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Rule Filings
rulebook-rulefilings-bx-menurulebook-rulefilings-bx-menu
rulebook-rulefilings-bx-2021rulebook-rulefilings-bx-2021
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2021-016
A proposal to extend the current pilot program related to BX Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the close of business on October 20, 2021. Pending No
SR-BX-2021-015
Amend BX Options 7, Section 2, 'BX Options Market- Fees and Rebates.' Pending No
SR-BX-2021-014
A proposal to amend: (i) the Exchange's transaction fees and credits, at Equity 7, Section 118(a); and (ii) its Qualified Market Maker Program, at Equity 7, Section 118(f) Pending No
SR-BX-2021-013
A proposal to amend Options 3, Section 10, Order Book Allocation. Pending No
SR-BX-2021-012
A proposal to relocate its equity and general rules from its current Rulebook into its new Rulebook shell. Pending No
SR-BX-2021-009
Notice & Approval
A proposal to amend BX Options 7, Section 1, 'General Provisions,' and Options 7, Section 2, 'BX Options Market- Fees and Rebates.' Approved Yes 4/30/2021 4/9/2021
SR-BX-2021-008
Notice & Approval
A proposal to enhance the End of Day summary message on Nasdaq Last Sale Plus by replacing the current high, low and closing price of a security based on its trading on BX, The Nasdaq Stock Market, LLC, and Nasdaq PHLX LLC with the high, low and closing price of a security published by the securities information processors, and adding the opening price of a security as published by the SIPs to that message. This is a companion filing that will modify the definition of NLS Plus contained in the Nasdaq BX rulebook to conform to the definitions provided in the Nasdaq and Nasdaq PSX rulebooks. Approved Yes 4/28/2021 4/7/2021
SR-BX-2021-006
Notice & Approval
A proposal to update the Exchange's books and records provisions; update obsolete references to NASD rules in the Exchange's rulebook ('Rulebook'); and make other related and cleanup changes. Approved Yes 4/15/2021 3/25/2021
SR-BX-2021-005
Notice & Approval
A proposal to amend Rule 4703(h), which describes Orders with 'Reserve Size,' to clarify its existing practice relating to replenishments of such Orders. Approved Yes 4/12/2021 3/22/2021
SR-BX-2021-003
Notice & Approval
A proposal to amend Options 2, Section 10 (Directed Market Makers); Options 3, Section 7 (Types of Orders and Order and Quote Protocols); Options 3, Section 10 (Order Book Allocation); and Options 3, Section 15 (Risk Protections). Approved Yes 3/26/2021 3/5/2021
SR-BX-2021-002
Notice & Approval
Proposal to amend Rule 4759 (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 3/15/2021 2/22/2021
SR-BX-2021-001
Notice & Approval
A proposal to amend the BX Options Pricing Schedule at Options 7 Approved Yes 2/12/2021 1/22/2021
rulebook-rulefilings-bx-2020rulebook-rulefilings-bx-2020
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2020-037
Notice & Approval
A proposal to amend BX Options 7, Section 2 and Section 3 Approved Yes 1/8/2021 12/18/2020
SR-BX-2020-034
Notice & Approval
A proposal to amend Rules 4613, 4702, and 4703 in light of planned changes to the System. Approved Yes 1/4/2021 12/14/2020
SR-BX-2020-033
Notice
SEC Extension
Approval
A proposal to amend Options 3, Section 7(d)(1)(A) relating to 'Financial Information eXchange' or 'FIX' in connection with offering BX Participants the ability to utilize FIX to submit orders to its Price Improvement Auction ('PRISM') mechanism. Approved Yes 12/7/2020 11/16/2020
SR-BX-2020-032
Resubmission
Resubmission 2
Notice
SEC Extension
Amendment 1
Approval
A proposal to amend Options 4, Section 5, 'Series of Options Contracts Open for Trading.' This proposal seeks to limit Short Term Options Series intervals between strikes which are available for quoting and trading on BX. Approved Yes 12/7/2020 11/16/2020
SR-BX-2020-031
Notice & Approval
A proposed rule change to extend the current pilot program related to BX Rule 11890 (Clearly Erroneous Transactions) to the close of business on April 20, 2021. Approved Yes 11/12/2020 10/21/2020
SR-BX-2020-030
Notice & Approval
A proposal to amend Options 4, Section 3, 'Criteria for Underlying Securities,' Options 4, Section 5, 'Series of Options Contracts Open for Trading,' and Options 4, Section 6, which is currently reserved, to relocate certain rule text and make other minor technical amendments. Approved Yes 11/13/2020 10/23/2020
SR-BX-2020-029
Notice & Approval
A proposed rule filing to extend the pilot related to the market-wide circuit breaker in Rule 4121 Approved Yes 11/5/2020 10/15/2020
SR-BX-2020-028
Notice & Approval
A proposed rule change to eliminate the fee for BX's TradeInfo interface in Options 7 in connection with decommissioning this functionality, and to credit any TradeInfo fees paid by Participants for the month of September 2020. Approved Yes 11/5/2020 10/15/2020
SR-BX-2020-027
Notice & Approval
A proposal to no longer offer TradeInfo, which interface is described within Options 3, Section 23(b)(2). Approved Yes 10/7/2020 9/16/2020
SR-BX-2020-026
Notice & Approval
Proposal to amend Rule 4759 (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 10/13/2020 9/21/2020
SR-BX-2020-025
A proposal to amend the Exchange's transaction fees, at Equity 7, Section 118(a). Approved No
SR-BX-2020-024
Notice & Approval
A proposed rule change to amend Rule 4759 (Data Feeds Utilized) to add the Long-Term Stock Exchange, Inc. ('LTSE'), MIAX PEARL, LLC ('MIAX PEARL') and MEMX LLC ('MEMX') to the list of market centers under Rule 4759 and provide that the Exchange will utilize CQS/UQDF. Approved Yes 10/5/2020 9/14/2020
SR-BX-2020-023
Notice & Approval
Proposal to amend its rules in connection with a technology migration to enhanced Nasdaq, Inc. functionality Approved Yes 10/1/2020 9/10/2020
SR-BX-2020-022
Notice & Approval
A proposal to amend BX's Pricing Schedule at Options 7, Section 2, BX Options Market Fees and Rebates and Options 7, Section 3, BX Options Market - Ports and other Services. Approved Yes 9/15/2020 8/25/2020
SR-BX-2020-020
Notice & Approval
A proposal to amend Options 6, Section 5, titled 'Transfer of Positions.' Approved Yes 9/11/2020 8/21/2020
SR-BX-2020-019
Resubmission
Notice & Approval
A proposal to add the Consolidated Audit Trail industry member compliance rules to the list of minor rule violations in IM-9216 and in Options 11, Section 1. Approved Yes 9/21/2020 8/31/2020
SR-BX-2020-018
Notice & Approval
A proposal to amend the Exchange's transaction credits, at Equity 7, Section 118(a). Approved Yes 9/10/2020 8/20/2020
SR-BX-2020-017
Notice & Approval
A proposal to amend various BX Rules in connection with a technology migration Approved Yes 8/31/2020 8/10/2020
SR-BX-2020-016
Notice
Approval
A proposal to amend BX's Opening Process in connection with a technology migration Approved Yes 8/17/2020 7/27/2020
SR-BX-2020-015
Resubmission
