by SR-Phlx-2016-14 |
No |
|
|
SR-Phlx-2016-07
Notice
& Approval
|
A proposal to add headings to certain paragraphs to make it easier to locate topics and to move the
language from two commentaries into the body of the rule to improve readability. |
Approved |
Yes |
2/24/2016 |
2/3/2016 |
SR-Phlx-2016-06
Notice
& Approval
|
A proposal to amend Rule 1014(c)(i)(A)(1)(b) respecting U.S. dollar-settled
foreign currency options ("FCO") quote spread parameters, also known as bid/ask differentials. |
Approved |
Yes |
2/17/2016 |
1/27/2016 |
SR-Phlx-2016-05
Withdrawal
|
A proposal to amend NASDAQ OMX PSX rule 3307 ("Processing of Orders") to adopt a Limit Order
Protection or "LOP" and a Market Order Protection for members accessing PSX. |
Replaced by SR-Phlx-2016-12 |
No |
|
|
SR-Phlx-2016-04
Resubmission 1
Resubmission 2
Notice
& Approval
|
Proposal to make adjustments to its Options Regulatory Fee ("ORF") by amending
Section IV, Part D of the Pricing Schedule. |
Approved |
Yes |
2/29/2016 |
2/8/2016 |
SR-Phlx-2016-03
Notice
& Approval
|
A proposal to make non-substantive, clarifying amendments to several rules relating to clearing of
Exchange options transactions. |
Approved |
Yes |
2/16/2016 |
1/25/2016 |
SR-Phlx-2016-02
Notice
& Approval
|
A proposal to delete obsolete Rules 1000B - 1012B, collectively captioned Rules
Applicable to Trading of Cash Index Participations, and to amend Rule 722, Miscellaneous Securities
Margin Accounts. |
Approved |
Yes |
2/11/2016 |
1/21/2016 |
SR-Phlx-2016-01
Notice
& Approval
|
A proposal to delete from the Phlx rulebook rules 792, 794, 797, and 798,798, which generally
concern member organization governance and ownership. The Exchange has determined that these rules
are anachronistic and no longer serve a purpose. |
Approved |
Yes |
2/11/2016 |
1/21/2016 |
rulebook-rulefilings-phlx-2015
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2015-120
|
A proposal to modify fee schedule Chapter VII Section B to identify Purge Ports and to set the fees
applicable to Purge Ports. The Exchange also is making technical, non-substantive modifications to
the certain existing provisions in Chapter VII Section |
Rejected |
No |
|
|
SR-Phlx-2015-118
Notice
& Approval
|
A proposal to amend Section (a)(4) of Rule 640, Continuing Education for
Registered Persons, to provide for web-based delivery of the Exchange's continuing education
program. The proposed rule change would phase out the current option of completing the Re |
Approved |
Yes |
2/9/2016 |
1/19/2016 |
SR-Phlx-2015-117
|
A proposal to make adjustments to its Options Regulatory Fee. |
Replaced by SR-PHLX-2016-04 |
No |
|
|
SR-Phlx-2015-116
|
A proposal to amend Exchange Rule 1014 to specify the manner in which the trading
system will round fractional shares and allocate residual contracts in the Order Book. |
Rejected |
No |
|
|
SR-Phlx-2015-115
Notice
& Approval
|
Proposed rule change to amend Chapter VIII of the Pricing Schedule to clarify the connectivity
options and application of the fees assessed. |
Approved |
Yes |
2/5/2016 |
1/15/2016 |
SR-Phlx-2015-114
Notice
& Approval
|
A proposal to correct the text of Rule 1060. |
Approved |
Yes |
1/27/2016 |
1/6/2016 |
SR-Phlx-2015-113
Amendment
1
Amendment 2
Amendment Withdrawal
Notice
Approval
|
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq,
Inc. |
Approved |
Yes |
1/28/2016 |
1/7/2016 |
SR-Phlx-2015-112
Notice
& Approval
|
A proposed rule change to modify the charges to be paid for Managed Data Solutions
("MDS"). |
Approved |
Yes |
1/27/2016 |
1/6/2016 |
SR-Phlx-2015-111
Notice
& Approval
|
The Exchange purposes to increase the Options Surcharge in MNX and NDX. |
Approved |
Yes |
1/25/2016 |
1/4/2016 |
SR-Phlx-2015-110
Notice
& Approval
|
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees. |
Approved |
Yes |
1/20/2016 |
12/30/2015 |
SR-Phlx-2015-109
Resubmission
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options
Fees." |
Approved |
Yes |
2/4/2016 |
1/14/2016 |
SR-Phlx-2015-108
Withdrawal
|
A proposal to update Rule 1060. |
Replaced by SR-Phlx-2015-114 |
No |
|
|
SR-Phlx-2015-107
Withdrawal
|
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees. |
Replaced by SR-Phlx-2015-110 |
No |
|
|
SR-Phlx-2015-106
Notice
& Approval
|
A proposal to delete obsolete rule language and amend outdated references relating
to Exchange Rule 1047, Trading Rotations, Halts and Suspensions. |
Approved |
Yes |
1/14/2016 |
12/24/2015 |
SR-Phlx-2015-105
Notice
& Approval
|
A proposed rule change with respect to amendments of its Certificate of Formation, By-Laws and First
Amended Limited Liability Company Agreement to change its name to NASDAQ PHLX LLC. |
Approved |
Yes |
1/11/2016 |
12/21/2015 |
SR-Phlx-2015-104
Notice
& Approval
|
A proposal to delete Rule 108, Bids and Offers to Be Made Within Six Feet of Post.
|
Approved |
Yes |
1/11/2016 |
12/21/2015 |
SR-Phlx-2015-103
Notice
& Approval
|
A proposed rule change to extend the pilot program in Rule 1059, Accommodation Transactions. Cabinet
Trading Below $1 Pilot. |
Approved |
Yes |
1/12/2016 |
12/22/2015 |
SR-Phlx-2015-102
Resubmission
Notice
& Approval
|
A proposal to delete Rule 1068, Execution of Multi-Part Orders, as described
further below. |
Approved |
Yes |
1/19/2016 |
12/29/2015 |
SR-Phlx-2015-101
|
A proposal to introduce a new Options Floor Broker Management System ("FBMS") feature. |
Rejected |
No |
|
|
SR-Phlx-2015-100
Withdrawal
|
A proposal to introduce a new Options Floor Broker Management System ("FBMS")
feature. |
Replaced by SR-Phlx-2015-101 |
No |
|
|
SR-Phlx-2015-99
Resubmission
Notice
& Approval
|
Order Exposure and PRISM. |
Approved |
Yes |
1/27/2016 |
1/6/2016 |
SR-Phlx-2015-98
Notice
& Approval
|
A proposed rule change to to amend certain charges and fees for order execution
and routing applicable to the use of the order execution and routing services of PSX by member
organizations for all securities traded at $1 or more per share. |
Approved |
Yes |
1/7/2016 |
12/17/2015 |
SR-Phlx-2015-97
Withdrawal
|
A proposed rule change with respect to amendments of its Certificate of Formation, By-Laws and First
Amended Limited Liability Company Agreement to change its name to NASDAQ PHLX LLC. |
Replaced by SR-Phlx-2015-105 |
No |
|
|
SR-Phlx-2015-96
|
A proposal to adopt new Exchange Rule 1081, Solicitation Mechanism. |
Rejected |
No |
|
|
SR-Phlx-2015-95
|
A proposal to amend Phlx Rule 1080, entitled "Phlx XL and Phlx XL II" to amend the length of time of
a Price Improvement XL or PIXLSM Auction. |
Rejected |
No |
|
|
SR-Phlx-2015-94
Resubmission
Notice
SEC
Extension
Amendment 1
Approval
|
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to
make permanent a pilot program. |
Approved |
Yes |
1/4/2016 |
12/14/2015 |
SR-Phlx-2015-93
Notice
& Approval
|
A proposal to amend Rule 1094 ("Sponsored Participants") to: (1) define the terms "Sponsored Access"
and "Customer Agreement;" (2) specify the requirements to comply with SEC Rule 15c3-5 ("Market
Access Rule"); (3) remove the requirement that each Sponsor |
Approved |
Yes |
12/14/2015 |
11/23/2015 |
SR-Phlx-2015-92
Notice
& Approval
|
A proposal to establish the Securities Trader and Securities Trader Principal
registration categories. |
Approved |
Yes |
12/8/2015 |
11/17/2015 |
SR-Phlx-2015-91
Notice
& Approval
|
A proposal to amend Phlx Rule 1014 entitled "Obligations and Restrictions Applicable to Specialists
and Registered Options Traders" to remove the maximum option price change from the Rule. |
Approved |
Yes |
12/11/2015 |
11/20/2015 |
SR-Phlx-2015-90
Notice
& Approval
|
A proposal to adopt business continuity and disaster recovery plans testing
requirements for certain Exchange Member Organizations and PSX Participants in connection with
Regulation SCI. |
Approved |
Yes |
12/3/2015 |
11/12/2015 |
SR-Phlx-2015-89
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section IV to create a subsidy program, the
Market Access and Routing Subsidy or "MARS," for Phlx members that provide certain order routing
functionalities3 to other Phlx members and/or use such func |
Approved |
Yes |
12/11/2015 |
11/20/2015 |
SR-Phlx-2015-88
Withdrawal
|
A proposal to adopt business continuity and disaster recovery plans. |
Replaced by SR-Phlx-2015-90 |
No |
|
|
SR-Phlx-2015-87
Notice
& Approval
|
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees. |
Approved |
Yes |
12/8/2015 |
11/17/2015 |
SR-Phlx-2015-86
Notice
& Approval
|
A proposed rule change to extend the pilot program regarding Rule 1047(f)(v),
which provides for how the Exchange treats obvious and catastrophic options errors in response to
the Limit Up-Limit Down Plan. The Exchange proposes to extend the pilot period |
Approved |
Yes |
11/18/2015 |
10/28/2015 |
SR-Phlx-2015-85
Resubmission 1
Resubmission 2
Notice
& Approval
|
A proposal to delete sections of Rule 1020, Registration and Functions of Options Specialists. |
Approved |
Yes |
1/14/2016 |
12/24/2015 |
SR-Phlx-2015-84
Withdrawal
|
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees, entitled PSX
Last Sale Data Feeds and NASDAQ Last Sale Plus Data Feeds. |
Replaced by SR-Phlx-2015-87 |
No |
|
|
SR-Phlx-2015-83
Notice
& Approval
|
A proposal to amend Rule 1093 entitled "Phlx XL Risk Monitor Mechanism." |
Approved |
Yes |
11/25/2015 |
11/4/2015 |
SR-Phlx-2015-82
Resubmission
Notice
& Approval
|
A proposal to amend Commentary .13 to Rule 1012. |
Approved |
Yes |
11/13/2015 |
10/23/2015 |
SR-Phlx-2015-81
Resubmission
Notice
& Approval
|
A proposal to modify Pricing Schedule at Chapter VII to adopt a new Section E, entitled "Testing
Facilities" which describes fees in connection with the use of the Testing Facility ("NTF") test
environment located in Carteret, New Jersey. |
Approved |
Yes |
11/20/2015 |
10/30/2015 |
SR-Phlx-2015-80
Notice
& Approval
|
A proposal to extend the implementation rollout of its enhanced Options Floor
Broker Management System. |
Approved |
Yes |
11/13/2015 |
10/23/2015 |
SR-Phlx-2015-79
Notice
Approval
|
A proposal to refund Specialists and Market Makers a certain portion of the variable Active SQF Port
Fee. |
Approved |
Yes |
11/3/2015 |
10/13/2015 |
SR-Phlx-2015-78
Notice
& Approval
|
A proposal to amend the Pricing Schedule under Section VIII, entitled NASDAQ OMX
PSX FEES. |
Approved |
Yes |
10/7/2015 |
9/16/2015 |
SR-Phlx-2015-77
|
A proposal to refund Specialists and Market Makers a certain portion of the variable Active SQF Port
Fee. |
Rejected |
No |
|
|
SR-Phlx-2015-76
Notice
& Approval
|
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees, entitled PSX
Last Sale Data Feeds and NASDAQ Last Sale Plus Data Feeds. |
Approved |
Yes |
10/7/2015 |
9/16/2015 |
SR-Phlx-2015-75
Notice
& Approval
|
A proposal to amend Phlx Pricing Schedule Section I ("Rebates and Fees for Adding and Removing
Liquidity in SPY") by assessing all market participants other than Customers a fee of $0.15 per
contract for executions against an order for which the Exchange |
Approved |
Yes |
10/6/2015 |
9/15/2015 |
SR-Phlx-2015-74
Notice
& Approval
|
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to
extend a pilot program. |
Approved |
Yes |
9/25/2015 |
9/4/2015 |
SR-Phlx-2015-73
Notice
& Approval
|
A proposal to amend Rules 782, entitled "Manipulative Operations" to enumerate manipulative trading
practices which are already prohibited, but not specified. |
Approved |
Yes |
9/23/2015 |
9/2/2015 |
SR-Phlx-2015-72
Notice
& Approval
|
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees, entitled PSX
Last Sale Data Feeds, with language regarding NASDAQ Last Sale Plus. |
Approved |
Yes |
9/22/2015 |
9/1/2015 |
SR-Phlx-2015-71
Notice
& Approval
|
A proposal to make adjustments to its Options Regulatory Fee by amending Section IV, Part D of the
Pricing Schedule. |
Approved |
Yes |
9/17/2015 |
8/27/2015 |
SR-Phlx-2015-70
Notice
& Approval
|
A proposed rule change to update Exchange Rule 3304. |
Approved |
Yes |
9/3/2015 |
8/13/2015 |
SR-Phlx-2015-69
Withdrawal
|
A proposed rule change to update Exchange Rule 3304 to amend the public disclosure of the sources of
data that the Exchange utilizes when performing (1) order handling and execution; (2) order routing;
and (3) related compliance processes. |
Replaced by SR-Phlx-2015-70 |
No |
|
|
SR-Phlx-2015-68
Notice
& Approval
|
A proposal to amend Pricing Schedule Section B ("Customer Rebate Program") to: (i)
indicate that Category A rebates for certain Customer Simple Orders in Penny Pilot and non-Penny
Pilot Options will increase specifically for Tiers 3, 4, and 5; (ii) establ |
Approved |
Yes |
9/10/2015 |
8/20/2015 |
SR-Phlx-2015-67
Notice
& Approval
|
A proposal to extend the implementation timeframe for adopting two new Phlx Market Maker risk
protections, a volume-based threshold and a multi-trigger threshold. |
Approved |
Yes |
8/26/2015 |
8/5/2015 |
SR-Phlx-2015-66
Notice
& Approval
|
A proposed rule change to amend Rule 3301B(a) to remove the Market Hours Immediate
or Cancel Time-in-Force. |
Approved |
Yes |
8/26/2015 |
8/5/2015 |
SR-Phlx-2015-65
Notice
& Approval
|
A proposal to (1) amend Rule 1092; (2) amend Rule 124 and (3) modify the Phlx Pricing Schedule. |
Approved |
Yes |
8/14/2015 |
7/24/2015 |
SR-Phlx-2015-64
Withdrawal
|
A proposal to (1) amend proposed new Rule 1092; (2) amend Rule 124 and (3) to
modify the Phlx Pricing Schedule. |
Replaced by SR-Phlx-2015-65 |
No |
|
|
SR-Phlx-2015-63
Notice
& Approval
|
A proposed rule change to amend Exchange Rule 1080(n), Price Improvement XL to extend, through July
18, 2016, a pilot program. |
Approved |
Yes |
8/12/2015 |
7/22/2015 |
SR-Phlx-2015-62
|
A proposal to introduce a new Options Floor Broker Management System. |
Rejected |
No |
|
|
SR-Phlx-2015-61
Notice
& Approval
|
A proposal to amend pricing in Section B, entitled "Customer Rebate Program," Section II, entitled
"Multiply Listed Options Fees," and Section III, entitled "Singly Listed Options," of the Pricing
Schedule. |
Approved |
Yes |
8/11/2015 |
7/21/2015 |
SR-Phlx-2015-60
Resubmission
Notice
& Approval
|
A proposal to extend the pilot program that eliminates position limits for options
on the SPDR® S&P 500® exchange-traded fund. |
Approved |
No |
|
|
SR-Phlx-2015-59
Withdrawal
|
A proposal to amend Pricing Schedule Section B, entitled "Customer Rebate Program," Section II,
entitled "Multiply Listed Options Fees," and Section III, entitled "Singly Listed Options". The
Exchange proposes these amendments in order to: (i) increase th |
Replaced by SR-Phlx-2015-61 |
No |
|
|
SR-Phlx-2015-58
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled
"NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or
more per share. |
Approved |
Yes |
8/10/2015 |
7/20/2015 |
SR-Phlx-2015-57
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options
Fees." |
Approved |
Yes |
8/7/2015 |
7/17/2015 |
SR-Phlx-2015-56
Notice
& Approval
|
A proposed rule change to amend Rule 3301A(b) to introduce the Midpoint Peg
Post-Only Order for use on the NASDAQ OMX PSX System. |
Approved |
Yes |
8/6/2015 |
7/16/2015 |
SR-Phlx-2015-55
Resubmission
Notice
& Approval
|
A proposal to amend various options rules to reflect the recent renumbering of Rule 1080.08 as Rule
1080.07. |
Approved |
Yes |
8/7/2015 |
7/17/2015 |
SR-Phlx-2015-54
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30,
2016 or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in
certain issues |
Approved |
Yes |
7/21/2015 |
6/30/2015 |
SR-Phlx-2015-53
Withdrawal
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30, 2016 or the date
of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues.
|
Replaced by SR-Phlx-2015-54 |
No |
|
|
SR-Phlx-2015-52
Resubmission
Notice
& Approval
|
A proposal to adopt new Phlx Rule 1095 entitled "Automated Removal of Market Maker
Quotes". The Exchange proposes to adopt two new Phlx Market Maker risk protections, a volume-based
threshold and a multi-trigger threshold. |
Approved |
Yes |
8/3/2015 |
7/13/2015 |
SR-Phlx-2015-51
Notice
& Approval
|
A proposal to amend Section (p)(3), Order Price Protection, of Exchange Rule1080, Obligations and
Restrictions Applicable to specialists and Registered Options Traders. |
Approved |
Yes |
7/17/2015 |
6/26/2015 |
SR-Phlx-2015-50
|
A proposal to amend various options rules to reflect the recent renumbering of
Rule 1080.08 as Rule 1080.07. |
Replaced by SR-Phlx-2015-55 |
No |
|
|
SR-Phlx-2015-49
Notice
SEC
Extension 1
OIP
Amendment
1
Amendment 2
SEC
Extension 2
Approval
|
A proposed rule change to amend and correct Rule 1080.07. |
Approved |
Yes |
7/14/2015 |
6/23/2015 |
SR-Phlx-2015-48
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule under Section VIII. |
Approved |
Yes |
7/7/2015 |
6/16/2015 |
SR-Phlx-2015-47
Withdrawal
|
A proposal to amend the Exchange's Pricing Schedule under Section VIII. |
Replaced by SR-Phlx-2015-48 |
No |
|
|
SR-Phlx-2015-46
Notice
Approval
|
A proposed rule change with respect to amendments of the Amended and Restated
Certificate of Incorporation and By-Laws of its parent corporation The NASDAQ OMX Group, Inc. to
change the name of the parent to Nasdaq, Inc. |
Approved |
Yes |
6/23/2015 |
6/2/2015 |
SR-Phlx-2015-45
Notice
& Approval
|
A proposal to amend the Exchange Pricing Schedule under Section VIII with respect to execution and
routing of orders in securities priced at one dollar or more per share. |
Approved |
Yes |
6/22/2015 |
6/1/2015 |
SR-Phlx-2015-44
|
A proposed rule change to amend and correct Rule 1080.07. |
Replaced by SR-Phlx-2015-49 |
No |
|
|
SR-Phlx-2015-43
Resubmission
Notice
& Approval
|
A proposal to replace current Rule 1092 entitled Obvious Errors and Catastrophic Errors, with new
Rule 1092, entitled Nullification and Adjustment of Options Transactions including Obvious Errors.
|
Approved |
Yes |
6/4/2015 |
5/14/2015 |
SR-Phlx-2015-42
Withdrawal
|
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled
"NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or
more per share. |
Replaced by SR-Phlx-2015-45 |
No |
|
|
SR-Phlx-2015-41
Withdrawal
|
A proposal to replace current Rule 1092 entitled Obvious Errors and Catastrophic Errors, with new
Rule 1092 entitled Nullification and Adjustment of Options Transactions including Obvious Errors.
|
Replaced by SR-Phlx-2015-43 |
No |
|
|
SR-Phlx-2015-40
Withdrawal
|
A proposal to replace current Rule 1092 entitled Obvious Errors and Catastrophic
Errors, with new Rule 1092 entitled Nullification and Adjustment of Options Transactions including
Obvious Errors. |
Replaced by SR-PHLX-2015-41 |
No |
|
|
SR-Phlx-2015-39
Notice
& Approval
|
A proposal to update the public disclosure of the sources of data that PSX, the PHLX equities
facility, utilizes when performing (1) order handling and execution; (2) order routing; and (3)
related compliance processes. |
Approved |
Yes |
6/10/2015 |
5/20/2015 |
SR-Phlx-2015-38
Withdrawal
|
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled
"NASDAQ OMX PSX FEES." |
Replaced by SR-Phlx-2015-42 |
No |
|
|
SR-Phlx-2015-37
Notice
& Approval
|
A proposal to amend Exchange rules to describe how All-or-None orders are handled by its new Options
Floor Broker Management System. |
Approved |
Yes |
6/1/2015 |
5/11/2015 |
SR-Phlx-2015-36
Notice
& Approval
|
A proposal to amend the Phlx Pricing Schedule ("Pricing Schedule") at Section VI
pertaining to the Phlx Permit Fee and at Section VII pertaining to the Order Entry Port Fee. |
Approved |
Yes |
5/26/2015 |
5/5/2015 |
SR-Phlx-2015-35
Notice
& Approval
|
A proposal to delete outdated rule language contained in (i) Rule 1019, Precedence Accorded To
Orders Entrusted To Specialists, and (ii) Options Floor Procedures Advices. |
Approved |
Yes |
5/20/2015 |
4/29/2015 |
SR-Phlx-2015-34
|
A proposal to update the public disclosure of the sources of data that PSX, the
PHLX equities facility, utilizes. |
Rejected |
No |
|
|
SR-Phlx-2015-33
|
A proposed rule change relating to the Phlx permit fee, order entry port fee, clearing trade
interface port fee, and active specialized quote feed port fee. |
Rejected |
No |
|
|
SR-Phlx-2015-32
Notice
& Approval
Correction
|
A proposed rule change to amend Rule 3301(h) to introduce the Market Hours
Immediate or Cancel Time in Force for use on the NASDAQ OMX PSX System. |
Approved |
Yes |
4/28/2015 |
4/7/2015 |
SR-Phlx-2015-31
Notice
& Approval
|
A proposal to move the rule text of current Rule 1070, Customer Complaints, into Rule 1028,
Confirmations, to accommodate an upcoming rulebook reorganization. |
Approved |
Yes |
4/29/2015 |
4/8/2015 |
SR-Phlx-2015-30
Notice
& Approval
|
A proposal to amend section (a)(iv) of Rule 703, Financial Responsibility and
Reporting. |
Approved |
Yes |
4/28/2015 |
4/7/2015 |
SR-Phlx-2015-29
Notice
SEC
Extension
Amendment 1
Approval
|
A proposed rule change to amend and restate certain Exchange rules that govern the NASDAQ OMX PSX
facility ("PSX") in order to provide a clearer and more detailed description of certain aspects of
its functionality. |
Approved |
Yes |
4/27/2015 |
4/6/2015 |
SR-Phlx-2015-28
Resubmission 1
Resubmission 2
Notice
& Approval
|
A proposal to update certain of the 1000 series options rules to harmonize the
Rulebook and modernize Exchange rules. |
Approved |
Yes |
4/22/2015 |
4/1/2015 |
SR-Phlx-2015-27
Notice
& Approval
|
A proposal to amend Rule 1009 (Criteria for Underlying Securities) to allow the listing of options
overlying Exchange-Traded Fund Shares. |
Approved |
Yes |
4/16/2015 |
3/26/2015 |
SR-Phlx-2015-26
|
A proposed rule change to amend and correct Rule 1080.08. |
Rejected |
No |
|
|
SR-Phlx-2015-25
Notice
& Approval
|
A proposal to modify the Phlx Pricing Schedule. |
Approved |
Yes |
4/15/2015 |
3/25/2015 |
SR-Phlx-2015-24
Withdrawal
|
A proposal to modify the Phlx Pricing Schedule. |
Replaced by SR-Phlx-2015-25 |
No |
|
|
SR-Phlx-2015-23
Resubmission
Notice
& Approval
|
A proposal to update certain Phlx rules related to the payment of fees to harmonize the Exchange's
Rulebook text and modernize Exchange rules. |
Approved |
Yes |
4/15/2015 |
3/25/2015 |
SR-Phlx-2015-22
Notice
& Approval
|
A proposal to amend Phlx Rule 1079 to extend a pilot program that eliminates
minimum value sizes for opening transactions in new series of FLEX options. |
Approved |
Yes |
4/7/2015 |
3/17/2015 |
SR-Phlx-2015-21
Notice
& Approval
|
A proposal to amend pricing in Section B, entitled "Customer Rebate Program," Section II, entitled
"Multiply Listed Options Fees," and Section IV, Part A, entitled "PIXL Pricing," of the Pricing
Schedule. |
Approved |
Yes |
4/6/2015 |
3/16/2015 |
SR-Phlx-2015-20
Notice
& Approval
|
A proposal to amend one aspect of the administration of income generated by
Payment For Order Flow fees which are assessed under Section II of the Pricing Schedule. |
Approved |
Yes |
3/31/2015 |
3/10/2015 |
SR-Phlx-2015-19
Notice
& Approval
|
A proposed rule change to extend the pilot program regarding Exchange Rule 1047(f)(v) ), which
provides for how the Exchange treats obvious and catastrophic options errors ("Options Errors in
Limit Up-Limit Down" Pilot). |
Approved |
Yes |
3/19/2015 |
2/26/2015 |
SR-Phlx-2015-18
|
A proposal to amend Commentary .01 of Rule 1014 to change quarterly trading
requirements applicable to Registered Options Traders. |
Rejected |
No |
|
|
SR-Phlx-2015-17
Resubmission
Withdrawal
|
A proposal to amend pricing in Section B, entitled "Customer Rebate Program," Section II, entitled
"Multiply Listed Options Fees," and Section IV, Part A, entitled "PIXL Pricing," of the Pricing
Schedule. |
Replaced by SR-Phlx-2015-21 |
No |
|
|
SR-Phlx-2015-16
Withdrawal
|
A proposal relating to Pricing Schedule Section B, Section II and Section IV, Part
A. |
Replaced by SR-Phlx-2015-17 |
No |
|
|
SR-Phlx-2015-15
Notice
& Approval
|
A proposal to amend Phlx Rule 507, entitled "Application for Approval as an SQT or RSQT or RSQTO and
Assignment in Options" to increase the number of Remote Streaming Quote Traders ("RSQTs") that may
be affiliated with a Remote Streaming Quote Trader Orga |
Approved |
Yes |
3/13/2015 |
2/20/2015 |
SR-Phlx-2015-14
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled
"NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or
more per share. |
Approved |
Yes |
3/17/2015 |
2/24/2015 |
SR-Phlx-2015-13
Withdrawal
|
A proposal to amend Phlx Pricing Schedule Sections B ("Customer Rebate Program"), II ("Multiply
Listed Options Fees") and IV ("PIXL Pricing") in order to: (i) establish a cap on rebates
specifically for electronic Simple PIXL and Complex PIXL Orders and |
Replaced by SR-Phlx-2015-16 |
No |
|
|
SR-Phlx-2015-12
Withdrawal
|
A proposal to amend certain fees for order execution and routing applicable to the
use of order execution and routing services of the PSX System by member organizations for all
securities traded at $1 or more per share, as well as clarify that consolidate |
Replaced by SR-Phlx-2015-14 |
No |
|
|
SR-Phlx-2015-11
Notice
& Approval
|
A proposed rule change to add new Rule 1016 to authorize the Exchange to share any Phlx XL
participant-designated risk settings in Phlx XL, the Exchange's trading system, with the clearing
member that clears transactions on behalf of the Phlx XL participa |
Approved |
Yes |
3/2/2015 |
2/9/2015 |
SR-Phlx-2015-10
Resubmission
Notice
& Approval
|
A proposal to amend Rule 1082.02 and .03. |
Approved |
Yes |
4/2/2015 |
3/12/2015 |
SR-Phlx-2015-09
Notice
& Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) to introduce finer $.50 strike
price intervals in non-index Short Term Options with strike prices less than $100. |
Approved |
Yes |
2/23/2015 |
2/2/2015 |
SR-Phlx-2015-08
Notice
& Approval
|
A proposal to amend the certain fees and rebates for order execution and routing
applicable to the use of the order execution and routing services of the PSX System by member
organizations for all securities traded at $1 or more per share. |
Approved |
Yes |
2/25/2015 |
2/4/2015 |
SR-Phlx-2015-07
Notice
& Approval
|
A proposal to extend the pilot program that eliminates position limits for options on the SPDR
S&P 500 exchange-traded fund. |
Approved |
Yes |
2/17/2015 |
1/26/2015 |
SR-Phlx-2015-06
Notice
& Approval
|
A proposal to amend the Monthly Market Maker Cap and certain transaction fees
applicable to Specialists and Market Makers that have reached the Monthly Market Maker Cap (Pricing
Schedule Section II, "Multiply Listed Options"); and to make conforming and c |
Approved |
Yes |
2/12/2015 |
1/22/2015 |
SR-Phlx-2015-05
Resubmission 1
Resubmission 2
Notice
& Approval
|
A proposal to amend Section II of the Pricing Schedule entitled "Multiply Listed Options Fees" to
assess an increased Options Surcharge in MNX and NDX. |
Approved |
Yes |
2/19/2015 |
1/29/2015 |
SR-Phlx-2015-04
Notice
& Approval
|
A proposal to add new Section XIII (Extranet Access Fee) to the NASDAQ OMX PHLX
LLC Pricing Schedule |
Approved |
Yes |
2/5/2015 |
1/15/2015 |
SR-Phlx-2015-03
Notice
& Approval
|
A proposed rule change to extend the pilot program in Rule 1059, Accommodation Transactions, to
allow cabinet trading to take place below $1 per option contract under specified circumstances. |
Approved |
Yes |
2/3/2015 |
1/13/2015 |
SR-Phlx-2015-02
Withdrawal
|
A proposal to amend the Monthly Market Maker Cap and certain transaction fees
applicable to Specialists and Market Makers that have reached the Monthly Market Maker Cap, which
are located in the Exchange's Pricing Schedule at Section II, entitled "Mult |
Replaced by SR-Phlx-2015-06 |
No |
|
|
SR-Phlx-2015-01
Notice
& Approval
|
A proposal to amend the Customer Rebate Program in Section B of the Pricing Schedule. |
Approved |
Yes |
2/12/2015 |
1/22/2015 |
rulebook-rulefilings-phlx-2014
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2014-83
Notice
& Approval
|
A proposal to modify Section VII entitled "Other Member Fees" of the Phlx Pricing Schedule ("Pricing
Schedule"). |
Approved |
Yes |
2/2/2015 |
1/12/2015 |
SR-Phlx-2014-82
|
A proposal to add new Section XIII (Extranet Access Fee) to the NASDAQ OMX PHLX
LLC Pricing Schedule. |
Replaced by SR-Phlx-2015-04 |
No |
|
|
SR-Phlx-2014-81
Notice
& Approval
|
A proposal to amend Section VIII (NASDAQ OMX PSX Fees) of the Exchange's Pricing Schedule entitled
Extranet Access (Pricing Schedule). |
Approved |
Yes |
1/30/2015 |
1/9/2015 |
SR-Phlx-2014-80
Notice
& Approval
|
A proposal to amend Strategy Fee Caps. |
Approved |
Yes |
1/21/2015 |
12/31/2014 |
SR-Phlx-2014-79
Resubmission
Notice
& Approval
|
A proposed rule change to modify the rule governing modification of orders on its NASDAQ OMX PSX
facility. |
Approved |
Yes |
2/2/2015 |
1/12/2015 |
SR-Phlx-2014-78
Withdrawal
|
A proposal to amend Strategy Fee Caps. |
Replaced by SR-Phlx-2014-80 |
No |
|
|
SR-Phlx-2014-77
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 to extend through June 30, 2015, the Penny Pilot Program in
options classes in certain issues. |
Approved |
Yes |
12/23/2014 |
12/2/2014 |
SR-Phlx-2014-76
Resubmission
Notice
& Approval
|
A proposed rule change to adopt anti-internalization functionality for registered
market makers on the PHLX Options Market. |
Approved |
Yes |
12/29/2014 |
12/8/2014 |
SR-Phlx-2014-75
Notice
& Approval
|
A proposal to amend the Pricing Schedule to conform certain terminology to Rule 507, "Application
for Approval as an SQT, RSQT, RSQTO and Assignment in Options" as it relates to Remote Market Makers
or "RMMs." The Exchange also proposes to make other clar |
Approved |
Yes |
12/15/2014 |
11/24/2014 |
SR-Phlx-2014-74
Notice
& Approval
|
A proposed rule change to make a minor clarifying change to Section VIII of the
Pricing Schedule. |
Approved |
Yes |
12/17/2014 |
11/26/2014 |
SR-Phlx-2014-73
Notice
& Approval
|
Amend Section VII of the Exchange's Fee Schedule pertaining to the Active SQF Port Fee. |
Approved |
Yes |
12/23/2014 |
12/2/2014 |
SR-Phlx-2014-72
Notice
& Approval
|
A proposal to amend the Initiating Order Fee for PIXL Executions in SPY and PIXL
Pricing for Initiating Order that is contra to a Customer PIXL order, to allow for volume discounts.