Resubmission 2
Notice & Approval
A proposal to amend Rule 4764 and Rule 4765 Commentary to provide Participants with additional optional settings. Approved Yes 9/4/2020 8/14/2020
SR-BX-2020-014
Notice & Approval
A proposal to amend Options 5, Section 4, Order Routing Approved Yes 8/12/2020 7/22/2020
SR-BX-2020-013
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 (the 'OLPP') Approved Yes 7/23/2020 7/2/2020
SR-BX-2020-012
Notice & Approval
A proposal to amend Options 9, Section 13, to increase position limits for options on the SPDR SP 500 ETF Trust (SPY). Approved Yes 7/22/2020 7/1/2020
SR-BX-2020-011
Notice & Approval
A proposal to amend the Exchange's transaction fees, at Equity 7, Section 118(a) Approved Yes 7/17/2020 6/26/2020
SR-BX-2020-009
Notice & Approval
A proposal to relocate the BX Series 8000 and 9000 Rules Approved Yes 6/22/2020 6/1/2020
SR-BX-2020-008
Notice & Approval
A proposal to amend the Exchange's transaction credits and fees, at Equity 7, Section 118(a) Approved Yes 6/8/2020 5/18/2020
SR-BX-2020-007
Amendment 1
Notice
Approval
A proposal to assume operational responsibility for certain enforcement functions currently performed by the FINRA under the Exchange's authority and supervision. Specifically, the Exchange proposes to assume operational responsibility for litigating certain contested disciplinary proceedings arising out of BX Regulation-led investigation and enforcement activities. BX Rule General 2, Section 7 requires Commission approval for this proposal. Approved Yes 5/21/2020 4/30/2020
SR-BX-2020-006
Resubmission
Resubmission 2
Notice & Approval
a proposal to adopt a new rule titled 'Transfer of Positions' within BX Options 6, Section 5. Approved Yes 5/13/2020 4/22/2020
SR-BX-2020-005
Notice & Approval
A proposal to extend the current pilot program related to BX Rule 11890 - Clearly Erroneous Transactions by six months, to the close of business on October 20, 2020. Approved Yes 4/23/2020 4/2/2020
SR-BX-2020-004
Notice & Approval
A proposal to amend Rule 4121(b) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt. Approved Yes 4/15/2020 3/25/2020
SR-BX-2020-003
Resubmission
Notice & Approval
Proposal to correct and clarify Rules 4702(b)(3)(B) and 4703(d). Approved Yes 4/1/2020 3/11/2020
SR-BX-2020-002
Notice & Approval
Related to order types and times-in-force provisions Approved Yes 3/12/2020 2/20/2020
SR-BX-2020-001
Notice & Approval
Removal of Listing Rule and other amendments Approved Yes 3/10/2020 2/18/2020
rulebook-rulefilings-bx-2019rulebook-rulefilings-bx-2019
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2019-046
Notice & Approval
A proposal to amend Options 3, Section 3 (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 1/9/2020 12/19/2019
SR-BX-2019-045
Notice & Approval
A proposal to amend: (i) the Exchange's transaction fees and credits, at Equity 7, Section 118(a); and (ii) its Qualified Market Maker Program, at Equity 7, Section 118(f) Approved Yes 1/9/2020 12/19/2019
SR-BX-2019-042
Resubmission
Resubmission 2
Notice & Approval
Proposal to adopt a new rule titled Off-Exchange RWA Transfers at BX Options 6, Section 6 Approved Yes 1/20/2020 12/29/2019
SR-BX-2019-040
Notice & Approval
A proposal to amend Rule 4759. Approved Yes 12/4/2019 11/13/2019
SR-BX-2019-039
Notice & Approval
Proposal to relocate rules from its current Rulebook into its new Rulebook shell Approved Yes 12/2/2019 11/11/2019
SR-BX-2019-038
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-BX-2019-037
Notice & Approval
Proposal to extend the current pilot program related to BX Rule 11890 Approved Yes 11/13/2019 10/23/2019
SR-BX-2019-035
Notice & Approval
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a) Approved Yes 11/6/2019 10/16/2019
SR-BX-2019-034
Notice & Approval
A proposal to extend the pilot related to the market-wide circuit breaker in Rule 4121. Approved Yes 10/29/2019 10/8/2019
SR-BX-2019-033
Resubmission
Notice & Approval
Amend BX's Rule Regarding Orders and Quotes Approved Yes 11/6/2019 10/16/2019
SR-BX-2019-032
Notice & Approval
A proposal to amend its By-Laws Approved Yes 10/29/2019 10/8/2019
SR-BX-2019-031
Notice & Approval
A proposal to amend the Exchange's transaction fees and credits at Equity 7, Section 118(a). Approved Yes 11/14/2019 10/24/2019
SR-BX-2019-029
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-BX-2019-028
Notice & Approval
Proposal to correct an inadvertent error in a recent filing and amend the BX Options Rules at Chapter 1, Section 1 Definitions Approved Yes 9/4/2019 8/14/2019
SR-BX-2019-027
Notice & Approval
Proposal to amend BX pricing at Options 7, Section 3 titled 'BX Options Market -Ports and Other Services.' Approved Yes 8/22/2019 8/1/2019
SR-BX-2019-026
Notice & Approval
A proposal to amend the Exchange's transaction fees and credits at Equity 7, Section 118(a) Approved Yes 8/19/2019 7/29/2019
SR-BX-2019-025
Notice & Approval
Proposal to amend its rules governing the BX Options Market to modify the give up of a Clearing Participant by a Participant on BX transactions Approved Yes 8/18/2019 7/28/2019
SR-BX-2019-023
Notice & Approval
Proposal to relocate the BX Options Rules BX Options at Chapter IV Securities Traded on BX Options under the Options 4 title in the Exchanges rulebooks Rulebook shell structure. Approved Yes 7/23/2019 7/2/2019
SR-BX-2019-022
Resubmission
Resubmission 2
Notice & Approval
A proposal to amend and restate the Exchange membership rules. Approved Yes 8/15/2019 7/25/2019
SR-BX-2019-021
Notice & Approval
Proposal to harmonize the Exchanges By-Law provisions regarding the size of the Exchanges Board of Directors Approved Yes 7/22/2019 7/1/2019
SR-BX-2019-020
Notice & Approval
Proposal to Extend the Penny Pilot Program to December 31, 2019. Approved Yes 7/14/2019 6/23/2019
SR-BX-2019-019
Notice & Approval
Proposal to amend the Exchange's credits at Equity 7, Section 118(a). Approved Yes 7/11/2019 6/20/2019
SR-BX-2019-017
Notice & Approval
Proposal to amend BX Chapter VI, Section 11, titled 'Order Routing,' to conform the rule text, where applicable, to Nasdaq Phlx Rule 1093 where the routing behavior is identical. Approved Yes 7/2/2019 6/11/2019
SR-BX-2019-016
Notice & Approval
Proposal to amend Equity 7, Section 118(a) to adopt pricing for the recently adopted SCAR routing strategy. Approved Yes 6/30/2019 6/9/2019
SR-BX-2019-015
Notice & Approval
Proposal to allow dollar strike price intervals in QQQ and IWM options Approved Yes 6/24/2019 6/3/2019
SR-BX-2019-013
Notice & Approval
Proposal to amend the Exchange's transaction fees and credits at Equity 7, Section 118(a). Approved Yes 6/18/2019 5/28/2019
SR-BX-2019-011
Notice
Amendment 1
Approval
Proposal to make permanent the pilot program for the Exchanges Retail Price Improvement Program Approved Yes 6/4/2019 5/14/2019
SR-BX-2019-010
Notice & Approval