The Exchange has designated that the amendments be operative on Novembe |
Approved |
Yes |
12/9/2014 |
11/18/2014 |
SR-Phlx-2014-71
Notice
& Approval
|
A proposal to extend the implementation rollout of its new Options Floor Broker Management System.
|
Approved |
Yes |
12/10/2014 |
11/19/2014 |
SR-Phlx-2014-70
Notice
& Approval
|
Proposes to amend the Exchange's Pricing Schedule under Section VIII. |
Approved |
Yes |
12/3/2014 |
11/12/2014 |
SR-Phlx-2014-69
Notice
& Approval
|
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot
program that eliminates minimum value sizes for FLEX index options and FLEX equity options. |
Approved |
Yes |
11/26/2014 |
11/5/2014 |
SR-Phlx-2014-68
Resubmission
Notice
& Approval
|
A proposal to amend Routing Fees, and to allow aggregation of Customer volume for
calculating discount thresholds and receiving discounted routing fees. |
Approved |
Yes |
12/4/2014 |
11/13/2014 |
SR-Phlx-2014-67
Resubmission
Notice
& Approval
|
A proposed Rule Change to Correct Two Typographical Errors in Rule 3315. |
Approved |
Yes |
12/4/2014 |
11/13/2014 |
SR-Phlx-2014-66
Notice
SEC
Extension 1
OIP
Amendment
1
Amendment Withdrawal
Amendment
2
SEC Extension 2
Disapproval
|
A proposal to adopt new Exchange Rule 1081, Solicitation Mechanism, to introduce a
new electronic solicitation mechanism. |
Disapproved |
Yes |
11/21/2014 |
10/31/2014 |
SR-Phlx-2014-65
Notice
& Approval
|
A proposal to correct errors in Rule 705 ("Fidelity Bonds"). |
Approved |
Yes |
11/4/2014 |
10/14/2014 |
SR-Phlx-2014-64
Resubmission
Notice
& Approval
|
A proposal to correct Options Floor Procedure Advice ("Advice") F-27, Options
Exchange Official Rulings, by updating an obsolete reference. |
Approved |
Yes |
11/6/2014 |
10/16/2014 |
SR-Phlx-2014-63
Notice
& Approval
|
A proposal to correct an inconsistency in the Exchange's Rulebook related to Rule 60 entitled
"Sanctions for Breach of Regulations." |
Approved |
Yes |
10/29/2014 |
10/8/2014 |
SR-Phlx-2014-62
|
A proposed rule change to enable the Exchange to compete by revising the priority
afforded to in-crowd participants respecting crossing, facilitation and solicited orders in open
outcry trading. |
Rejected |
No |
|
|
SR-Phlx-2014-61
Notice
Approval
|
A proposed rule change with respect to amendments of the Amended and Restated Certificate of
Incorporation (the "Charter") and By-Laws (the "By-Laws") of its parent corporation, The NASDAQ OMX
Group, Inc. ("NASDAQ OMX" or the "Company"). |
Approved |
Yes |
10/20/2014 |
9/29/2014 |
SR-Phlx-2014-60
Notice
& Approval
|
A proposal to amend Pricing Schedule Section VIII, entitled NASDAQ OMX PSX FEES,
with respect to execution and routing of orders in securities priced at 1 dollar or more per share.
|
Approved |
Yes |
10/14/2014 |
9/23/2014 |
SR-Phlx-2014-59
Resubmission 1
Resubmission 2
Notice
& Approval
|
A proposal to extend the implementation rollout of the new Options Floor Broker Management System.
|
Approved |
Yes |
10/24/2014 |
10/3/2014 |
SR-Phlx-2014-58
Withdrawal
|
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled
"NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or
more per share. While changes to the Pricing Schedule pursuant to this pr |
Replaced by SR-Phlx-2014-60 |
No |
|
|
SR-Phlx-2014-57
Notice
& Approval
|
Proposed Rule Change Relating to Common Ownership. |
Approved |
Yes |
9/30/2014 |
9/9/2014 |
SR-Phlx-2014-56
Notice
& Approval
|
Proposed Rule Change Relating to Collection of Information Related to Aggregation
of Activity of Affiliates. |
Approved |
Yes |
9/30/2014 |
9/9/2014 |
SR-Phlx-2014-55
|
A proposal to adopt new Exchange Rule 1081, Solicitation Mechanism, to introduce a new electronic
solicitation mechanism pursuant to which a member can electronically submit all-or-none orders of
500 contracts or more (or, in the case of mini options, 500 |
Replaced by SR-Phlx-2014-66 |
No |
|
|
SR-Phlx-2014-54
Resubmission
Notice
Amendment
1
Approval
|
A proposal to amend Rule 1080.08(f)(iii) to add a new Complex Order process called
Legging Orders. |
Approved |
Yes |
10/16/2014 |
9/25/2014 |
SR-Phlx-2014-53
Notice
& Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option
Contracts) to conform Exchange rules pertaining to finer strike price intervals for standard
expiration contracts in option classes that also have Short Ter |
Approved |
Yes |
9/3/2014 |
8/13/2014 |
SR-Phlx-2014-52
Notice
& Approval
|
A proposal to amend the Customer Rebate Program in Section B of the Pricing
Schedule. |
Approved |
Yes |
9/5/2014 |
8/15/2014 |
SR-Phlx-2014-51
Resubmission
Notice
& Approval
|
A proposal to amend Section III of the Exchange's Pricing Schedule entitled "Singly Listed Options"
to: (i) amend Options Transaction Charges; (ii) delete NASDAQ OMX Alpha Indexes, MSCI Index Options,
and Treasury Securities pricing; (iii) adopt new pr |
Approved |
Yes |
9/5/2014 |
8/15/2014 |
SR-Phlx-2014-50
Notice
& Approval
|
A proposal to amend Simple Order pricing in Section I, entitled Rebates and Fees
for Adding and Removing Liquidity in SPY. |
Approved |
Yes |
9/4/2014 |
8/14/2014 |
SR-Phlx-2014-49
Notice
& Approval
|
A proposal to disclose publicly the sources of data, whether from the network processors or from
direct data feeds, that Phlx utilizes when performing (1) order handling and execution; (2) order
routing; and (3) related compliance processes. |
Approved |
Yes |
8/26/2014 |
8/5/2014 |
SR-Phlx-2014-48
Notice
& Approval
|
A proposed rule change to to extend, through July 18, 2015, the PIXL Pilot
concerning (i) the early conclusion of the PIXL Auction and (ii) permitting orders of fewer than 50
contracts into the PIXL Auction. |
Approved |
Yes |
8/12/2014 |
7/22/2014 |
SR-Phlx-2014-47
Notice
& Approval
|
A proposal to amend Section I of the Pricing Schedule which pertains to Rebates and Fees for Adding
and Removing Liquidity in SPY and Section II of the Pricing Schedule which pertains to Multiply
Listed Options fees. |
Approved |
Yes |
8/12/2014 |
7/22/2014 |
SR-Phlx-2014-46
Amendment
1
Notice 1
Approval
|
A proposal to amend Commentary .05 to Rule 1012 (Series of Options Open for
Trading) to allow $1 or greater strike price intervals for options on the SPDR® S&P 500®
Exchange Traded Fund ("SPY") and the SPDR® Dow Jones® Industrial Average Exchange Traded F |
Approved |
Yes |
8/20/2014 |
7/30/2014 |
SR-Phlx-2014-45
Resubmission
Notice
& Approval
|
A proposal to amend Section VI entitled "Membership Fees" to remove the Permit Fee for not
transacting business on the Exchange and add a Designated Examining Authority ("DEA") Fee. |
Approved |
Yes |
9/3/2014 |
8/13/2014 |
SR-Phlx-2014-44
Notice
& Approval
|
A proposal to delay the implementation of a recent proposal to assess joint back
office ("JBO") participants pricing the same as Broker-Dealers and require JBO participants to
utilize a new origin code to identify JBO orders. The Exchange proposes that |
Approved |
Yes |
8/8/2014 |
7/18/2014 |
SR-Phlx-2014-43
Notice
& Approval
|
Proposes to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX
FEES," with respect to execution and routing of orders in securities priced at $1 or more per share.
|
Approved |
Yes |
8/5/2014 |
7/15/2014 |
SR-Phlx-2014-42
Withdrawal
|
A proposal to amend Section I of the Pricing Schedule which pertains to Rebates
and Fees for Adding and Removing Liquidity in SPY and Section II of the Pricing Schedule which
pertains to Multiply Listed Options fees. While the changes proposed herein ar |
Replaced by SR-Phlx-2014-47 |
No |
|
|
SR-Phlx-2014-41
Notice
& Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option
Contracts) regarding the Short Term Option Program to introduce finer strike price intervals for
standard expiration contracts in option classes that also h |
Approved |
Yes |
7/29/2014 |
7/8/2014 |
SR-Phlx-2014-40
Notice
& Approval
|
A proposed rule change to eliminate the Midpoint Peg Post-Only Order and to modify
the functioning of the Minimum Quantity Order on NASDAQ OMX PSX ("PSX"). |
Approved |
Yes |
8/1/2014 |
7/11/2014 |
SR-Phlx-2014-39
Notice
& Approval
|
A proposed rule change to amend Rule 1080.08. |
Approved |
Yes |
7/7/2014 |
6/13/2014 |
SR-Phlx-2014-38
Notice
& Approval
|
A proposal to amend Pricing Schedule Section II entitled "Multiply Listed Options"
to: (1) amend Options Transaction Charges in Penny and Non-Penny Pilot Options; (ii) amend certain
Complex Order fees; (iii) amend incentives related to achieving certain |
Approved |
Yes |
7/11/2014 |
6/20/2014 |
SR-Phlx-2014-37
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through December 31, 2014, the
Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"), and to change
the date when delisted classes may be replaced in the Penny |
Approved |
Yes |
6/20/2014 |
5/30/2014 |
SR-Phlx-2014-36
Notice
& Approval
|
A proposal to amend fees for routing orders to away markets. Operative on June 2,
2014. |
Approved |
Yes |
6/23/2014 |
6/2/2014 |
SR-Phlx-2014-35
Notice
& Approval
|
A proposal to amend Rule 1022 ("Securities Accounts and Orders of Specialists and Registered Options
Traders") to require firms to report all of the accounts for which they engage in trading activities
or which they exercise investment discretion upon req |
Approved |
Yes |
6/19/2014 |
5/29/2014 |
SR-Phlx-2014-34
Notice
Withdrawal
Notice of Withdrawal
|
A proposal to delete from Section IX of the Exchange's Options Fee Schedule the
PHOTO Historical data product. |
Withdrawn |
Yes |
6/19/2014 |
5/29/2014 |
SR-Phlx-2014-33
Notice
& Approval
|
A proposal to extend the implementation rollout of the new Options Floor Broker Management System.
|
Approved |
Yes |
6/5/2014 |
5/15/2014 |
SR-Phlx-2014-32
Notice
& Approval
|
A proposal to amend Phlx Rule 1080 (Phlx XL and Phlx XL II) to change the
limitation on Exchange members entering, or facilitating entry of, electronic limit orders in the
same option series from off the floor of the Exchange, so that the limitation does |
Approved |
Yes |
6/6/2014 |
5/16/2014 |
SR-Phlx-2014-31
Notice
& Approval
|
A proposal to offer an additional rebate applicable to Qualified Contingent Cross orders. The
Exchange has designated that the amendments be operative on May 1, 2014. |
Approved |
Yes |
6/5/2014 |
5/15/2014 |
SR-Phlx-2014-30
Notice
& Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) in order to
modify the Quarterly Options Series ("QOS") Program to eliminate the cap on the number of additional
series that may be listed per expiration month for each QOS in exchange-tra |
Approved |
Yes |
5/28/2014 |
5/7/2014 |
SR-Phlx-2014-29
Resubmission
Notice
& Approval
|
A proposal to amend its Pricing Schedule to replace the reference to "GOOG7" to "GOLG7" with respect
to pricing for Mini Options. |
Approved |
Yes |
5/30/2014 |
5/9/2014 |
SR-Phlx-2014-28
Resubmission 1
Resubmission 2
Resubmission 3
Notice
& Approval
|
A proposal to assess joint back office ("JBO") participants pricing the same as
Broker-Dealers and require JBO participants to utilize a new origin code to identify JBO orders. The
Exchange proposes that the amendments become operative on July 1, 2014. |
Approved |
Yes |
5/30/2014 |
5/9/2014 |
SR-Phlx-2014-27
Notice
Approval
|
A proposal to add new paragraphs h and I to Rule 3312, entitled "Clearly Erroneous Transactions".