A proposal to delete the Exchange's current Registration, Qualification and Continuing Education rules under the 1200 Series (Rules 1210 through 1250), 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 5/22/2019 5/1/2019
SR-BX-2019-009
Notice & Approval
A proposal to extend the current pilot program related to BX Rule 11890, Clearly Erroneous Transactions, to the close of business on October 18, 2019. Approved Yes 5/7/2019 4/16/2019
SR-BX-2019-008
Resubmission
Notice & Approval
A proposal to extend the pilot related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility, to the close of business on October 18, 2019. Approved Yes 5/6/2019 4/15/2019
SR-BX-2019-007
Notice & Approval
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-BX-2019-006
Notice & Approval
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a) Approved Yes 5/7/2019 4/16/2019
SR-BX-2019-005
Resubmission
Notice & Approval
A proposal to amend Chapter VI, Section 5, 'Minimum Increments,' Approved Yes 4/24/2019 4/3/2019
SR-BX-2019-004
Notice & Approval
Proposal to adopt a new SCAR routing option under Rule 4758 Approved Yes 4/15/2019 3/25/2019
SR-BX-2019-003
Notice & Approval
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a) Approved Yes 4/8/2019 3/18/2019
SR-BX-2019-002
Notice
Amendment 1
Approval
Proposal to assume operational responsibility for certain investigation and enforcement functions currently performed by the Financial Industry Regulatory Authority. Approved Yes 5/14/2019 4/23/2019
SR-BX-2019-001
Notice & Approval
A proposed rule change to amend Options 7, Section 2, which sets forth fees and rebates for the Exchange's options market ('BX Options') Approved Yes 3/13/2019 2/20/2019
rulebook-rulefilings-bx-2018
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2018-069
Notice & Approval
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a). Approved Yes 2/19/2019 2/7/2019
SR-BX-2018-067
Resubmission
Notice & Approval
A proposal to amend Chapter VI, Section 5, to extend through June 30, 2019 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 replaced in the Pe Approved Yes 2/21/2019 1/31/2019
SR-BX-2018-064
Notice & Approval
A proposal to delete the Exchange's existing rules on colocation, connectivity, and direct connectivity, under General 8, and incorporate by reference into General 8 The Nasdaq Stock Market LLC's ("Nasdaq's") rules on colocation, connectivity, and direct Approved Yes 1/22/2019 12/31/2018
SR-BX-2018-063
Notice & Approval
Proposal to extend the pilot period for the Exchanges Retail Price Improvement Program Approved Yes 1/16/2019 12/26/2018
SR-BX-2018-062
Notice & Approval
Proposal to amend the Exchanges transaction fees at Equity 7, Section 118 to adopt a new credit for entering an order that accesses liquidity in the Nasdaq BX Equities System Approved Yes 1/11/2019 12/21/2018
SR-BX-2018-061
Notice & Approval
A proposal to amend BX Options Rules at Chapter I, Section 1, specifically the defined terms "in the money" and "out-of-the-money" at BX Options Rules at Chapter I, Sections 1(a)(68) and (69)., respectively. Approved Yes 1/2/2019 12/12/2018
SR-BX-2018-060
Notice & Approval
A proposal to amend port fees within Options 7, Section 3, titled BX Options Market - Ports and Other Services. Approved Yes 1/2/2019 12/12/2018
SR-BX-2018-058
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 4756(c)(2). Approved Yes 12/26/2018 12/4/2018
SR-BX-2018-057
Notice & Approval
Proposal to amend the Exchange's transaction fees at Equity 7, Section 118 Approved Yes 12/26/2018 12/4/2018
SR-BX-2018-056
Notice & Approval
A proposal to relocate the Exchange's options exercise and delivery rules Approved Yes 12/24/2018 12/3/2018
SR-BX-2018-055
Notice & Approval
A proposal to amend Chapter IV, Securities Traded on BX Options, Section 8, Long-Term Options Contracts. Approved Yes 12/11/2018 11/20/2018
SR-BX-2018-052
Notice & Approval
A proposal to clarify General 8 of the Exchange's Rules. Approved Yes 12/7/2018 11/16/2018
SR-BX-2018-051
Notice & Approval
Proposal to amend the Exchanges Rule 4421 related to derivative securities traded under unlisted trading privileges (UTP) Approved Yes 12/5/2018 11/14/2018
SR-BX-2018-050
Notice & Approval
A proposal to add definitions to Chapter I, Section 1, titled General Provisions and also amend Chapter VI, Section 18, titled, Risk Protections. Approved Yes 11/28/2018 11/7/2018
SR-BX-2018-049
Resubmission
Notice & Approval
A proposal to amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open. Approved Yes 11/30/2018 11/9/2018
SR-BX-2018-048
Notice & Approval
A proposal to delete the current rules on arbitration ("Current Arbitration Rules"), under the 10000 Series (Rules 10001 through 10102), and incorporate by reference The Nasdaq Stock Market LLC's ("Nasdaq") rules on arbitration at General 6 ("Proposed Arb Approved Yes 11/20/2018 10/30/2018
SR-BX-2018-047
Resubmission
Notice & Approval
Proposal to amend, reorganize and enhance its membership, registration and qualification rules, and to make conforming changes to certain other rules. Approved Yes 10/31/2018 10/10/2018
SR-BX-2018-046
Notice & Approval
Proposal to relocate the Equities and Options Pricing rules, respectively under current Rules 7000 Series and Chapter XV of the Rulebook, to the Exchange's shell structure. Approved No
SR-BX-2018-045
Notice & Approval
A proposal to amend the Equity Rule 6950 Series concerning the Order Audit Trail System to make conforming and technical changes Approved Yes 10/16/2018 9/25/2018
SR-BX-2018-044
Notice & Approval
Proposal to conform the Exchange's By-Law provisions regarding the Chief Regulatory Officer to those of its affiliate, Nasdaq PHLX LLC Approved Yes 10/16/2018 9/25/2018
SR-BX-2018-043
Notice & Approval
A proposal to amend the Exchange's transaction fees at Rule 7018(a) Approved Yes 10/10/2018 9/19/2018
SR-BX-2018-042
Resubmission 1
Resubmission 2
Notice & Approval 2
Proposal to align BX existing investigatory and disciplinary processes and related rules with the investigatory and disciplinary processes and related rules of Nasdaq PHLX LLC. Approved Yes 10/30/2018 10/9/2018
SR-BX-2018-040
Notice & Approval
Proposed rule change to provide new optional functionality to Minimum Quantity Orders. Approved Yes 9/28/2018 9/7/2018
SR-BX-2018-038
Resubmission
Notice & Approval
A proposal to adopt new text at Chapter VI, Section 21 to codify the definitions of the protocols that Participants can use to enter quotes and orders on the Exchange. Approved Yes 8/23/2018
SR-BX-2018-037
Notice & Approval
Proposal to amend the Exchange's transaction fees at Rule 7018(a). Approved Yes 9/7/2018 8/17/2018
SR-BX-2018-036
Notice & Approval
A proposal to incorporate BX Rule 7039 into the market data enterprise license proposed by the Nasdaq Stock Market LLC ("Nasdaq"), which is designed to lower fees, reduce administrative costs, and expand the availability of Nasdaq Last Sale ("NLS") Plus, Approved Yes 9/5/2018 8/15/2018
SR-BX-2018-035
Notice & Approval