|
Approved |
Yes |
5/27/2014 |
5/6/2014 |
SR-Phlx-2014-26
Resubmission
Notice
& Approval
|
A proposal to change the reference to "GOOG" to "GOOGL." |
Approved |
Yes |
6/2/2014 |
5/12/2014 |
SR-Phlx-2014-25
Notice
& Approval
|
A proposal to amend Rules 1064 and 1080 to more specifically address the number and size of
contra-parties to a Qualified Contingent Cross Order. |
Approved |
Yes |
5/22/2014 |
5/1/2014 |
SR-Phlx-2014-24
Resubmission
Amendment
1
Notice
Approval
|
A proposed rule change to modify the order execution algorithm of Phlx's NASDAQ
OMX PSX facility. |
Approved |
Yes |
6/20/2014 |
5/30/2014 |
SR-Phlx-2014-23
Resubmission
Notice
SEC
Extension
Amendment 1
OIP
Approval
|
A proposed rule change to revise the priority afforded to in-crowd participants respecting crossing,
facilitation and solicited orders in open outcry trading. |
Approved |
Yes |
6/3/2014 |
5/13/2014 |
SR-Phlx-2014-22
Notice
& Approval
|
A proposal to clarify that Rule 1014 (Obligations and Restrictions Applicable to
Specialists and Registered Options Traders) quoting obligations apply to a Market Maker's appointed
issues collectively, rather than on an issue-by-issue basis. |
Approved |
Yes |
5/19/2014 |
4/28/2014 |
SR-Phlx-2014-21
Notice
& Approval
|
A proposed rule change to extend the pilot program regarding Exchange Rule 1047, which provides for
how the Exchange treats obvious and catastrophic options errors in response to the Plan to Address
Extraordinary Market Volatility Pursuant to Rule 608 of |
Approved |
Yes |
5/5/2014 |
4/14/2014 |
SR-Phlx-2014-20
Notice
& Approval
|
A proposal to amend the manner in which it authorizes action in emergency and
extraordinary market conditions. |
Approved |
Yes |
5/5/2014 |
4/14/2014 |
SR-Phlx-2014-19
Notice
& Approval
|
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot
program that eliminates minimum value sizes for FLEX index options and FLEX equity options (together
known as "FLEX Options"). |
Approved |
Yes |
4/23/2014 |
4/2/2014 |
SR-Phlx-2014-18
Notice
& Approval
|
A proposal to extend the pilot period of amendments to Rule 3312, governing
clearly erroneous executions. |
Approved |
Yes |
4/18/2014 |
3/28/2014 |
SR-Phlx-2014-17
Withdrawal
|
A proposal to amend Phlx Rule 1080 (Phlx XL and Phlx XL II) to change the limitation on Exchange
members entering, or facilitating entry of, electronic limit orders in the same option series from
off the floor of the Exchange, so that the limitation does |
Withdrawn |
No |
|
|
SR-Phlx-2014-16
Notice
& Approval
|
A proposed rule change to amend Rule 1080.08(e) to provide that market maker
Complex Orders cannot initiate a Complex Order Live Auction. |
Approved |
Yes |
4/14/2014 |
3/24/2014 |
SR-Phlx-2014-15
Notice
& Approval
|
A proposal to amend Simple Order pricing in Section I. The Exchange has designated that the
amendments be operative on March 3, 2014. |
Approved |
Yes |
4/4/2014 |
3/14/2014 |
SR-Phlx-2014-14
Resubmission
Notice
& Approval
|
A proposal to amend the Customer Rebate Program and amend Section II of the
Pricing Schedule entitled "Multiply Listed Options Fees." |
Approved |
Yes |
4/9/2014 |
3/19/2014 |
SR-Phlx-2014-13
Resubmission
Notice
& Approval
|
A proposal to amend Section V of the Pricing Schedule entitled "Routing Fees." The Exchange has
designated that the amendments be operative on March 3, 2014. |
Approved |
Yes |
4/4/2014 |
3/14/2014 |
SR-Phlx-2014-12
Resubmission
Notice
& Approval
|
A proposal to specify the frequency with which the Exchange may change the Options
Regulatory Fee. The Exchange has designated that the amendments be operative on March 3, 2014. |
Approved |
Yes |
3/18/2014 |
2/25/2014 |
SR-Phlx-2014-11
Notice
& Approval
|
A proposed rule change to modify the optional anti-internalization functionality of Phlx's NASDAQ
OMX PSX facility. |
Approved |
Yes |
3/12/2014 |
2/19/2014 |
SR-Phlx-2014-10
Notice
& Approval
|
A proposed rule change to add a risk management tool commonly known as a "Kill
Switch" as set forth in proposed PHLX Rule 3316. |
Approved |
Yes |
3/17/2014 |
2/24/2014 |
SR-Phlx-2014-09
Notice
& Approval
|
Proposes to amend Section VIII of the Pricing Schedule entitled "NASDAQ OMX PSX Fees," with respect
to execution and routing of orders in securities priced at $1 or more per share. |
Approved |
Yes |
3/11/2014 |
2/18/2014 |
SR-Phlx-2014-08
Notice
& Approval
|
Proposes to amend the fee caps applicable to certain strategies on Multiply Listed
Options in Section II, entitled "Multiply Listed Options Fees. |
Approved |
Yes |
3/12/2014 |
2/19/2014 |
SR-Phlx-2014-07
Notice
& Approval
|
A proposal to permit an expedited application process for firms that are already approved members of
NASDAQ or BX. |
Approved |
Yes |
3/3/2014 |
2/10/2014 |
SR-Phlx-2014-06
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule to amend Simple Order pricing
in Section I, entitled Rebates and Fees for Adding and Removing Liquidity in SPY. |
Approved |
Yes |
3/4/2014 |
2/11/2014 |
SR-Phlx-2014-05
Notice
& Approval
|
A proposal to permit the Exchange to receive inbound orders in options routed through Nasdaq
Execution Services, LLC ("NES"). |
Approved |
Yes |
2/24/2014 |
2/3/2014 |
SR-Phlx-2014-04
Notice
& Approval
|
A proposal to use Nasdaq Execution Services, LLC ("NES") as opposed to Nasdaq
Options Services LLC ("NOS") for outbound order routing. |
Approved |
Yes |
2/24/2014 |
2/3/2014 |
SR-Phlx-2014-03
Notice
& Approval
|
A proposal to amend the Customer Rebate Program in Section B of the Pricing Schedule. |
Approved |
Yes |
2/4/2014 |
1/14/2014 |
SR-Phlx-2014-02
|
A proposal to permit the Exchange to receive inbound orders in options routed
through Nasdaq Execution Services, LLC ("NES") from affiliated exchanges. |
Replaced by SR-Phlx-2014-05 |
No |
|
|
SR-Phlx-2014-01
Notice
& Approval
|
A proposal to clarify that the Exchange does not charge an extranet access fee ("Extranet Access
Fee"). |
Approved |
Yes |
1/31/2014 |
1/10/2014 |
rulebook-rulefilings-phlx-2013
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2013-132
|
A proposal to adopt new Exchange Rule 1081, Solicitation Mechanism, to introduce a new electronic
solicitation mechanism pursuant to which a member can electronically submit all-or-none orders of
500 contracts or more the member represents as agent agains |
Replaced by SR-Phlx-2014-55 |
No |
|
|
SR-Phlx-2013-131
|
A proposal to use Nasdaq Execution Services, LLC as opposed to Nasdaq Options
Services LLC for outbound order routing, as explained further below. |
Replaced by SR-Phlx-2014-04 |
No |
|
|
SR-Phlx-2013-130
|
Proposes to amend the Customer Rebate Program in Section B of the Pricing Schedule. |
Replaced by SR-Phlx-2014-03 |
No |
|
|
SR-Phlx-2013-129
Notice
& Approval
|
A proposal to delay the implementation of its new Options Floor Broker Management
System. |
Approved |
Yes |
1/28/2014 |
1/7/2014 |
SR-Phlx-2013-128
Notice
& Approval
|
A proposed rule change to further describe the application of fees assessed pursuant to subparagraph
d of Testing Facilities under Chapter VIII of the Exchange's Pricing Schedule. |
Approved |
Yes |
1/29/2014 |
1/8/2014 |
SR-Phlx-2013-127
Notice
& Approval
|
A proposed rule change to modify the definition of "System Securities" set forth
in PSX Rule 3301(b) which governs the operation of the trading system of the NASDAQ OMX PSX equities
market. |
Approved |
Yes |
1/17/2014 |
12/27/2013 |
SR-Phlx-2013-126
|
A proposal to clarify that the Exchange does not charge an extranet access fee ("Extranet Access
Fee"). |
Replaced by SR-Phlx-2014-01 |
No |
|
|
SR-Phlx-2013-125
Notice
& Approval
|
A proposal to amend the Routing Fees in Section V of the Pricing Schedule in order
to continue to incentivize member to direct Customer orders to the Exchange. The Exchange has
designated that the amendments be operative on January 2, 2014. |
Approved |
Yes |
2/4/2014 |
1/14/2014 |
SR-Phlx-2013-124
Resubmission
Notice
& Approval
|
A proposal to: (i) amend certain Options Transactions Charges with respect to Section II related to
Multiply Listed Options Fees; (ii) eliminate the Electronic Firm Fee Discount in Section II; and
(iii) eliminate outdated rule text in Section II related |
Approved |
Yes |
2/4/2014 |
1/14/2014 |
SR-Phlx-2013-123
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30,
2014, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"), and
to change the date when delisted classes may be replaced in the Penny Pil |
Approved |
Yes |
1/13/2014 |
12/23/2013 |
SR-Phlx-2013-122
|
A proposed rule change to further describe the application of fees assessed pursuant to subparagraph
(d) of "Testing Facilities" under Chapter VIII of the Exchange's Pricing Schedule. The Exchange is
also eliminating outdated text relating to the applica |
Rejected |
No |
|
|
SR-Phlx-2013-121
Notice
& Approval
|
A proposal to amend two features of the Exchange's Complex Orders functionality.
|
Approved |
Yes |
1/13/2014 |
12/23/2013 |
SR-Phlx-2013-120
Notice
& Approval
|
A proposed rule change to extend the pilot program in Rule 1059, Accommodation Transactions, to
allow cabinet trading to take place below 1 dollar per option contract under specified
circumstances. |
Approved |
Yes |
1/13/2014 |
12/23/2013 |
SR-Phlx-2013-119
Notice
& Approval
|
A proposal to amend fees and rebates applicable to Qualified Contingent Cross
("QCC") orders. |
Approved |
Yes |
1/9/2014 |
12/19/2013 |
SR-Phlx-2013-118
Notice
& Approval
|
A proposal to amend the Routing Fees in Section V of the Pricing Schedule in order to recoup costs
the Exchange incurs for routing and executing certain orders in equity options to away markets. |
Approved |
Yes |
1/7/2014 |
12/17/2013 |
SR-Phlx-2013-117
Notice
& Approval
|
A proposal to amend the Pricing Schedule with respect to the Customer Rebate
Program, Simple Order pricing, certain Multiply Listed Options Fees, Singly Listed Options, Other
Transaction Fees and PIXL Pricing. The amendments will be operative on Dece |
Approved |
Yes |
1/8/2014 |
12/18/2013 |
SR-Phlx-2013-116
Notice
& Approval
|
A proposed rule change to establish fees under the PHLX Pricing Schedule for use of the carteret
testing facility test environment. |
Approved |
Yes |
1/7/2014 |
12/17/2013 |
SR-Phlx-2013-115
Notice
Approval
|
A proposed rule change with respect to amendments of the Restated Certificate of
Incorporation (the "Charter") and By-Laws (the "By-Laws") of its parent corporation, The NASDAQ OMX
Group, Inc. ("NASDAQ OMX" or the "Company"). |
Approved |
Yes |
1/2/2014 |
12/12/2013 |
SR-Phlx-2013-114
Notice
& Approval
|
A proposal to increase certain Customer rebates in Section B of the Pricing Schedule to provide
members an opportunity to receive higher Customer rebates. |
Approved |
Yes |
12/30/2013 |
12/9/2013 |
SR-Phlx-2013-113
Notice
& Approval
OIP
SEC
Extension
Disapproval
SEC
Order
|
A proposal to offer members the opportunity to increase the Customer rebates
offered in Section B of the Pricing Schedule for transactions on Phlx if the aggregate volumes of
Customer orders transacted by a member organization and its affiliates on Phlx, |
Disapproved |
Yes |
12/10/2013 |
11/19/2013 |
SR-Phlx-2013-112
Notice
& Approval
|
A proposal to amend the PIXL Auction Notification requirements under Rule 1080(n) by no longer
including the stop price in the PAN. |
Approved |
Yes |
12/10/2013 |
11/19/2013 |
SR-Phlx-2013-111
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled
"NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or
more per share. |
Approved |
Yes |
12/11/2013 |
11/20/2013 |
SR-Phlx-2013-110
Notice
& Approval
|
A proposal to lower certain rebate tier percentage thresholds in the "Customer Rebate Program" in
Section B of the Pricing Schedule to provide members a greater opportunity to receive Customer
rebates. |
Approved |
Yes |
12/6/2013 |
11/15/2013 |
SR-Phlx-2013-109
Notice
& Approval
|
A proposal to adopt a strategy fee cap applicable to box spreads. |
Approved |
Yes |
12/9/2013 |
11/18/2013 |
SR-Phlx-2013-108
Resubmission
Notice
& Approval
|
A proposal to extend the pilot program to eliminate position limits for options on the SPDR® S&P
500® exchange-traded fund ("SPY ETF" or "SPY") for another fourteen (14) months. |
Approved |
Yes |
12/11/2013 |
11/20/2013 |
SR-Phlx-2013-107
Withdrawal
|
A proposed rule change with respect to amendments of the Restated Certificate of
Incorporation (the "Charter") and By-Laws (the "By-Laws") of its parent corporation, The NASDAQ OMX
Group, Inc. ("NASDAQ OMX" or the "Company"). |
Replaced by SR-Phlx-2013-115 |
No |
|
|
SR-Phlx-2013-106
Notice
SEC
Extension
Withdrawal
|
A proposal to amend Rules 1064 and 1080 to more specifically address the number and size of
counterparties to a Qualified Contingent Cross Order. |
Replaced by SR-Phlx-2014-25 |
Yes |
12/4/2013 |
11/13/2013 |
SR-Phlx-2013-105
Notice
& Approval
|
A proposed rule change to establish for PHLX orders ("PHLX Orders") Managed Data
Solution fees for non-display usage ("Non-Display Usage"), and to establish that Managed Data
Solutions containing Top of PHLX Options (also known as "TOPO") are for non-disp |
Approved |
Yes |
11/19/2013 |
10/29/2013 |
SR-Phlx-2013-104
Notice
& Approval
|
A proposed rule change to amend certain procedural rules to implement the change in the expiration
date for most option contracts to the third Friday of the expiration month instead of the Saturday
following the third Friday. |
Approved |
Yes |
11/19/2013 |
10/29/2013 |
SR-Phlx-2013-103
Withdrawal
|
A proposal to assess a Specialist Allocation Fee for certain options classes
allocated to a specialist unit. |
Withdrawn |
No |
|
|
SR-Phlx-2013-102
Withdrawal
|
A proposed rule change to establish for PHLX orders Managed Data Solution fees for non-display
usage. |
Replaced by SR-PHLX-2013-105 |
No |
|
|
SR-Phlx-2013-101
Notice
Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) to expand the
Short Term Option Program ("STO Program" or "Program). |
Approved |
Yes |
11/12/2013 |
10/22/2013 |
SR-Phlx-2013-100
Notice
& Approval
|
A proposal to delay the implementation of its new Options Floor Broker Management System. |
Approved |
Yes |
11/12/2013 |
10/22/2013 |
SR-Phlx-2013-99
Notice
& Approval
|
A proposal to clarify that Rule 1014 (Obligations and Restrictions Applicable to
Specialists and Registered Options Traders) quoting obligations remain in effect on a daily basis
even though compliance with such obligations may be determined on a monthly |
Approved |
Yes |
11/12/2013 |
10/22/2013 |
SR-Phlx-2013-98
|
A proposal to amend the manner in which it will calculate volume and pay rebates pursuant to the
Customer Rebate Program in Section B of the Pricing Schedule. |
Rejected |
No |
|
|
SR-Phlx-2013-97
Notice
& Approval
|
Proposal to extend a pilot program related to Rule 3312, entitled Clearly
Erroneous Transactions, and to remove certain references to individual stock trading pauses
contained in Rule 3312(a)(2)(C)(4). |
Approved |
Yes |
10/24/2013 |
10/3/2013 |
SR-Phlx-2013-96
Resubmission
Notice
& Approval
|
A proposal to amend the Table of Contents to its Pricing Schedule to refer to FLEX fees which were
inadvertently not added to the Table of Contents at the time the fees were adopted. |
Approved |
Yes |
11/12/2013 |
10/22/2013 |
SR-Phlx-2013-95
Notice
& Approval
|
A proposal to adopt a temporary rule to change the expiration date for most option
contracts to the third Friday of the expiration month instead of the Saturday following the third
Friday. |
Approved |
Yes |
10/16/2013 |
9/25/2013 |
SR-Phlx-2013-94
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option
Contracts) to expand the Short Term Option Program ("STO Program" or "Program"). |
Rejected |
No |
|
|
SR-Phlx-2013-93
Notice
& Approval
|
A proposal to make a minor modification to pricing incentive programs under PHLX's
schedule of fees and credits applicable to options trading on PHLX. |
Approved |
Yes |
10/18/2013 |
9/27/2013 |
SR-Phlx-2013-92
Notice
& Approval
|
A proposal to waive the Broker-Dealer Floor Options Transaction Charge (including the Cabinet
Options Transaction Charge) and the Broker-Dealer FLEX transaction fee in certain circumstances.
|
Approved |
Yes |
10/11/2013 |
9/20/2013 |
SR-Phlx-2013-90
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule with respect to certain
pricing in Section II entitled "Multiply Listed Options Fees. |
Approved |
Yes |
10/8/2013 |
9/17/2013 |
SR-Phlx-2013-89
Notice
& Approval
|
A proposed rule change to change the expiration date for most option contracts to the third Friday
of the expiration month instead of the Saturday following the third Friday, and to make other
related administrative changes to ensure consistency in rule t |
Approved |
Yes |
9/20/2013 |
8/30/2013 |
SR-Phlx-2013-88
Resubmission
Notice
& Approval
|
A proposed rule change to amend Rule 1080.08(e) in three ways: (1) to include the
price and side of the market of a Complex Order in the broadcast message to Phlx XL participants
indicating that a Complex Order Live Auction ("COLA") has been initiated; ( |
Approved |
Yes |
9/24/2013 |
9/3/2013 |
SR-Phlx-2013-87
Notice
& Approval
|
A proposal to amend the Commentary to Rule 1080 to add a new PIXL ISO order type. |
Approved |
Yes |
9/25/2013 |
9/4/2013 |
SR-Phlx-2013-86
Withdrawal
|
A proposed rule change to amend Rule 1080.08(e) in three ways: (1) to include the
price and side of the market of a Complex Order in the broadcast message to Phlx XL participants
indicating that a Complex Order Live Auction ("COLA") has been initiated; ( |
Replaced by SR-Phlx-2013-88 |
No |
|
|
SR-Phlx-2013-85
Resubmission
Notice
& Approval
|
A proposal to codify in Rule 640 the continuing education requirements that currently apply, to
adopt a continuing education requirement for persons registered as Proprietary Traders and to adopt
a fee for the new continuing education program. |
Approved |
Yes |
10/2/2013 |
9/11/2013 |
SR-Phlx-2013-84
Resubmission
Notice
& Approval
|
A proposal to amend rule 910 and related Phlx rules to allow the Membership
Department to request information from member organizations seeking to become market makers. |
Approved |
Yes |
9/24/2013 |
9/3/2013 |
SR-Phlx-2013-83
Notice
& Approval
|
A proposal to delay the implementation of the new Options Floor Broker Management System. |
Approved |
Yes |
9/4/2013 |
8/14/2013 |
SR-Phlx-2013-82
Notice
& Approval
|
A proposed rule change to modify Phlx connectivity options and fees. |
Approved |
Yes |
9/9/2013 |
8/19/2013 |
SR-Phlx-2013-81
Notice
& Approval
|
A proposal to adopt Rule 1015 (Accommodations) which would create a limited set of exceptions to the
Exchange's existing limitation of liability rules. |
Approved |
Yes |
9/4/2013 |
8/14/2013 |
SR-Phlx-2013-80
Notice
& Approval
|
Proposed changes to its Excess Order Fee under Section VIII of the Phlx Pricing
Schedule. |
Approved |
Yes |
8/30/2013 |
8/9/2013 |
SR-Phlx-2013-79
Notice
& Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option
Contracts) to provide for the ability to open up to five consecutive expirations under the Short
Term Option Program ("STO Program" or "Program"). |
Approved |
Yes |
8/30/2013 |
8/9/2013 |
SR-Phlx-2013-78
Notice
& Approval
|
A proposal to amend rules 1047 and 1047A to expressly state that technical
failures may be considered when determining whether to halt or suspend options trading. |
Approved |
Yes |
8/29/2013 |
8/8/2013 |
SR-Phlx-2013-77
Notice
& Approval
|
A proposed rule change to modify the rule governing modification of orders on NASDAQ OMX PSX in the
event of an issuer corporate action related to a dividend, payment or distribution. |
Approved |
Yes |
8/30/2013 |
8/9/2013 |
SR-Phlx-2013-76
Resubmission 1
Resubmission 2
Notice
Approval
|
A proposed rule change relating to the discontinuation of the differentiation of
price improvement XL orders of less than 50 contracts. |
Approved |
Yes |
9/17/2013 |
8/27/2013 |
SR-Phlx-2013-75
|
A proposal to expand the Short Term Option Program ("STO Program") . |
Rejected |
No |
|
|
SR-Phlx-2013-74
Resubmission
Notice
& Approval
|
A proposed rule change relating to the extension of a the PIXL pilot program
(price improvement XL). |
Approved |
Yes |
8/12/2013 |
7/22/2013 |
SR-Phlx-2013-73
Notice
& Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) to permit the Exchange to list
additional strike prices until the close of trading on the second business day prior to the
expiration of a monthly, or standard, option in the event of unus |
Approved |
Yes |
7/30/2013 |
7/9/2013 |
SR-Phlx-2013-72
Resubmission
Notice
& Approval
|
A proposal to amend the Acceptable Complex Execution Parameter ("ACE Parameter")
in Rule 1080.08(i). |
Approved |
Yes |
7/30/2013 |
7/9/2013 |
SR-Phlx-2013-71
Notice
& Approval
|
The Exchange proposes to eliminate the current pricing in Section I of the Pricing Schedule which is
applicable to Select Symbols. The Exchange has designated that the amendments be operative on July
1, 2013. |
Approved |
Yes |
8/6/2013 |
7/16/2013 |
SR-Phlx-2013-70
Notice
& Approval
|
Proposed changes to its schedule of fees and rebates for the execution of quotes
and orders on NASDAQ OMX PSX |
Approved |
Yes |
7/29/2013 |
7/8/2013 |
SR-Phlx-2013-69
Notice
& Approval
|
A proposed rule change to establish an Acceptable Trade Range for orders and quotes on PHLX XL. The
Acceptable Trade Range functionality is intended to dampen volatility when necessary in rare cases
of unusual market conditions by allowing orders to exec |
Approved |
Yes |
7/22/2013 |
7/1/2013 |
SR-Phlx-2013-68
Resubmission
Notice
& Approval
|
A proposal to amend Section B of the Pricing Schedule to provide members and
member organizations the ability to achieve greater Customer rebates by transacting PIXL Orders.
|
Approved |
Yes |
7/22/2013 |
7/1/2013 |
SR-Phlx-2013-67
Notice
& Approval
|
A proposal to delay the implementation of its new Options Floor Broker Management System. |
Approved |
Yes |
7/17/2013 |
6/26/2013 |
SR-Phlx-2013-66
Notice
& Approval
|
A proposed rule change to amend Rule 3100 to adopt a modification in the process
for initiating trading of a security that is the subject of a trading halt or pause on NASDAQ OMX
PSX. |
Approved |
Yes |
7/18/2013 |
6/27/2013 |
SR-Phlx-2013-65
Notice
2
SEC Extension
Correction
Withdrawal
|
A proposal to amend Rule 1080.08(e) to provide that the Exchange can determine, based on origin
type, which Complex Orders can initiate a Complex Order Live Auction ("COLA"). |
Withdrawn |
Yes |
7/18/2013 |
6/27/2013 |
SR-Phlx-2013-64
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to: extend through
December 31, 2013, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or
"Pilot"), and to change the date when delisted classes may be replaced in the Penn |
Approved |
Yes |
7/15/2013 |
6/24/2013 |
SR-Phlx-2013-63
Notice
& Approval
|
A proposed rule change to disseminate a spot price for its physically-settled options on certain
U.S. Treasury notes and U.S. Treasury bonds. |
Approved |
Yes |
7/8/2013 |
6/17/2013 |
SR-Phlx-2013-62
Amendment
1
Notice & Approval
|
A proposed rule change to introduce a Market Maker Peg Order for use on NASDAQ OMX
PSX |
Approved |
Yes |
7/10/2013 |
6/19/2013 |
SR-Phlx-2013-61
Notice
& Approval
|
A proposal to (i) amend the Customer Rebate Program; (ii) adopt new pricing specific to options
overlying Standard and Poor's Depositary Receipts/SPDRs; (iii) amend the Complex Order Fee for
Removing Liquidity applicable to Specialists and Market Makers |
Approved |
Yes |
7/11/2013 |
6/20/2013 |
SR-Phlx-2013-60
Notice
& Approval
|
Proposed changes to its schedule of fees and rebates for the execution of quotes
and orders on NASDAQ OMX PSX |
Approved |
Yes |
7/5/2013 |
6/13/2013 |
SR-Phlx-2013-59
Notice
& Approval
Correction
|
A proposal to adopt a strategy fee cap applicable to jelly rolls. The Exchange has designated the
proposed amendment to be operative on May 22, 2013. |
Approved |
Yes |
6/26/2013 |
6/5/2013 |
SR-Phlx-2013-58
Notice
& Approval
|
A proposal to amend the Permit Fee and certain Options Trading Floor Fees,
including a technical amendment to the Pricing Schedule. The Exchange has designated the proposed
amendment to be operative on June 3, 2013. |
Approved |
Yes |
6/26/2013 |
6/5/2013 |
SR-Phlx-2013-57
Notice
& Approval
|
A proposal to correct a typographical error in the title of the Rule 1000D Series of Rules (Rules
Applicable to the Trading of Options on Treasury Securities) and a typographical error in Rule 1004D
(Reports Related to Position Limits and Liquidation of P |
Approved |
Yes |
6/28/2013 |
6/7/2013 |
SR-Phlx-2013-56
Notice
& Approval
|
A proposed rule change to adopt a rule governing cancellation of orders on NASDAQ
OMX PSX in the event of an issuer corporate action related to a dividend, payment or distribution,
and to make related clarifications to rule text. |
Approved |
Yes |
6/20/2013 |
5/30/2013 |
SR-Phlx-2013-55
Resubmission
Notice
& Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option
Contracts) to give the Exchange the ability to initiate strike prices in more granular intervals for
Short Term Options ("STOs") in the same manner as on ot |
Approved |
Yes |
6/20/2013 |
5/30/2013 |
SR-Phlx-2013-54
Notice
& Approval
|
A proposal to stipulate how PSX Participants may modify previously entered orders
and to describe how modified orders are processed. |
Approved |
Yes |
6/14/2013 |
5/24/2013 |
SR-Phlx-2013-53
Notice
& Approval
|
A proposed rule change to extend the pilot program in Rule 1059, Accommodation Transactions, to
allow cabinet trading to take place below $1 per option contract under specified circumstances. |
Approved |
Yes |
6/12/2013 |
5/22/2013 |
SR-Phlx-2013-52
Amendment
1
Notice
Withdrawal
|
A proposal to establish a Lead Market Maker program on its NASDAQ OMX PSX market
and to make related changes to its schedule of fees and rebates for execution of quotes and orders
on PSX. |
Withdrawn |
Yes |
6/18/2013 |
5/28/2013 |
SR-Phlx-2013-51
Notice
& Approval
|
A proposed changes to the schedule of fees and rebates for execution of quotes and orders on NASDAQ
OMX PSX. |
Approved |
Yes |
6/11/2013 |
5/21/2013 |
SR-Phlx-2013-50
Notice
& Approval
|
A proposal to amend Rule 1079 and OFPA F-28 to establish the same procedures for
quoting and trading FLEX options as exist today on NYSE MKT LLC. |
Approved |
Yes |
6/11/2013 |
5/21/2013 |
SR-Phlx-2013-49
Notice
& Approval
|
A proposal (i) to amend Category A of the Customer Rebate Program to offer increased rebate
opportunities for PIXL Orders greater than 999 contracts in Section II symbols; (ii) to amend
Section II to increase the maximum QCC rebate that will be paid by th |
Approved |
Yes |
6/5/2013 |
5/15/2013 |
SR-Phlx-2013-48
Notice
& Approval
|
A proposal to amend fees and rebates applicable to Qualified Contingent Cross
("QCC") orders. |
Approved |
Yes |
6/5/2013 |
5/15/2013 |
SR-Phlx-2013-47
|
Proposed changes to its schedule of fees and rebates for execution of quotes and orders on NASDAQ
OMX PSX. |
Replaced by SR-Phlx-2013-51 |
No |
|
|
SR-Phlx-2013-46
Amendment
1
Notice
Approval
|
A proposal to amend Rule 1080 (Phlx XL and Phlx XL II) to accommodate Complex
Orders in PIXL. |
Approved |
Yes |
6/5/2013 |
5/15/2013 |
SR-Phlx-2013-45
Notice
& Approval
|
Proposes to amend Section A of the Exchange's Pricing Schedule entitled "Mini Options Fees". |
Approved |
Yes |
6/6/2013 |
5/16/2013 |
SR-Phlx-2013-44
Notice
& Approval
|
A proposal to amend the Pricing Schedule to reflect recent amendments to Exchange
Rule 1014, to change references to the Remote Streaming Trader Fee, and to make technical
amendments. |
Approved |
Yes |
5/30/2013 |
5/9/2013 |
SR-Phlx-2013-43
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule to waive the Application and Initiation Fees,
for a defined period of time, in order that certain market making firms may comply with new
requirements imposed by the Exchange at no cost. |
Approved |
Yes |
5/29/2013 |
5/8/2013 |
SR-Phlx-2013-42
Notice
Approval
|
A proposed rule change for the permanent approval of the Exchange's pilot program
to permit the Exchange to accept inbound options orders routed by Nasdaq Options Services LLC
("NOS") from NASDAQ OMX BX, Inc. ("BX"). |
Approved |
Yes |
5/29/2013 |
5/8/2013 |
SR-Phlx-2013-41
|
A proposal to amend Rule 1079 and OFPA F-28 to establish the same procedures for quoting and trading
FLEX options as exist today on NYSE MKT LLC. |
Replaced by SR-Phlx-2013-50 |
No |
|
|
SR-Phlx-2013-40
Notice
& Approval
|
A proposal to amend Strategy Fee Caps. The Exchange has designated the proposed
amendment to be operative on April 18, 2013. |
Approved |
Yes |
5/23/2013 |
5/2/2013 |
SR-Phlx-2013-39
|
A proposal to amend Rule 1080 (Phlx XL and Phlx XL II) to accommodate Complex Orders in PIXL. |
Rejected |
No |
|
|
SR-Phlx-2013-38
Notice
& Approval
|
The purpose of this filing is to amend Routing Fees in Section V of the Pricing
Schedule in order to recoup costs that the Exchange incurs for routing and executing orders in
equity options to various away markets. The Exchange has designated the propose |
Approved |
Yes |
5/15/2013 |
4/24/2013 |
SR-Phlx-2013-37
Notice
& Approval
|
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot
program that eliminates minimum value sizes for FLEX index options and FLEX equity options (together
known as "FLEX Options"). |
Approved |
Yes |
4/29/2013 |
4/8/2013 |
SR-Phlx-2013-36
Notice
& Approval
|
A proposal to address the manner in which Mini Options will trade as a Complex
Order, in a PIXL auction or as a Qualified Contingent Cross Order. |
Approved |
Yes |
4/22/2013 |
4/1/2013 |
SR-Phlx-2013-35
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule by adding Section A, entitled "Mini Options
Fees," and by redesignating existing Section A as Section B. |
Approved |
Yes |
5/6/2013 |
4/15/2013 |
SR-Phlx-2013-34
Notice
& Approval
|
REPLACES SR-Phlx-2013-33. A proposal to address the manner in which options
contracts overlying 10 shares of a security ("Mini Options") will trade as a Complex Order. |
Approved |
Yes |
4/12/2013 |
3/22/2013 |
SR-Phlx-2013-33
Withdrawal
|
A proposal to address the manner in which options contracts overlying 10 shares of a security ("Mini