A proposal to amend BX Options Rules at Chapter I, Section 1 to define certain terms. Approved Yes 8/30/2018 8/9/2018
SR-BX-2018-033
Notice & Approval
A proposal to amend Chapter V, Section 3, entitled "Trading Halts" and Chapter VI, Section 6, entitled "Acceptance of Quotes and Orders." Approved Yes 8/20/2018 7/30/2018
SR-BX-2018-032
Notice & Approval
A proposal to amend the Exchange's transaction fees at Rule 7018(a) Approved Yes 8/16/2018 7/26/2018
SR-BX-2018-029
Notice & Approval
Proposal to add more specificity concerning auctions during a trading halt and remove unnecessary rule text in Chapter V, Section 3 and adopt a zero bid options rule in Chapter VI, Section 6, of the Rulebook. Approved Yes 8/10/2018 7/20/2018
SR-BX-2018-027
Notice & Approval
Proposal to amend Exchange rules to extend through December 31, 2018 a pilot program to quote and to trade certain options classes in penny increments ("Penny Pilot Program"). Approved Yes 7/2/2018
SR-BX-2018-026
Notice & Approval
Proposal to extend the pilot period for the Exchange's Retail Price Improvement Program, which is set to expire on June 30, 2018, for an additional period, to expire on December 31, 2018. Approved Yes 7/24/2018 7/3/2018
SR-BX-2018-024
Notice & Approval
A proposal to relocate the Exchanges rules pertaining to co-location and direct connectivity Approved Yes 7/24/2018 7/3/2018
SR-BX-2018-022
Resubmission 1
Resubmission 2
Notice & Approval
A proposal to amend BX Rules at Supplementary Material to Chapter III, Section 7, entitled "Position Limits," and Section 9, entitled "Exercise Limits," to amend position limits and exercise limits for options on the SPDR S&P 500 exchange-traded fund. Ter Approved Yes 6/19/2018
SR-BX-2018-021
Notice & Approval
A proposal to amend the descriptions of certain data feeds within Chapter VI, Section 19 entitled "Data Feeds and Trade Information." Approved Yes 6/26/2018 6/5/2018
SR-BX-2018-019
Notice & Approval
A proposal to amend the Market Order Spread Protection and reorganize Rule Chapter VI, Section 18 entitled, "Order Price Protections." Approved Yes 6/8/2018 5/18/2018
SR-BX-2018-018
Notice & Approval
Proposal to amend the Exchange's transaction fees at Rule 7018(a) to establish a new fee for orders with Midpoint pegging that receive an execution price that is better than the midpoint of the National Best Bid and Offer. Approved Yes 6/8/2018 5/18/2018
SR-BX-2018-017
Resubmission
Notice & Approval
Proposal to reorganize and amend Chapter XV, Section 3, entitled "BX Options Market - Ports and Other Services." Approved Yes 6/5/2018 5/15/2018
SR-BX-2018-016
Notice & Approval
A proposal to memorialize its order and execution information into Chapter VI, Section 19, entitled Data Feeds. Approved Yes 6/5/2018 5/15/2018
SR-BX-2018-015
Notice & Approval
Proposal to incorporate The Nasdaq Stock Market LLC's rules at General 7, entitled "Consolidated Audit Trail Compliance," into BX's General 7. Approved Yes 4/26/2018
SR-BX-2018-014
Proposal to amend the rules of the Exchange, at Chapter VIII, Exercises and Deliveries. Approved No
SR-BX-2018-013
Notice & Approval
A proposal to delete the rules related to the Consolidated Audit Trail currently under Chapter IX, Sections 8 and 9 of BX Options Rules Approved Yes 4/23/2018
SR-BX-2018-012
Resubmission 1
Resubmission 2
Resubmission 3
Notice & Approval
A proposal to correct a typographical error within BX Rule Chapter VI, Section 9 Approved Yes 4/19/2018
SR-BX-2018-011
Notice & Approval
A proposal to amend the Exchange's transaction fees at Rule 7018 to reduce the credit for a Retail Order that accesses liquidity provided by a Retail Price Improvement Order. Approved Yes 4/19/2018
SR-BX-2018-010
Notice & Approval
Proposal to amend Rule 5701 regarding the requirements for securities listed on the Exchange. Approved Yes 4/17/2018 3/27/2018
SR-BX-2018-009
Notice & Approval
Proposed rule change to relocate the Exchange data feed offerings currently located at Chapter VI, Section 1(a)(3) to Chapter VI, Sec. 19, which is currently reserved, and entitle it "Data Feeds." Approved Yes 3/30/2018 3/9/2018
SR-BX-2018-008
Notice & Approval
A proposal to expand the Short Term Option Series Program Approved Yes 3/13/2018 2/20/2018
SR-BX-2018-007
Notice & Approval
Proposal to relocate the Exchange's Consolidated Audit Trail Compliance rules. Approved Yes 2/23/2018 2/2/2018
SR-BX-2018-006
Notice & Approval
Proposal to amend Exchange Rules 7030, 7034, and 7051. Approved Yes 3/2/2018 2/9/2018
SR-BX-2018-005
Notice & Approval
A proposal to amend its fees at Rule 7023 to modify the fee schedule for BX TotalView to reflect substantial enhancements to this product since the current BX TotalView fees were set in 2010. Approved Yes 2/20/2018 1/29/2018
SR-BX-2018-004
Notice & Approval
A proposal to amend Chapter IV, Section 3 to modify the criteria for listing an option on an underlying covered security. Approved Yes 2/20/2018 1/29/2018
SR-BX-2018-001
Resubmission
Notice & Approval
Proposal to add a new Rule 4765 to authorize the Exchange to share Participant-designated risk settings in the Exchange's trading system with the clearing member that clears transactions on behalf of the Participant. Approved Yes 2/16/2018 1/26/2018
rulebook-rulefilings-bx-2017
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2017-056
Notice & Approval
Proposed Rule Change to Extend the Penny Pilot Program. Approved Yes 1/16/2018 12/26/2017
SR-BX-2017-055
Notice & Approval
Proposal to extend the pilot period for the Exchange Retail Price Improvement Program, which is set to expire on December 1, 2017, for a period of one year, to expire on June 30, 2018. Approved Yes 12/28/2017 12/7/2017
SR-BX-2017-054
Notice & Approval
Proposal to amend the structure of the BX rulebook. Approved Yes 12/26/2017 12/5/2017
SR-BX-2017-052
Resubmission
Notice & Approval
Proposed rule change to clarify the purposes for which the Exchange uses securities information processor data pursuant to Rule 4759. Approved Yes 12/29/2017 12/8/2017
SR-BX-2017-051
Notice & Approval
A proposal to amend the Exchanges Options Pricing Approved Yes 12/8/2017 11/17/2017
SR-BX-2017-050
Notice & Approval
A proposal to amend the Exchange's transaction fees at Rule 7018. Approved Yes 12/11/2017 11/20/2017
SR-BX-2017-049
Notice & Approval
Proposal to remove references to Nasdaq Options Services. Approved Yes 11/24/2017 11/3/2017
SR-BX-2017-048
Notice & Approval
Proposal to amend and conform BX Equities Rule 7025 and Chapter XV, Section 3(c) of the Exchange's Options Rules, to define key terms; to clarify the rule language; and to clarify its application to Extranet Providers and Distributors in various contexts. Approved Yes 12/6/2017 11/15/2017
SR-BX-2017-046
Notice & Approval
Proposal to amend the Exchange's rules as well as certain of its corporate documents to reflect legal name changes. Approved Yes 11/21/2017 10/31/2017
SR-BX-2017-044