Options") will trade as a Complex Order. |
Replaced by SR-Phlx-2013-34 |
No |
|
|
SR-Phlx-2013-32
Withdrawal
|
A proposal to address the manner in which Mini Options will trade as a Complex
Order, in a PIXL auction or as a Qualified Contingent Cross Order. |
Replaced by SR-Phlx-2013-36 |
No |
|
|
SR-Phlx-2013-31
Notice
& Approval
|
A proposal to amend certain Simple Order Fees for Removing Liquidity , to amend the Firm Options
Transaction Charges in Penny and Non-Penny Pilot Options, and to waive the Firm Options Transaction
Charge in certain circumstances. |
Approved |
Yes |
4/17/2013 |
3/27/2013 |
SR-Phlx-2013-30
Notice
& Approval
|
A proposal to change Rule 1012 (Series of Options Open for Trading) and Rule 1034
(Minimum Increments) to permit the minimum price variation for Mini Options contracts that deliver
10 shares to be the same as permitted for standard options that deliver 10 |
Approved |
Yes |
4/12/2013 |
3/22/2013 |
SR-Phlx-2013-29
Notice
Approval
|
PILOT: Options Errors in Limit Up Limit Down. A proposal to provide for how the Exchange will treat
obvious and catastrophic options errors in response to the Regulation NMS Plan to Address
Extraordinary Market Volatility. |
Approved |
Yes |
4/10/2013 |
3/20/2013 |
SR-Phlx-2013-28
Notice
& Approval
|
A proposal to establish a program for Managed Data Solutions ("MDS"). |
Approved |
Yes |
4/16/2013 |
3/26/2013 |
SR-Phlx-2013-27
Withdrawal
|
A proposed rule change in Section VIII (NASDAQ OMX PSX Fees) of the NASDAQ OMX PHLX Pricing
Schedule, to establish a program for Managed Data Solutions ("MDS") in a new section entitled PSX
Managed Data Solution Fees ("PSX MDS Fees"). |
Replaced by SR-Phlx-2013-28 |
No |
|
|
SR-Phlx-2013-26
Notice
& Approval
|
A proposal to amend Exchange Rule 3100 to establish rules to comply with the
requirements of the Plan to Address Extraordinary Market Volatility submitted to the Commission
pursuant to Rule 608 of Regulation NMS. |
Approved |
Yes |
4/18/2013 |
3/28/2013 |
SR-Phlx-2013-25
Withdrawal
|
A proposal to provide for how the Exchange will treat obvious and catastrophic options errors in
response to the Regulation NMS Plan to Address Extraordinary Market Volatility. |
Replaced by SR-Phlx-2013-29 |
No |
|
|
SR-Phlx-2013-24
Amendment
1
Notice
Approval
|
A proposed rule change to modify certain aspects of the operation of NASDAQ OMX
PSX |
Approved |
Yes |
4/16/2013 |
3/26/2013 |
SR-Phlx-2013-23
Resubmission
Notice
& Approval
|
A proposal to amend Section V of the Pricing Schedule entitled "Routing Fees" and to amend the
Customer Rebate Program. The Exchange has designated the proposed amendment to be operative on April
1, 2013. |
Approved |
Yes |
4/26/2013 |
4/5/2013 |
SR-Phlx-2013-22
|
A proposal to amend Rule 1080 (Phlx XL and Phlx XL II) to accommodate Complex
Orders in PIXL. |
Rejected |
No |
|
|
SR-Phlx-2013-21
Notice
Approval
|
PILOT: Options Market-Making Quoting Obligations in LULD. A proposed rule change to adopt a new
Exchange Rule 1047(f)(iv) to provide for how the Exchange proposes to treat market-making quoting
obligations, in response to the Regulation NMS Plan to Addre |
Approved |
Yes |
4/3/2013 |
3/13/2013 |
SR-Phlx-2013-20
Resubmission
Notice
& Approval
|
A proposed rule change: (i) to adopt new Exchange Rule 1047(f) to provide for how
the Exchange proposes to treat orders in response to the Regulation NMS Plan to Address
Extraordinary Market Volatility; and (ii) to adopt new Exchange Rule 1047(g) to codif |
Approved |
Yes |
4/8/2013 |
3/18/2013 |
SR-Phlx-2013-19
Resubmission
Notice
& Approval
|
Proposed changes to the fee schedule governing order routing for PSX. |
Approved |
Yes |
4/4/2013 |
3/14/2013 |
SR-Phlx-2013-18
Notice
& Approval
|
A proposal to amend Exchange Rule 1101A (Terms of Option Contracts) to clarify
that long-term index options series must have a term of not less than nine months to expiration, and
to reflect that certain rules will not apply to such long-term options ser |
Approved |
Yes |
3/29/2013 |
3/8/2013 |
SR-Phlx-2013-17
Notice
& Approval
|
A proposal to amend Routing Fees in Section V of the Pricing Schedule in order to recoup costs
applicable to the C2 Options Exchange, Inc. that the Exchange incurs for routing and executing
orders in equity options. |
Approved |
Yes |
3/22/2013 |
3/1/2013 |
SR-Phlx-2013-16
Resubmission
Notice
& Approval
|
A proposal to amend its Fee Schedule to create fees for options on Treasury
securities. |
Approved |
Yes |
3/27/2013 |
3/6/2013 |
SR-Phlx-2013-15
Notice
Approval
|
A proposed rule change for the permanent approval of a pilot program to permit PSX to accept inbound
orders routed by NES from the BX Equities Market. |
Approved |
Yes |
3/7/2013 |
2/14/2013 |
SR-Phlx-2013-14
Notice
& Approval
|
A proposal to extend the trading pause pilot in certain individual NMS stocks.
|
Approved |
Yes |
3/13/2013 |
2/20/2013 |
SR-Phlx-2013-13
Notice
& Approval
|
A proposal to amend the Customer Rebate Program to incentivize market participants to increase the
amount of Customer order flow they transact on the Exchange. The Exchange also proposes to add
certain rule text in the Pricing Schedule to provide additio |
Approved |
Yes |
3/13/2013 |
2/20/2013 |
SR-Phlx-2013-12
Notice
& Approval
|
A Proposed Rule Change Relating to extend a pilot program related to Rule 3312,
entitled "Clearly Erroneous Transactions". |
Approved |
Yes |
3/1/2013 |
2/8/2013 |
SR-Phlx-2013-11
Notice
& Approval
|
A proposal to delay the operative date of a rule change to Exchange Rule 133, which provides for
methodology for determining when to halt trading in all stocks due to extraordinary market
volatility, from the date of February 4, 2013, until April 8, 2013. |
Approved |
Yes |
3/4/2013 |
2/11/2013 |
SR-Phlx-2013-10
Notice
& Approval
|
A proposal to amend Section II of the Pricing Schedule entitled "Multiply Listed
Options Fees" to amend fees applicable to a Firm. The Exchange also proposes to make a technical
amendment to Section VI entitled "Membership Fees." |
Approved |
Yes |
3/7/2013 |
2/14/2013 |
SR-Phlx-2013-09
Resubmission
Notice
Extension
Approval
|
A proposal to enhance the functionality offered on the Options Floor Broker Management System
("FBMS"). |
Approved |
Yes |
3/19/2013 |
2/26/2013 |
SR-Phlx-2013-08
Notice
& Approval
|
A proposed rule change to add routing functionality to the NASDAQ OMX PSX Market
|
Approved |
Yes |
3/5/2013 |
2/12/2013 |
SR-Phlx-2013-07
Withdrawal
|
A proposal for the permanent approval of the Exchange's pilot program to permit the NASDAQ OMX PSX
facility of PHLX ("System") to accept inbound orders routed by Nasdaq Execution Services LLC ("NES")
from the NASDAQ OMX BX Equities Market of NASDAQ OMX B |
Replaced by SR-Phlx-2013-15 |
No |
|
|
SR-Phlx-2013-06
Notice
& Approval
|
A proposal to modify the Pricing Schedule by clarifying when an order or quote is
adding or removing liquidity. |
Approved |
Yes |
2/27/2013 |
2/6/2013 |
SR-Phlx-2013-05
Resubmission
Notice
Approval
|
A proposal to amend Rule 1092, Obvious Errors and Catastrophic Errors. Specifically, Phlx proposes
to amend Rule 1092(f)(ii) to permit the nullification of trades involving catastrophic errors in
certain situations. |
Approved |
Yes |
3/12/2013 |
2/19/2013 |
SR-Phlx-2013-04
Notice
& Approval
|
A proposal to amend its Routing Fees at Section V of the Pricing Schedule. While
changes to the Pricing Schedule pursuant to this proposal are effective upon filing, the Exchange
has designated the proposed amendment to be operative on February 1, 2013. |
Approved |
Yes |
2/15/2013 |
1/25/2013 |
SR-Phlx-2013-03
Notice
Extension
1
Extension 2
Extension
3
Amendment 1
Approval
|
A proposal to amend Phlx Rules 507 (Application for Approval as an SQT or RSQT and Assignment in
Options) and 1014 (Obligations and Restrictions Applicable to Specialists and Registered Options
Traders) to establish that member organizations may qualify t |
Approved |
Yes |
2/15/2013 |
1/25/2013 |
SR-Phlx-2013-02
Notice
& Approval
|
A proposed rule change to reduce the fees assessed under Section X(a) of the PHLX
Fee Schedule for certain co-location services. |
Approved |
Yes |
2/8/2013 |
1/18/2013 |
SR-Phlx-2013-01
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Section A, entitled "Customer Rebate, "
Section I entitled "Rebates and Fees for Adding and Removing Liquidity in Select Symbols," Section
II entitled "Multiply Listed Options Fees" and at Section I |
Approved |
Yes |
2/13/2013 |
1/23/2013 |
rulebook-rulefilings-phlx-2012
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-Phlx-2012-146
Notice
& Approval
|
A proposal to amend the rule text related to certain fee caps applicable to certain strategies on
Multiply Listed Options in Section II, entitled "Equity Options Fees." |
Approved |
Yes |
1/31/2013 |
1/10/2013 |
SR-Phlx-2012-145
Notice
& Approval
|
A proposal to amend its fee schedule for the following direct data feed products:
Top of Phlx Options data feed, the Top of Phlx Options Plus Orders data feed, the PHLX Orders data
feed and the PHLX Depth of Market data feed . |
Approved |
Yes |
1/30/2013 |
1/9/2013 |
SR-Phlx-2012-144
|
A proposal to reduce the fees assessed under Section X(a) of the PHLX Fee Schedule for certain
co-location services. Operative January 2, 2013. |
Replaced by SR-Phlx-2013-02 |
No |
|
|
SR-Phlx-2012-143
Notice
& Approval
|
A proposal to amend Phlx Rule 1034 (Minimum Increments) to: extend through June
30, 2013, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"),
and to change the date when delisted classes may be replaced in the Penny Pi |
Approved |
Yes |
1/22/2013 |
12/31/2012 |
SR-Phlx-2012-142
Notice
Approval
|
A proposed rule change with respect to the amendment of the by-laws of its parent corporation, The
NASDAQ OMX Group, Inc. |
Approved |
Yes |
1/22/2013 |
12/31/2012 |
SR-Phlx-2012-141
Resubmission
Notice
& Approval
|
A proposal to amend certain electronic Professional Options Transaction Charges in
Section II of the Exchange's Pricing Schedule entitled "Multiply Listed Options." While changes to
the Pricing Schedule pursuant to this proposal are effective upon filin |
Approved |
Yes |
1/30/2013 |
1/9/2013 |
SR-Phlx-2012-140
Notice
& Approval
|
A proposal to amend the Permit Fee and Order Entry Port Fee. |
Approved |
Yes |
1/16/2013 |
12/26/2012 |
SR-Phlx-2012-139
Notice
& Approval
|
A proposal to file Section I of the Exchange's Pricing Schedule entitled "Rebates
and Fees for Adding and Removing Liquidity in Select Symbols" in order to preserve amendments to the
Pricing Schedule that became effective after the suspension of certain f |
Approved |
Yes |
1/2/2013 |
12/12/2012 |
SR-Phlx-2012-138
Notice
& Approval
|
A proposal to amend the fee caps applicable to certain strategies on Multiply Listed Options in
Section II, entitled "Equity Options Fees." The Exchange also proposes to apply the fee caps to
transactions on certain reversals and conversion strategies |
Approved |
Yes |
1/7/2013 |
12/17/2012 |
SR-Phlx-2012-137
Notice
& Approval
|
A proposal to amend Section I of the Exchange's Pricing Schedule entitled "Rebates
and Fees for Adding and Removing Liquidity in Select Symbols" to reinstate certain fees for
execution of Complex Orders by Directed Participants and Market Makers that were |
Approved |
Yes |
1/7/2013 |
12/17/2012 |
SR-Phlx-2012-136
Resubmission
Notice
& Approval
|
Proposal to amend Rule 1080(m) to provide for the distribution of auction messages for certain
orders. |
Approved |
Yes |
1/22/2013 |
12/31/2012 |
SR-Phlx-2012-135
Notice
& Approval
|
Proposal to amend certain Singly Listed Options Transaction Charges in Section III
of the Pricing Schedule. |
Approved |
Yes |
1/2/2013 |
12/12/2012 |
SR-Phlx-2012-134
Notice
& Approval
|
A proposal with respect to the authority of the Exchange or Nasdaq Options Services LLC to cancel
options orders when a technical or system issue occurs and to describe the operation of an error
account for NOS. |
Approved |
Yes |
1/4/2013 |
12/14/2012 |
SR-Phlx-2012-133
Amendment
1
Notice & Approval
|
A proposed rule change to amend Rule 3218. |
Approved |
Yes |
12/18/2012 |
11/27/2012 |
SR-Phlx-2012-132
Notice
& Approval
|
A proposal to amend Rule 1001, titled "Position Limits" to increase the position and exercise limits
for options on the iShares MSCI Emerging Markets Index Fund ("EEM") to 500,000 contracts. |
Approved |
Yes |
12/24/2012 |
12/3/2012 |
SR-Phlx-2012-131
Notice
& Approval
|
A proposal to extend the pilot program in Rule 1059, Accommodation Transactions,
to allow cabinet trading to take place below $1 per option contract under specified circumstances.
|
Approved |
Yes |
12/7/2012 |
11/16/2012 |
SR-Phlx-2012-130
Notice
Approval
Correction
|
A proposal to amend Rule 510 titled "SQT and RSQT Performance Evaluation" to provide a different
method for reviewing quote submissions in evaluating member organizations to determine whether they
have fulfilled performance standards relating to the quali |
Approved |
Yes |
12/10/2012 |
11/19/2012 |
SR-Phlx-2012-129
Notice
& Approval
|
A proposal to adopt new routing fees which recoup costs incurred by the Exchange
when routing to various away markets. The Exchange also proposes memorialize a fee currently
assessed to members in its Pricing Schedule. The Exchange has designated the pro |
Approved |
Yes |
12/10/2012 |
11/19/2012 |
SR-Phlx-2012-128
Notice
& Approval
|
A proposed rule change to modify fees assessed under Section VII. C. of the PHLX Pricing Schedule
relating to the Central Registration Depository, which are collected by FINRA. |
Approved |
Yes |
12/6/2012 |
11/15/2012 |
SR-Phlx-2012-127
|
Proposes to enhance the functionality offered on its Options Floor Broker
Management System ("FBMS") in a number of ways, described in detail below. As a result of these
enhancements, Floor Brokers will no longer execute most trades on the Exchange's opt |
Replaced by SR-Phlx-2013-67 |
No |
|
|
SR-Phlx-2012-126
Notice
& Approval
|
A proposal to list and trade option contracts overlying 10 shares of a security ("Mini Options").
|
Approved |
Yes |
11/28/2012 |
11/7/2012 |
SR-Phlx-2012-125
Resubmission
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule to clarify certain references
to the Exchange's trading floor. |
Approved |
Yes |
12/10/2012 |
11/19/2012 |
SR-Phlx-2012-124
Resubmission
Notice
& Approval
|
Relating to reporting branch offices. A proposal to amend Rule 748 titled "Supervision" to require
member organizations for which the Exchange is the Designated Examining Authority ("DEA") to file a
list of their branch offices with the Exchange. |
Approved |
Yes |
11/28/2012 |
11/7/2012 |
SR-Phlx-2012-123
Notice
& Approval
|
A proposed rule change to assess a monthly subscription fee for the Qview service.
|
Approved |
Yes |
11/12/2012 |
10/22/2012 |
SR-Phlx-2012-122
Notice
& Approval
|
A proposal to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund
("SPY ETF"), which list and trade under the symbol SPY. |
Approved |
Yes |
11/2/2012 |
10/12/2012 |
SR-Phlx-2012-121
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule to: (i) clarify the Monthly
Market Maker Cap in Section II titled "Multiply Listed Options Fees"; (iii) amend PIXL pricing in
Section IV titled "Other Transaction Fees", Section A titled "PIXL Pricing"; |
Approved |
Yes |
11/8/2012 |
10/18/2012 |
SR-Phlx-2012-120
Notice
& Approval
|
A proposal to adopt certain Routing Fees to recoup costs incurred by the Exchange when routing to
the NASDAQ Options Market LLC ("NOM"). |
Approved |
Yes |
11/6/2012 |
10/16/2012 |
SR-Phlx-2012-119
Notice
& Approval
|
A proposed rule change to modify Phlx's fee schedule governing order execution and
routing on its NASDAQ OMX PSX ("PSX") facility. |
Approved |
Yes |
11/8/2012 |
10/18/2012 |
SR-Phlx-2012-118
Notice
& Approval
|
Six month extension of pilot program (expiring October 6) to receive equities orders inbound from BX
through NES. |
Approved |
Yes |
11/2/2012 |
10/12/2012 |
SR-Phlx-2012-117
Notice
& Approval
|
A proposal to offer members and member organizations the ability to pay a
regulatory fine pursuant to an installment plan, under certain conditions. |
Approved |
Yes |
10/30/2012 |
10/9/2012 |
SR-Phlx-2012-116
Notice
& Approval
|
A proposal to amend Rule 3315(a)(1)(A) to reflect a change in PHLX's routing functionality. |
Approved |
Yes |
11/2/2012 |
10/12/2012 |
SR-Phlx-2012-115
Notice
& Approval
|
The Exchange proposes to modify Rules 800-803 and 867.5 to clarify further that
Phlx does not list securities pursuant to the Rule 800 Series. |
Approved |
Yes |
11/5/2012 |
10/15/2012 |
SR-Phlx-2012-114
Notice
& Approval
|
A proposed rule change to offer the Qview service. |
Approved |
Yes |
10/26/2012 |
10/5/2012 |
SR-Phlx-2012-113
Notice
& Approval
|
A proposal to amend the Electronic Firm Fee Discount in Section II of the
Exchange's Pricing Schedule. |
Approved |
Yes |
10/11/2012 |
9/20/2012 |
SR-Phlx-2012-112
Notice
& Approval
|
A proposal to amend Section I of the Pricing Schedule to increase certain Simple Order Fees for
Removing Liquidity and to make technical amendments. |
Approved |
Yes |
10/9/2012 |
9/17/2012 |
SR-Phlx-2012-111
Notice
& Approval
|
Amending pricing schedule to recoup costs for routing and executing options on
Facebook, Google and Groupon to NOM. |
Approved |
Yes |
10/9/2012 |
9/17/2012 |
SR-Phlx-2012-110
Notice
& Approval
|
Proposes to remove a fee cap on equity options transactions on certain reversals and conversion
strategies. |
Approved |
Yes |
10/1/2012 |
9/10/2012 |
SR-Phlx-2012-109
|
A proposal to offer members the ability to pay a regulatory fine pursuant to an
elective Installment Plan. |
Replaced by SR-Phlx-2012-117 |
No |
|
|
SR-Phlx-2012-108
Notice
& Approval
|
A proposal to amend Rule 1014 (Obligations and Restrictions Applicable to Specialists and Registered
Options Traders) to indicate that compliance with specified market making obligations pursuant to
the rule will be determined on a monthly basis. |
Approved |
Yes |
9/17/2012 |
8/27/2012 |
SR-Phlx-2012-107
Notice
& Approval
|
A proposed rule to make it possible for the staff of Phlx to require an immediate
answer to their inquiries to floor brokers for client information about the agency orders those
floor brokers handle. |
Approved |
Yes |
9/17/2012 |
8/27/2012 |
SR-Phlx-2012-106
Notice
1
Withdrawal
Notice of Withdrawal
Notice
2
|
A proposal to modify Exchange Rule 3307 to institute a five millisecond delay in the execution time
of marketable orders on NASDAQ OMX PSX. |
Withdrawn |
Yes |
10/2/2012 |
9/11/2012 |
SR-Phlx-2012-105
Notice
Amendment
1
Approval
|
A proposal to implement twenty-five new rules in the 1000D Series of rules so that
the Exchange may list options on Treasury securities and allow trading thereon. |
Approved |
Yes |
9/13/2012 |
8/23/2012 |
SR-Phlx-2012-104
Notice
& Approval
|
A Proposal to amend Section I of the Exchange's Pricing Schedule titled "Rebates and Fees for Adding
and Removing Liquidity in Select Symbols," to amend various Select Symbols, increase certain Complex
Order Rebates for Adding Liquidity, eliminate the C |
Approved |
Yes |
9/5/2012 |
8/15/2012 |
SR-Phlx-2012-103
Withdrawal
|
A proposal to modify Exchange Rule 3307 to institute a five millisecond delay in
the execution time of marketable orders on NASDAQ OMX PSX. |
Replaced by SR-Phlx-2012-106 |
No |
|
|
SR-Phlx-2012-102
Notice
& Approval
|
A proposed rule change to modify Phlx's fee schedule governing order execution on its NASDAQ OMX PSX
facility. |
Approved |
Yes |
8/31/2012 |
8/10/2012 |
SR-Phlx-2012-101
Notice
& Approval
|
A proposal to adopt a new Rule 1046 entitled "Clearing Arrangements" to further
clarify the text of Exchange Rule 911, entitled "Member and Member Organization Participation" with
respect to the requirement to have a membership in or access arrangement wi |
Approved |
Yes |
9/5/2012 |
8/15/2012 |
SR-Phlx-2012-100
Notice
& Approval
|
A proposal to extend the pilot period of amendments to Rule 3312, governing clearly erroneous
executions on the NASDAQ OMX PSX system, so that the pilot will now expire on February 4, 2013. |
Approved |
Yes |
8/24/2012 |
8/3/2012 |
SR-Phlx-2012-99
Notice
& Approval
|
A proposal to extend the trading pause pilot in certain individual NMS stocks when
the price moves ten percent or more in the preceding five minute period, so that the pilot will now
expire on February 4, 2013. |
Approved |
Yes |
8/24/2012 |
8/3/2012 |
SR-Phlx-2012-98
Notice
& Approval
|
A proposed rule to terminate a revenue sharing program with Correlix, Inc., and delete the
associated fees set forth in NASDAQ OMX PHLX LLC Pricing Schedule, Section X(e). |
Approved |
Yes |
8/22/2012 |
8/1/2012 |
SR-Phlx-2012-97
Resubmission
Notice
& Approval
|
A proposed rule change to delay the implementation date of a change to Rule
3301(f)(4) to provide that Primary Pegged Orders with an offset amount will not be displayed. |
Approved |
Yes |
8/28/2012 |
8/7/2012 |
SR-Phlx-2012-96
Notice
& Approval
|
Phlx proposes to revise its floor qualification examination. Specifically, the Exchange proposes to
delete obsolete questions, revise outdated questions and add several new questions. |
Approved |
Yes |
8/23/2012 |
8/2/2012 |
SR-Phlx-2012-95
Notice
Approval
|
A proposed rule change with respect to the amendment of the by-laws of its parent
corporation, The NASDAQ OMX Group, Inc. |
Approved |
Yes |
8/9/2012 |
7/19/2012 |
SR-Phlx-2012-94
Notice
& Approval
|
Proposes to amend Exchange Rule 1080(n), Price Improvement XL ("PIXLSM") to extend, through July 18,
2013, a pilot program (the "pilot") concerning (i) the early conclusion of the PIXL Auction (as
described below), and (ii) permitting orders of fewer tha |
Approved |
Yes |
8/7/2012 |
7/17/2012 |
SR-Phlx-2012-93
Notice
& Approval
|
A proposal to establish a Managed Data Solution for Phlx Top of Options. |
Approved |
Yes |
8/15/2012 |
7/25/2012 |
SR-Phlx-2012-92
Notice
& Approval
|
A proposal to amend Exchange Rules 1014, Obligations and Restrictions Applicable to Specialists and
Registered Options Traders, and 1051 |
Approved |
Yes |
8/15/2012 |
7/25/2012 |
SR-Phlx-2012-91
Notice
& Approval
|
A proposed rule change to modify how the processing of a Price to Comply Order
under PSX Rule 3301(f)(8) operates based on the method of entry. The Exchange will provide public
notice five business days prior to the implementation date of the change, and |
Approved |
Yes |
8/7/2012 |
7/17/2012 |
SR-Phlx-2012-90
Notice
& Approval
|
A proposal to amend the Select Symbols and fees in Sections I and amend a fee and adopt a Customer
Rebate Program in Section II of the Pricing Schedule. The Exchange also proposes to make a minor
amendment to Section I. |
Approved |
Yes |
8/9/2012 |
7/19/2012 |
SR-Phlx-2012-88
Notice
& Approval
|
A proposal to adopt certain Routing Fees to recoup costs incurred by the Exchange
when routing to NASDAQ OMX BX, Inc. ("BX Options"). While the changes proposed herein are effective
upon filing, the Exchange has designated these changes to be operative on |
Approved |
Yes |
8/7/2012 |
7/17/2012 |
SR-Phlx-2012-87
Notice
& Approval
|
A proposed rule change to modify Phlx's fee schedule governing order execution on its NASDAQ OMX PSX
facility. |
Approved |
Yes |
8/6/2012 |
7/16/2012 |
SR-Phlx-2012-86
Notice
& Approval
|
A proposal to extend through December 31, 2012, the Penny Pilot Program in options
classes in certain issues and provide for or allow replacement of any Penny Pilot issues that have
been delisted. |
Approved |
Yes |
7/27/2012 |
7/6/2012 |
SR-Phlx-2012-85
Notice
& Approval
|
A proposed rule change to modify its Excess Order Fee. |
Approved |
Yes |
7/24/2012 |
7/3/2012 |
SR-Phlx-2012-84
Notice
& Approval
|
A proposed rule change to clarify the functioning of the Post-Only Order in NASDAQ
OMX PSX |
Approved |
Yes |
8/1/2012 |
7/11/2012 |
SR-Phlx-2012-83
Notice
& Approval
|
A proposal to establish distributor fees for two related options market data products, PHLX Depth of
Market and PHLX Orders. |
Approved |
Yes |
8/1/2012 |
7/11/2012 |
SR-Phlx-2012-82
|
A proposal to implement twenty-five new rules in the 1000D Series of rules so that
the Exchange may list options on Treasury securities and allow trading thereon. |
Replaced by SR-Phlx-2012-105 |
No |
|
|
SR-Phlx-2012-81
Resubmission
Notice
Approval
|
A proposed rule change with respect to the authority of the Exchange or NASDAQ Execution Services to
cancel orders when a technical or system issue occurs on the Exchange's NASDAQ OMX PSX facility and
to describe the operation of an error account for NES. |
Approved |
Yes |
7/31/2012 |
7/10/2012 |
SR-Phlx-2012-80
Notice
& Approval
|
A proposal to make various technical amendments to the Pricing Schedule to format
pricing the same throughout the Pricing Schedule, correct a reference to Section IV fees and add the
term "Specialist" to Section V. |
Approved |
Yes |
7/19/2012 |
6/28/2012 |
SR-Phlx-2012-79
|
a proposal to delay the implementation of certain clarifications of the Price to Comply Order under
PSX Rule 3301(f)(8). |
Rejected |
No |
|
|
SR-Phlx-2012-78
Resubmission 1
Resubmission 2
Notice
Approval
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A
(Terms of Option Contracts) to modify the Short Term Option Program ("STO Program" or "Program") to
indicate that the interval between strike prices on STOs will be $0.50 o |
Approved |
Yes |
8/10/2012 |
7/20/2012 |
SR-Phlx-2012-77
Notice
& Approval
|
A proposal to: (i) amend certain definitions in the Preface Section, including certain categories of
market participants; (ii) delete certain fees and rebates in Section I; (iii) amend Section II fees;
and (iv) make other technical modifications to the Pr |
Approved |
Yes |
7/9/2012 |
6/18/2012 |
SR-Phlx-2012-76
Notice
& Approval
|
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to
extend a pilot program that eliminates minimum value sizes for FLEX index options and FLEX equity
options (together known as "FLEX Options"). |
Approved |
Yes |
6/28/2012 |
6/7/2012 |
SR-Phlx-2012-75
Notice
& Approval
|
A proposal to amend certain Routing Fees to recoup costs incurred by the Exchange in routing to The
NASDAQ Options Market LLC ("NOM"). |
Approved |
Yes |
7/3/2012 |
6/12/2012 |
SR-Phlx-2012-74
Notice
& Approval
|
A Proposed Rule Change Extending the Pilot Period to Allow Cabinet Trading to Take
Place Below $1 Per Option Contract. |
Approved |
Yes |
6/29/2012 |
6/8/2012 |
SR-Phlx-2012-73
Notice
& Approval
|
A proposal to clarify the necessary information that is required by the Exchange when executing
dividend, merger and short stock interest strategies and reversals and conversion strategies. The
Exchange has designated these changes to be operative on |
Approved |
Yes |
7/2/2012 |
6/11/2012 |
SR-Phlx-2012-72
Notice
& Approval
|
A proposed rule change to delay the implementation date for its Excess Order Fee.
There is no proposed rule language. |
Approved |
Yes |
7/3/2012 |
6/12/2012 |
SR-Phlx-2012-71
Notice
& Approval
|
A proposal to amend Rule 616, Electronic Filing Requirements for Uniform Forms. |
Approved |
Yes |
6/21/2012 |
5/31/2012 |
SR-Phlx-2012-70
Notice
& Approval
|
A proposal to amend a fee cap on equity options transactions on certain reversals
and conversion strategies. The Exchange also proposes to make technical amendments to the Pricing
Schedule. REPLACES SR-Phlx-2012-69. |
Approved |
Yes |
6/21/2012 |
5/31/2012 |
SR-Phlx-2012-69
Withdrawal
|
Relating to Reversal and Conversion Strategies. |
Replaced by SR-Phlx-2012-70 |
No |
|
|
SR-Phlx-2012-68
Amendment
1
Notice
Approval
|
A proposal for PHLX to accept inbound orders routed by NASDAQ Options Services LLC
("NOS") from NASDAQ OMX BX's new options market (with the attendant obligations and conditions), as
described further below, on a one year pilot basis. |
Approved |
Yes |
6/14/2012 |
5/24/2012 |
SR-Phlx-2012-67
Notice
& Approval
|
A proposal to amend the trading hours for options on the MSCI EAFE Index. |
Approved |
Yes |
6/25/2012 |
6/4/2012 |
SR-Phlx-2012-66
1
SR-Phlx-2012-66 2
|
A proposal to modify Exchange Rule 1092, Obvious Errors and Catastrophic Errors.
|
Rejected |
No |
|
|
SR-Phlx-2012-65
Withdrawal
|
A Proposal to modify Exchange Rule 1092, Obvious Errors and Catastrophic Errors. |
Replaced by SR-Phlx-2012-66 |
No |
|
|
SR-Phlx-2012-64
Notice
& Approval 1
|
a proposed rule change to institute an Excess Order Fee. |
Approved |
Yes |
6/13/2012 |
5/23/2012 |
SR-Phlx-2012-63
Notice
& Approval
|
A proposal to establish a direct market data product, PHLX Orders. PHLX Orders is a data feed that
will include full depth of orders on the limit order book for all series of options listed on PHLX.
|
Approved |
Yes |
6/11/2012 |
5/21/2012 |
SR-Phlx-2012-62
Notice
& Approval
|
A proposed rule change to clarify how the processing of a Price to Comply Order
under PSX Rule 3301(f)(8) operates based on the method of entry. |
Approved |
Yes |
6/11/2012 |
5/21/2012 |
SR-Phlx-2012-61
Notice
& Approval
|
Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees |
Approved |
Yes |
6/8/2012 |
5/18/2012 |
SR-Phlx-2012-60
Notice
& Approval
|
A proposed rule change relating to the PHLX Depth of Market data product. PHLX
Depth of Market is a data feed that will include full depth of quotes and orders, imbalance
information and last sale data for options listed on PHLX. |
Approved |
Yes |
6/7/2012 |
5/17/2012 |
SR-Phlx-2012-59
|
A proposed rule change to make permanent a pilot program to allow cabinet trading to take place
below $1 per option contract under specified circumstances (the "pilot program"). |
Rejected |
No |
|
|
SR-Phlx-2012-58
Notice
& Approval
|
A proposal to modify Phlx's Pricing Schedule at Section X(a), entitled
"Co-Location Services" regarding the Exchange's co-location super high-density cabinet monthly fee.