Notice & Approval
Proposal to modify BX rules at Chapter VI, Section 9, entitled "Price Improvement Auction," to correct an error. Approved Yes 11/22/2017 11/1/2017
SR-BX-2017-040
Notice & Approval
Proposal to remove obsolete rule text from Chapter XV, Section 5, entitled "BX Options Regulatory Fee." Approved Yes 10/31/2017 10/10/2017
SR-BX-2017-039
Notice & Approval
A proposal to address the application of Exchange Rule 11140 (Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants") as it relates to establishing ex-dividend dates in connection with the implementation of the T+2 settlement cycle on Sept Approved Yes 9/28/2017 9/7/2017
SR-BX-2017-038
Notice & Approval
A proposal to amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions including Obvious Errors. Approved Yes 9/5/2017 8/14/2017
SR-BX-2017-037
Notice & Approval
Proposed rule change to further clarify when the Exchange will utilize the Secondary Source of data pursuant to Rule 4759. Approved Yes 9/7/2017 8/17/2017
SR-BX-2017-034
Resubmission
Notice & Approval
Proposal to amend BX Rules at Chapter IV, Section 6, entitled Series of Options Contracts Open for Trading. Approved Yes 8/23/2017 8/2/2017
SR-BX-2017-032
Resubmission
Notice & Approval
Proposal to revise BX Rules at Chapter XV, Section 5 to: (i) make adjustments to the amount of its Options Regulatory Fee; and (ii) more closely reflect the manner in which BX assesses and collects its ORF. Approved Yes 9/5/2017 8/14/2017
SR-BX-2017-031
Notice & Approval
Proposal to amend the Exchange's transaction fees at Rule 7018 to assess a new charge for adding displayed liquidity for members that equal or exceed a specified monthly volume threshold. Approved Yes 8/9/2017 7/19/2017
SR-BX-2017-030
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-BX-2017-029
Notice
SEC Extension
Amendment 1
Approval
Proposal to Rule 6896 and Chapter IX, Section 9 (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-BX-2017-028
Notice & Approval
Proposal to amend the Exchange's transaction fees at Rule 7018 to reduce the amount of one of the credits for entering an order that accesses liquidity in the Exchange's Equities System. Approved Yes 7/11/2017 6/20/2017
SR-BX-2017-026
Notice & Approval
A proposal to amend Chapter VI, Section 5 (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 ("Penny Pilot" or "Pilot"), and to change the Approved Yes 6/27/2017 6/6/2017
SR-BX-2017-022
Notice & Approval
Proposal to amend Rule 4770 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-BX-2017-021
Notice & Approval
Proposal to amend Rule 4703 to clarify the behavior of Orders with Midpoint Pegging that are rejected when the market is crossed, or when there is no best bid andor offer. Approved Yes 5/31/2017 5/10/2017
SR-BX-2017-020
Notice & Approval
Proposal to amend the Exchange's transaction fees at Rule 7018 to limit the availability of credits provided for removing non-displayed liquidity. Approved Yes 5/12/2017 4/21/2017
SR-BX-2017-018
Notice & Approval
Proposal to extend the implementation date of functionality relating to Orders with Midpoint Pegging. Approved Yes 5/3/2017 4/12/2017
SR-BX-2017-017
Notice & Approval
Proposal to amend the Exchange's transaction fees at Rule 7018 to add a new charge for providing liquidity on the BX equity market. Approved Yes 4/7/2017 3/17/2017
SR-BX-2017-016
Notice & Approval
Proposal to amend Rule 4770 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-BX-2017-015
Notice & Approval
Proposal to clarify that BX Options Market port fees and other services in Chapter VX, Section 3 of BX Rules are not prorated. Approved Yes 3/31/2017 3/10/2017
SR-BX-2017-014
Resubmission
Notice & Approval
Proposal to amend Chapter X, Section 7(a) of the Exchange's Rules, to harmonize the position limits minor rule violation fine schedules. Approved Yes 3/30/2017 3/9/2017
SR-BX-2017-013
Resubmission 1
Resubmission 2
Amendment 1
Notice
Approval
Proposed rule change to amend BX Rules 11140, 11150, 11210, 11320, 11620, and IM-11810, to conform to the Commission's proposed amendment to SEA Rule 15c6-1(a) to shorten the standard settlement cycle for most broker-dealer transactions. Approved Yes 4/17/2017 3/27/2017
SR-BX-2017-011
Notice & Approval
Proposal to amend Chapter VII, Section 6 of the Options Rules relating to Market Maker Quotations. Approved Yes 3/23/2017 3/2/2017
SR-BX-2017-010
Notice & Approval
Proposal to amend the Exchange's port-related fees at Rules 7015 and 7016(a) to eliminate prorated billing. Approved Yes 3/22/2017 3/1/2017
SR-BX-2017-009
Notice & Approval
Proposal to increase the BX Options Market port fees and institute a fee cap at Chapter XV Section 3. Approved Yes 3/15/2017 2/22/2017
SR-BX-2017-008
Notice & Approval
Proposed rule change to extend the implementation date of BX's functionality relating to Post-Only Orders and Orders with Midpoint Pegging, and its Trade-Now functionality. Approved Yes 3/15/2017 2/22/2017
SR-BX-2017-007
Notice
Amendment 1
Approval
Proposal to adopt rules to implement the compliance rule regarding the National Market System Plan Governing the Consolidated Audit Trail. Approved Yes 3/2/2017 2/9/2017
rulebook-rulefilings-bx-2016
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2016-153
Notice & Approval
Proposal to amend Commentary .14 to Rule 4770 (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 G Approved Yes 12/6/2016 11/15/2016
SR-BX-2016-073
Notice & Approval
A proposal to amend the transaction fees at Rule 7019. Approved Yes 1/20/2017 12/30/2016
SR-BX-2016-072
Notice & Approval
A proposal to delay the implementation of the Limit Order Protection or "LOP" for members accessing the BX Market Center. Approved Yes 1/17/2017 12/27/2016
SR-BX-2016-071
Notice & Approval
Proposal to amend the Exchange's market data fees at Rule 7035 to change the billing cycle for administrative fees paid by distributors of BX market data from annual to monthly. Approved Yes 1/19/2017 12/29/2016
SR-BX-2016-069
Notice & Approval
A proposal to amend Rule 4770 (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 in connection with the Regulation NMS Plan to Implement a Tick Size Pil Approved Yes 1/17/2017 12/27/2016
SR-BX-2016-068
Amendment 1
Notice
Approval
Proposed rule change to permit BX to accept inbound options orders routed by Nasdaq Execution Services LLC from the ISE Exchanges. Approved Yes 1/19/2017 12/29/2016
SR-BX-2016-067
Notice & Approval
A proposal to amend BX Rule 4770 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-BX-2016-066
Notice & Approval
Proposal to rename the title of rules that assess fees for connectivity to systems operated by the Exchange or FINRA under Equities Rule 7015 and Options Chapter XV, Section 3, and to make related changes to other rules that reference the renamed rules. Approved Yes 1/3/2017 12/12/2016
SR-BX-2016-065
Notice & Approval