The Exchange will implement the proposed change on May 1, 2012. |
Approved |
Yes |
6/1/2012 |
5/11/2012 |
SR-Phlx-2012-57
Notice
& Approval
|
Complex Order rebates and fees |
Approved |
Yes |
6/7/2012 |
5/17/2012 |
SR-Phlx-2012-56
Notice
& Approval
|
A proposed rule change to modify Phlx's fee schedule governing routing from its
NASDAQ OMX PSX facility. |
Approved |
Yes |
5/31/2012 |
5/10/2012 |
SR-Phlx-2012-55
Withdrawal
|
A proposed rule change to modify Phlx's fee schedule governing routing from its NASDAQ OMX PSX
facility. |
Replaced by SR-Phlx-2012-56 |
No |
|
|
SR-Phlx-2012-54
Notice
& Approval
Suspension
SEC
Extension
Amendment 1
Approval
|
A proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Complex Order Fees for
Removing Liquidity in Select Symbols |
Approved |
Yes |
5/25/2012 |
5/4/2012 |
SR-Phlx-2012-53
Resubmission
Notice
& Approval
|
A proposal relating to the remote specialist fee. A proposal to increase the Remote Specialist Fee
from $50 per option allocation per month to $200 per option allocation for month. While fee changes
pursuant to this proposal are effective upon filing, th |
Approved |
Yes |
5/31/2012 |
5/10/2012 |
SR-Phlx-2012-52
Notice
& Approval
|
A proposal to amend the Account Fee displayed in the Pricing Schedule at Section
VI, A. |
Approved |
Yes |
5/22/2012 |
5/1/2012 |
SR-Phlx-2012-51
|
A proposed rule change to clarify how the processing of a Price to Comply Order under PSX Rule
3301(f)(8) operates based on the method of entry. |
Rejected |
No |
|
|
SR-Phlx-2012-50
Notice
& Approval
|
A proposal to amend certain Routing Fees to recoup costs incurred by the Exchange
in routing to BATS. The Exchange intends for these amendments to be effective upon filing, except
with respect to the amendments related to the Firm/Broker-Dealer/Market Ma |
Approved |
Yes |
5/17/2012 |
4/26/2012 |
SR-Phlx-2012-49
Notice
& Approval
|
A proposal pertaining to the minimum size requirement for quotations. |
Approved |
Yes |
5/10/2012 |
4/19/2012 |
SR-Phlx-2012-48
Withdrawal
|
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A
(Terms of Option Contracts) to modify the Short Term Option Program ("STO Program" or "Program").
|
Withdrawn |
No |
|
|
SR-Phlx-2012-47
Notice
& Approval
|
A proposal to amend the Pricing Schedule to increase the rebate for Qualified Contingent Cross
orders. |
Approved |
Yes |
5/10/2012 |
4/19/2012 |
SR-Phlx-2012-46
Notice
& Approval
|
The Exchange proposes to amend Section II of the Exchange's Pricing Schedule to:
(1) increase the Professional Options Transaction Charges for both Penny Pilot options and non-Penny
Pilot options; and (ii) amend the non-Penny Pilot Broker-Dealer electroni |
Approved |
Yes |
5/10/2012 |
4/19/2012 |
SR-Phlx-2012-45
Notice
& Approval
|
A proposal to amend Section I of the Pricing Schedule to further incentivize market participants to
transact SPDR S&P 500 options. |
Approved |
Yes |
5/3/2012 |
4/12/2012 |
SR-Phlx-2012-44
Notice
& Approval
|
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to
extend a pilot program that eliminates minimum value sizes for FLEX index options and FLEX equity
options (together known as "FLEX Options"). |
Approved |
Yes |
4/27/2012 |
4/6/2012 |
SR-Phlx-2012-43
Notice
& Approval
|
A proposal to amend Section I of the Exchange's Pricing Schedule entitled "Rebates and Fees for
Adding and Removing Liquidity in Select Symbols," specifically to remove various Select Symbols.
|
Approved |
Yes |
5/3/2012 |
4/12/2012 |
SR-Phlx-2012-42
Notice
& Approval
|
A proposal to amend certain Customer Routing Fees to recoup costs incurred by the
Exchange in routing to away markets and also create a new category of Routing Fees entitled
"Firm/Broker-Dealer/Market Maker" fees. Operative Apr. 2, 2012 (ISE Select Symbol |
Approved |
Yes |
5/3/2012 |
4/12/2012 |
SR-Phlx-2012-41
Notice
& Approval
|
Proposed rule change relating to routing of non-customer orders. A proposal to expand the routing
capabilities of certain options orders that are eligible for electronic routing to other market
centers by PHLX XL. Under the proposal, non-customer FIND or |
Approved |
Yes |
5/3/2012 |
4/12/2012 |
SR-Phlx-2012-40
Notice
Extension
1
Extension 2
Amendment
1
Approval 1
|
A proposal to change trading requirements applicable to certain Registered Options
Traders trading electronically. |
Approved |
Yes |
5/4/2012 |
4/13/2012 |
SR-Phlx-2012-39
Notice
& Approval
|
A proposed rule change to amend Rule 3301(f)(4) to provide that Primary Pegged Orders with an offset
amount will not be displayed. |
Approved |
Yes |
4/26/2012 |
4/5/2012 |
SR-Phlx-2012-38
Resubmission
Notice
& Approval
|
The Exchange proposes to amend its Pricing Schedule at Section VII, C relating to
FINRA fees. |
Approved |
Yes |
5/9/2012 |
4/18/2012 |
SR-Phlx-2012-37
Notice
& Approval
|
Relating to the Proprietary Traders Qualification Examination ("Series 56"). |
Approved |
Yes |
4/19/2012 |
3/29/2012 |
SR-Phlx-2012-36
Notice
& Approval
|
Options Regulatory Fee |
Approved |
Yes |
4/23/2012 |
4/2/2012 |
SR-Phlx-2012-35
Notice
& Approval
|
Relating to Equity Options Fee and Singly Listed Option Fee. |
Approved |
Yes |
4/24/2012 |
4/3/2012 |
SR-Phlx-2012-34
Resubmission
Notice
& Approval
|
A proposal to amend Section III of the Exchange's Fee Schedule entitled "Singly
Listed Options." The Exchange also proposes to amend Section II of the Fee Schedule entitled "Equity
Options Fees" to clarify text concerning rebates. |
Approved |
Yes |
4/30/2012 |
4/9/2012 |
SR-Phlx-2012-33
|
A proposed rule change relating to the allocation of Directed Orders. A proposal to amend rule 1014,
Obligations and Restrictions Applicable to Specialists and Registered Options Traders, to state
that, after customer limit orders resting on the limit or |
Rejected |
No |
|
|
SR-Phlx-2012-32
Notice
& Approval
|
A proposal pertaining to PIXL Orders for the account of a public customer with a
size of less than 50 contracts. The amended rule would reflect the correct price at which an
Initiating Member must guarantee the execution of a PIXL Order that the Initiati |
Approved |
Yes |
4/9/2012 |
3/19/2012 |
SR-Phlx-2012-31
Notice
& Approval
|
A proposal to establish an Acceptable Complex Execution Parameter ("ACE Parameter"), a price range
outside of which a Complex Order will not be executed by the PHLX XL® automated options trading
system following a Complex Order Live Auction ("COLA"). |
Approved |
Yes |
4/11/2012 |
3/21/2012 |
SR-Phlx-2012-30
Notice
& Approval
|
A proposed rule change to eliminate 100MB connectivity between the Exchange and
co-located servers, as well as associated fees, as set forth in the Phlx Fee Schedule, Section X(b).
|
Approved |
Yes |
4/10/2012 |
3/20/2012 |
SR-Phlx-2012-29
Notice
& Approval
|
A proposal to amend the list of Select Symbols in Section I of the Exchange's Fee Schedule in order
to remove certain delisted symbols. |
Approved |
Yes |
4/12/2012 |
3/22/2012 |
SR-Phlx-2012-28
Notice
Approval
|
Relating to MSCI EAFE |
Approved |
Yes |
4/5/2012 |
3/15/2012 |
SR-Phlx-2012-27
Notice
& Approval
Suspension
SEC
Extension
Amendment 1
Approval
|
This filing relates to Complex Orders Rebates and Fees for Adding and Removing Liquidity in Select
Symbols. |
Approved |
Yes |
5/25/2012 |
3/15/2012 |
SR-Phlx-2012-26
Notice
& Approval
|
Relating to Equity Options Fees. |
Approved |
Yes |
4/10/2012 |
3/20/2012 |
SR-Phlx-2012-25
Notice
& Approval
|
A proposed rule change to modify Phlx's transaction execution fee and credit schedule governing
transactions on its NASDAQ OMX PSX ("PSX") facility. |
Approved |
No |
|
|
SR-Phlx-2012-24
Notice
& Approval
|
A proposal to amend the payment for order flow program. |
Approved |
No |
|
|
SR-Phlx-2012-23
Notice
Approval
|
A proposal to delete Rule 604 and amend and adopt rules governing the registration and qualification
of members and persons associated with member organizations. |
Approved |
No |
|
|
SR-Phlx-2012-22
Notice
& Approval
|
A proposal to amend the list of select symbols and amend the transaction fees for
single contra-side orders. |
Approved |
Yes |
3/27/2012 |
3/6/2012 |
SR-Phlx-2012-21
Notice
& Approval
|
Correction to Exchange Rule 705 |
Approved |
No |
|
|
SR-Phlx-2012-20
Resubmission
Notice
& Approval
|
A proposal to modify the Phlx Fee Schedule, Section X(b) regarding Exchange
connectivity options and fees. |
Approved |
No |
|
|
SR-Phlx-2012-19
Notice
& Approval
|
A proposal to amend the Customer and Professional Routing Fees to recoup costs incurred by the
Exchange in routing to away markets. The Exchange has designated these changes to be operative on
March 1, 2012. |
Approved |
No |
|
|
SR-Phlx-2012-18
|
A proposal to amend Rule 1079 to enhance, clarify, and streamline FLEX option
rules and procedures and eliminate unnecessary and obsolete language; to amend Rule 1034 regarding
FLEX option trading increments; and amend OFPA F-28 to conform it to the propo |
Rejected |
No |
|
|
SR-Phlx-2012-17
Notice
& Approval
|
A proposal to amend the preface to the fee schedule to add a definition for a "Market
Maker" and to delete outdated language. |
Approved |
No |
|
|
SR-Phlx-2012-16
Resubmission 1
Resubmission 2
Notice
& Approval
|
A proposed rule change to modify certain external and inter-cabinet connectivity
fees. |
Approved |
No |
|
|
SR-Phlx-2012-15
Notice
& Approval
|
A proposal to amend the customer fee for removing liquidity for single contra-side orders. |
Approved |
Yes |
3/7/2012 |
2/15/2012 |
SR-Phlx-2012-14
|
A proposal to correct a typographical error in rule 1080(n). |
Rejected |
No |
|
|
SR-Phlx-2012-13
Notice
& Approval
|
A proposal to create new requirements regarding fidelity bonds. The changes will be operative on
April 2, 2012. |
Approved |
Yes |
3/7/2012 |
2/15/2012 |
SR-Phlx-2012-12
Notice
& Approval
|
A proposal relating to disseminated quotations. A proposal to describe the manner
in which the PHLX XL® automated options trading system will disseminate quotations when (i) there is
an "Opening Imbalance" in a particular series, and (ii) there is a "Quo |
Approved |
No |
|
|
SR-Phlx-2012-11
Notice
Approval
|
A proposal regarding the listing and trading of PHLX FOREX options. |
Approved |
Yes |
|
2/1/2012 |
SR-Phlx-2012-10
Notice
& Approval
|
A proposal to amend the list of Select Symbols in Section I of the Exchange's fee
schedule, entitled "Rebates and Fees for Adding and Removing Liquidity in Select Symbols". The
Exchange has designated these changes to be operative on February 1, 2012. |
Approved |
No |
|
|
SR-Phlx-2012-09
Notice
& Approval
|
A proposal to adopt a $250 fee per box to ship documents stored by members or member organizations
on the trading floor to the member or member organization's address of record. The Exchange has
designated these changes to be operative on February 1, 2012 |
Approved |
No |
|
|
SR-Phlx-2012-08
Notice
& Approval
|
A proposed rule change to extend the pilot period of amendments to Rule 3312,
governing clearly erroneous executions on the NASDAQ OMX PSX system ("PSX"), so that the pilot will
now expire on July 31, 2012. |
Approved |
No |
|
|
SR-Phlx-2012-07
Notice
& Approval
|
A proposed rule change to extend the trading pause pilot in certain individual NMS stocks when the
price moves ten percent or more in the preceding five minute period, so that the pilot will now
expire on July 31, 2012. |
Approved |
No |
|
|
SR-Phlx-2012-06
Notice
& Approval
Correction
|
A proposal to amend the Real-Time Risk Management fee to further clarify the
application of the fee and to relocate the FLEX and Cabinet Options Transaction Fees within Section
II of the Exchange's Fee Schedule and add clarifying text. |
Approved |
Yes |
2/16/2012 |
1/26/2012 |
SR-Phlx-2012-05
Resubmission
|
Proposes to amend the Exchange's Fee Schedule and Exchange Rule 1092 to establish a processing fee
for members who file more than fifty unsuccessful obvious error submissions during a calendar month.
|
Rejected |
No |
|
|
SR-Phlx-2012-04
Resubmission 1
Resubmission 2
Notice
& Approval
|
A proposal to establish the new TradeInfo PHLX product and amend the fee schedule
to add a related subscription fee. |
Approved |
Yes |
2/28/2012 |
2/7/2012 |
SR-Phlx-2012-03
Withdrawal
|
A proposal to implement new Phlx Rules 1000C (Applicability of Rule 1000C Series - FX Options); Rule
1001C (Definitions - FX Options); Rule 1002C (Series of FX Options Open for Trading); Rule 1003C
(Obligations and Quote Spread Parameters Applicable to FX |
Replaced by SR-Phlx-2012-11 |
No |
|
|
SR-Phlx-2012-02
Notice
& Approval
|
A proposal to reformat the NASDAQ OMX PHLX Fee Schedule. |
Approved |
Yes |
2/16/2012 |
1/26/2012 |
SR-Phlx-2012-01
Notice
& Approval
|
A proposal to amend the Customer and Professional Routing Fees governing pricing for Exchange
members using the Phlx XL II system for routing standardized equity and index option Customer and
Professional orders to the BATS Exchange, Inc. ("BATS") for ex |
Approved |
Yes |
2/10/2012 |
1/20/2012 |
|