Proposal to extend the pilot period for the Exchange's Retail Price Improvement Program, which is set to expire on December 1, 2016, for a period of one year, to expire on December 1, 2017. Approved Yes 12/28/2016 12/7/2016
SR-BX-2016-063
Notice
Approval
A proposal to make permanent certain pilots within BX Options VI-9 (Price Improvement Auction or "PRISM Pilot"). In addition, BX proposes to modify the requirements for PRISM auctions involving less than 50 contracts where the National Best Bid and Offer Approved Yes 12/30/2016 12/9/2016
SR-BX-2016-062
Notice & Approval
Proposal to amend Chapter VI, Section 5 (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 Approved Yes 12/27/2016 12/5/2016
SR-BX-2016-061
Notice & Approval
A proposal to amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot). Approved Yes 12/23/2016 12/2/2016
SR-BX-2016-059
Notice & Approval
A proposal to amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes) to add a "Trade Now" instruction to certain order types. Approved Yes 12/8/2016 11/17/2016
SR-BX-2016-058
Notice & Approval
Proposal to amend the Limit Order Protection for members accessing the BX Market Center. Approved Yes 12/13/2016 11/22/2016
SR-BX-2016-056
Notice & Approval
Proposal to amend Rule 9400, entitled "Expedited Client Suspension Proceeding," to include a crossreference for clarification. Approved Yes 12/5/2016 11/14/2016
SR-BX-2016-055
Notice & Approval
Proposal to adopt Rules 9556 and 9800, which were previously adopted as a pilot the term of which has since expired, and to make related changes to the 9100, 9200, 9300, 9550, and 9800 Rule Series. Approved Yes 12/6/2016 11/15/2016
SR-BX-2016-054
Notice & Approval
Proposal to add Commentary .14 to Rule 4770 (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-BX-2016-051
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-BX-2016-050
Notice
Amendment 1
Amendment 2
Amendment Withdrawal
Amendment 3
Approval
Proposal to adopt paragraph (d) to Exchange Rule 4770 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-BX-2016-049
Notice & Approval
Proposal to amend the Exchange's Options Pricing at Chapter XV Section 2, entitled "BX Options Market - Fees and Rebates," which governs pricing for BX members using the BX Options Market ("BX Options"). Approved Yes 10/11/2016 9/19/2016
SR-BX-2016-048
Notice & Approval
Proposed Rule Change to Amend Rule 4770 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-BX-2016-047
Notice & Approval
A proposal to expand the Short Term Option Series Program. Approved Yes 9/21/2016 8/31/2016
SR-BX-2016-046
Resubmission 1
Resubmission 2
Notice
Amendment 1
Approval
Proposal to amend BX Rules 4702, Order Types, and 4703, Order Attributes, to change the way in which Post Only Orders interact with resting Non-Display orders and preventing the execution of midpoint pegged orders during a crossed market. Approved Yes 10/19/2016 9/28/2016
SR-BX-2016-045
Notice & Approval
Proposal to amend its Options Pricing at Chapter XV Section 2, entitled "BX Options Market - Fees and Rebates" Approved Yes 8/24/2016 8/3/2016
SR-BX-2016-044
Notice & Approval
A proposed rule change to update Exchange Rule 4759 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-BX-2016-043
Notice & Approval
Proposal to make adjustments to Exchange's Options Regulatory Fee ("ORF") by amending BX Rules at Chapter XV, Section 5. Approved Yes 8/15/2016 7/25/2016
SR-BX-2016-041
Notice & Approval
A proposal to amend the transaction fees at Rule 7018. Approved Yes 8/5/2016 7/15/2016
SR-BX-2016-040
Resubmission
Notice & Approval
Proposal to amend Chapter VI, Section 6, to adopt functionality designed to assist BX Participants in the event that they lose communication with their assigned Financial Information eXchange or Specialized Quote Feed Ports due to a loss of connectivity. Approved Yes 8/8/2016 7/18/2016
SR-BX-2016-039
Notice & Approval
A proposal to adopt rules under Rule 4770 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 8/3/2016 7/13/2016
SR-BX-2016-038
Resubmission
Notice & Approval
Proposal to amend BX rules at Chapter VI, Section 9, concerning a price-improvement mechanism, PRISM, to extend pilot program through January 18, 2017. Approved Yes 8/3/2016 7/13/2016
SR-BX-2016-037
Notice
Amendment 1
Approval
A proposal to amend rule 4757 to adopt a new mechanism to protect against erroneous Limit Orders which are entered into BX. Specifically, this new feature addresses risks to market participants of human error in entering Limit Orders at unintended prices. Approved Yes 8/3/2016 7/13/2016
SR-BX-2016-036
Notice & Approval
Proposal to adopt a new options rule to clearly prohibit disruptive quoting and trading activity on the Exchange. Approved Yes 7/18/2016 6/27/2016
SR-BX-2016-035
Notice & Approval
A proposal to amend NOM Chapter I, Section 1 ("Definitions") to amend the definition of "Professional" to specify the manner in which the Exchange calculates orders to determine if an order should be treated as Professional. Approved Yes 7/28/2016 7/7/2016
SR-BX-2016-034
Resubmission
Notice & Approval
A proposal to amend the transaction fees at Chapter XV to permit certain affiliated market participants to aggregate eligible volume to all pricing in Chapter XV, Section 2(1). Approved Yes 8/16/2016 7/26/2016
SR-BX-2016-033
Resubmission 1
Resubmission 2
Notice & Approval
A proposed rule change to amend Rule 4120 and the BX process for commencing trading of a security that is the subject of a trading halt. Approved Yes 8/2/2016 7/12/2016
SR-BX-2016-032
Resubmission
Notice & Approval
A proposal to amend BX Options Chapter VII, Section 6(f) ("Automated Removal of Quotes") to modify the minimum Specified Percentage to enable a BX Market Maker to enhance its risk management for an underlying security as market conditions warrant, based o Approved Yes 8/5/2016 7/15/2016
SR-BX-2016-030
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. Pilot Program - Elimination of Position Limits in SPY. Approved Yes 7/19/2016 6/28/2016
SR-BX-2016-029
Notice & Approval
Proposal to amend the Rule 7018(a) to delete text from the preamble the rule concerning Consolidated Volume. Approved Yes 7/11/2016 6/20/2016
SR-BX-2016-028
Notice & Approval
Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity. Approved Yes 6/22/2016 6/1/2016
SR-BX-2016-027
Notice & Approval
Proposal to amend Exchange Options Pricing at Chapter XV, Section 2, entitled "BX Options Market - Fees and Rebates," which governs pricing for BX members using the BX Options Market. Approved Yes 6/21/2016 5/31/2016
SR-BX-2016-024
Notice & Approval
Proposal to modify the maximum number of times an Order on the Exchange may be updated before the System cancels the Order. Approved Yes 6/6/2016 5/16/2016
SR-BX-2016-022
Notice & Approval
A proposed rule change to update Exchange Rule 4759 (Data Feeds Utilized). Approved Yes 5/24/2016 5/3/2016
SR-BX-2016-021
Notice & Approval
Proposal to amend Chapter VI, Section 5 (Minimum Increments), to extend the Penny Pilot Program. Approved Yes 7/7/2016 6/16/2016
SR-BX-2016-020
Notice & Approval
Proposal to amend the Exchange's fees at Rule 7018(a) assessed members for the use of the order execution and routing services of the NASDAQ OMX BX Equities System. Approved Yes 5/9/2016 4/18/2016
SR-BX-2016-019
Notice & Approval
A proposal to adopt Exchange Rule 4770 to implement the Regulation NMS Plan to Implement a Tick Size Pilot Program. Approved Yes 4/22/2016 4/1/2016
SR-BX-2016-018
Notice & Approval
A proposal to delete from the Exchange's rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants. Approved Yes 4/22/2016 4/1/2016
SR-BX-2016-017
Notice & Approval
A proposal to amend Chapter XI, Doing Business with the Public, Section 8, Supervision of Accounts, of the Exchange's rulebook. Approved Yes 4/19/2016 3/29/2016
SR-BX-2016-016
Notice & Approval
A proposal to amend its Options Pricing at Chapter XV Section 2, entitled "BX Options Market - Fees and Rebates." Approved Yes 4/6/2016 3/16/2016
SR-BX-2016-014
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a). Approved Yes 4/7/2016 3/17/2016
SR-BX-2016-013
Notice & Approval
Proposal to amend the Exchange's Access Services fees under Rule 7015 Approved Yes 3/29/2016 3/8/2016
SR-BX-2016-012
Notice & Approval
A proposal to amend BX Options Chapter VII, Section 6. Approved Yes 3/25/2016 3/4/2016
SR-BX-2016-010
Notice & Approval
A proposal to amend its Options Pricing at Chapter XV Section 2, entitled "BX Options Market - Fees and Rebates." Approved Yes 3/11/2016 2/19/2016
SR-BX-2016-007
Notice & Approval
A proposal to institute a new transaction based "Options Regulatory Fee" or "ORF." Approved Yes 3/2/2016 2/10/2016
SR-BX-2016-004
Notice & Approval
A proposal to make changes to the continuing education fees section of Rule 7003 related to continuing education fees for Web delivery and testing center sessions. The Exchange is also deleting the session fee for the S501 Regulatory Element, which FINRA Approved Yes 2/17/2016 1/27/2016
SR-BX-2016-003
Notice & Approval
A prpoosal to add new streaming quote interface ("SQF") Port Fees. Approved Yes 2/17/2016 1/27/2016
SR-BX-2016-002
Notice & Approval
A proposal to amend Rule 1120(a)(6) (Continuing Education Requirements) to provide for web-based delivery of the Exchange's continuing education program. Approved Yes 2/9/2016 1/19/2016
SR-BX-2016-001
Notice & Approval
A proposal to amend the fee schedule under Exchange Rule 7018(a) with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 2/11/2016 1/21/2016
rulebook-rulefilings-bx-2015
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2015-088
Notice & Approval
A proposal to extend the implementation timeframe for adopting an optional Kill Switch protection. Approved Yes 2/1/2016 1/11/2016
SR-BX-2015-087
Notice & Approval
A proposed rule change to amend BX Rule 7015 to clarify connectivity options and application of fees assessed. Approved Yes 2/5/2016 1/15/2016
SR-BX-2015-086
Notice & Approval
A proposed rule change to amend BX Rule 4780, which governs the Exchange's Retail Price Improvement Program. Approved Yes 2/1/2016 1/11/2016
SR-BX-2015-085
Amendment 1
Notice
Approval
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq, Inc., to revise the requirements regarding Director classifications. Approved Yes 1/28/2016 1/7/2016
SR-BX-2015-084
Notice & Approval
A proposed rule change to modify the charges to be paid for Managed Data Solutions. Approved Yes 1/27/2016 1/6/2016
SR-BX-2015-083
Notice & Approval
A proposal to amend the Exchange's transaction fees to adopt a new Participant Fee at Chapter XV. Approved Yes 1/20/2016 12/30/2015
SR-BX-2015-082
Notice & Approval
A proposal to amend BX Rule 7039 (BX Last Sale and NASDAQ Last Sale Plus Data Feeds). Approved Yes 1/20/2016 12/30/2015
SR-BX-2015-081
Notice & Approval
A proposal to amend its Options Pricing at Chapter XV Section 2, entitled "BX Options Market - Fees and Rebates," which governs pricing for BX members using the BX Options Market. Approved Yes 1/14/2016 12/24/2015
SR-BX-2015-080
Notice & Approval
A proposed rule change with respect to amendments of its Certificate of Incorporation and By-Laws to change its name to NASDAQ BX, Inc. Approved Yes 1/11/2016 12/21/2015
SR-BX-2015-079
Notice & Approval
A proposal to amend Options Pricing at Chapter XV, Section 2, entitled "BX Options Market - Fees and Rebates." Approved Yes 1/14/2016 12/24/2015
SR-BX-2015-078
Notice & Approval
A proposal to amend BX Rules at Chapter VII, Section 12, entitled Order Exposure Requirements. Approved Yes 1/12/2016 12/22/2015
SR-BX-2015-075
Notice & Approval
A proposal to amend its Options Pricing at Chapter XV Section 2, entitled "BX Options Market - Fees and Rebates," which governs pricing for BX members using the BX Options Market. Approved Yes 12/28/2015 12/4/2015
SR-BX-2015-074
Notice & Approval
A proposal to amend the BX rules at Chapter VI, Section 6, entitled "Acceptance of Quotes and Orders." Approved Yes 12/28/2015 12/7/2015
SR-BX-2015-073
Notice & Approval
A proposal to extend the pilot period for the Exchange's Retail Price Improvement ("RPI") Program (the "Program"), which is set to expire on December 1, 2015. Approved Yes 12/18/2015 11/27/2015
SR-BX-2015-068
Notice & Approval
A proposal to amend BX Rules at Chapter VI, Section 9 ("Price Improvement Auction") to correct two cross-references to BX Rules. Approved Yes 12/18/2015 11/27/2015
SR-BX-2015-067
Notice & Approval
A proposal to amend BX Rule 4615 ("Sponsored Participants") to: (1) define the term "Sponsored Access" and "Customer Agreement;" (2) specify the requirements to comply with sec Rule 15c3-5 ("Market Access Rule"); and (3) remove the requirement that each S Approved Yes 12/14/2015 11/23/2015
SR-BX-2015-066
Notice & Approval
A proposal to establish the Securities Trader and Securities Trader Principal registration categories. BX will announce the effective date of the proposed rule change in a Trader Alert. Approved Yes 12/8/2015 11/17/2015
SR-BX-2015-065
Notice & Approval
A proposal to adopt business continuity and disaster recovery plans. Approved Yes 12/3/2015 11/12/2015
SR-BX-2015-064
Notice & Approval
A proposal to remove a "Price Improving Order" and a "Post-Only Order." Approved Yes 12/3/2015 11/12/2015
SR-BX-2015-063
Notice & Approval
A proposal to amend BX Rule 7039. Approved Yes 12/4/2015 11/13/2015
SR-BX-2015-062
Notice & Approval
A proposal to amend the BX Options Rules to extend the pilot program under Chapter V, Section 3(d)(iv), which provides for how the Exchange treats obvious and catastrophic options errors in response to the Limit Up-Limit Down Plan. The Exchange proposes t Approved Yes 11/18/2015 10/28/2015
SR-BX-2015-060
Notice & Approval
A proposal to amend Chapter VI, Section 19 entitled Risk Monitor Mechanism by reserving this rule and relocating the rule governing the Risk Monitor Mechanism. Approved Yes 11/27/2015 11/5/2015
SR-BX-2015-059
Resubmission
Notice & Approval
A proposal to amend its Options Pricing at Chapter XV to adopt a new Section 9. Approved Yes 11/20/2015 10/30/2015
SR-BX-2015-058
Resubmission
Notice & Approval
A proposal to amend Supplementary Material .08 to Chapter IV, Section 6 (Series of Options Contracts Open for Trading), entitled "Mini Options Contracts." Approved Yes 11/9/2015 10/19/2015
SR-BX-2015-057
Notice & Approval
A proposal to implement an order exposure alert when a marketable order is placed on the book at a price that locks the national best bid or offer ("NBBO") when the Exchange is not part of the NBBO. Approved Yes 11/16/2015 10/26/2015
SR-BX-2015-056
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a). Approved Yes 10/8/2015 9/17/2015
SR-BX-2015-054
Notice & Approval
A proposal to amend BX Rule 7039 (BX Last Sale and NASDAQ Last Sale Plus Data Feeds) with language indicating the fees for NASDAQ Last Sale Plus, a comprehensive data feed offered by NASDAQ OMX Information LLC. Approved Yes 10/1/2015 9/10/2015
SR-BX-2015-053
Notice & Approval
A proposal to amend Chapter IV, Section 3 (Criteria for Underlying Securities) of the rules governing the BX Options Market. Approved Yes 9/15/2015 8/25/2015
SR-BX-2015-052
Notice & Approval
A proposal to amend Chapter V, Section 6. Approved Yes 9/11/2015 8/21/2015
SR-BX-2015-050
Notice
Approval
a proposal to amend Chapter VI, Section 6, entitled "Acceptance of Quotes and Orders," of the BX rules to adopt an optional Kill Switch protection. Approved Yes 9/17/2015 8/27/2015
SR-BX-2015-049
Notice & Approval
A proposal to extend the implementation timeframe for adopting two new BX Market Maker risk protections, a volume-based threshold and a multi-trigger threshold. Approved Yes 9/3/2015 8/13/2015
SR-BX-2015-048
Notice & Approval
A proposed rule change to update Exchange Rule 4759 and 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 9/3/2015 8/13/2015
SR-BX-2015-047
Notice & Approval
A proposed rule change to amend BX Rule 7039 (BX Last Sale Data Feeds) with language regarding NASDAQ Last Sale Plus. Approved Yes 9/10/2015 8/20/2015
SR-BX-2015-043
Notice & Approval
A proposed rule change to amend Rule 4703(a) to remove the Market Hours Immediate or Cancel Time-in-Force. Approved Yes 8/26/2015 8/5/2015
SR-BX-2015-042
Notice & Approval
A proposed rule change to amend Rule 4702 to introduce a Market Maker Peg Order for use on BX. Approved Yes 8/24/2015 8/3/2015
SR-BX-2015-041
Notice & Approval
A proposal to amend BX Rules at Chapter VI (Trading Systems) at Section 11 (Order Routing) to clarify the manner in which a SEEK Order will route again after an initial routing attempt to another market center. Approved Yes 8/14/2015 7/24/2015
SR-BX-2015-039
Resubmission
Notice & Approval
A proposal to extend for another fourteen (14) month time period the pilot program to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund. Approved Yes 8/5/2015 7/15/2015
SR-BX-2015-038
Notice & Approval
A proposed rule change to amend BX Rule 7018(a) and to eliminate the Excess Order Fee in BX Rule 7018(d). Approved Yes 8/5/2015 7/15/2015
SR-BX-2015-037
Notice & Approval
A proposal to amend Chapter VI, Section 5 (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 7/27/2015 7/6/2015
SR-BX-2015-036
Resubmission
Notice & Approval
A proposal to adopt two new BX Market Maker optional risk protections, a volume-based threshold and a multi-trigger threshold. Approved Yes 8/4/2015 7/14/2015
SR-BX-2015-034
Notice & Approval
A proposal to amend Chapter VI, Section 18 of the Exchange's options rules. Approved Yes 7/17/2015 6/26/2015
SR-BX-2015-033
Notice & Approval
Proposed changes to amend fees and credits provided under BX Rule 7018. Approved Yes 7/8/2015 6/17/2015
SR-BX-2015-032
Resubmission
Amendment 1
Notice
Extension
Amendment 2
Approval
A proposal to amend BX rules at Chapter VI, Section 9, which is currently reserved, to establish a price-improvement mechanism, "PRISM," on BX. Approved Yes 10/1/2015 9/10/2015
SR-BX-2015-030
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-BX-2015-029
Notice & Approval
A proposal to: (1) decrease the Fee to Add Liquidity in Penny Pilot Options3; (2) decrease the Rebate to Remove Liquidity in Penny Pilot Options; and (3) delete the Monthly Volume Tiers that apply to Lead Market Makers. Approved Yes 6/18/2015 5/28/2015
SR-BX-2015-028
Notice & Approval
A proposal to amend Chapter V, Regulation of Trading on BX Options, Section 6, entitled Obvious and Catastrophic Errors to replace with new Section 6 entitled Nullification and Adjustment of Options Transactions including Obvious Errors. Approved Yes 6/4/2015 5/14/2015
SR-BX-2015-026
Notice & Approval
A proposal to update the public disclosure of the sources of data that BX 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-BX-2015-023
Notice & Approval
A proposal to amend Chapter VI, Section 16, entitled "Fees and Charges." Approved Yes 5/26/2015 5/4/2015
SR-BX-2015-022
Notice & Approval
A proposed rule change to amend BX Rule 7001 trading rights fees and to no longer waive certain membership and trading rights fees for BX members seeking to participate solely in the BX Options Market, to eliminate the Equities Regulatory Fee in BX Rule 7 Approved Yes 5/18/2015 4/27/2015
SR-BX-2015-021
Resubmission
Notice & Approval
A proposal to amend Rule 4611, entitled "NASDAQ OMX BX Equities Market Participant Registration" and adopt a new Rule 4615, entitled "Sponsored Participants." Approved Yes 5/19/2015 4/28/2015
SR-BX-2015-017
Resubmission
Notice & Approval
A proposal to amend Rule 1013 titled "New Member Application" to include an expedited application process for firms that are already approved members of NASDAQ OMX PHLX LLC ("PHLX"). Approved Yes 5/11/2015 4/20/2015
SR-BX-2015-016
Notice & Approval
A proposed rule change to amend Rule 4751(h) to introduce the Market Hours Immediate or Cancel Time in Force for use on BX. Approved Yes 4/29/2015 4/8/2015
SR-BX-2015-015
Notice
SEC Extension
Amendment 1
Approval
A proposed rule change to amend and restate certain Exchange rules that govern the NASDAQ OMX BX Equities Market. Approved Yes 4/27/2015 4/6/2015
SR-BX-2015-013
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018 with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 3/23/2015 3/2/2015
SR-BX-2015-012
Notice & Approval
A proposal to amend BX Options Rules to extend the pilot program under Chapter V, Section 3(d)(iv) ("Options Errors in Limit Up-Limit Down" Pilot), which provides for how the Exchange treats obvious and catastrophic options errors. Approved Yes 3/19/2015 2/26/2015
SR-BX-2015-011
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a) with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 3/19/2015 2/26/2015
SR-BX-2015-010
Notice & Approval
A proposal to modify and reorganize Chapter VI (Trading Systems), Section 8 (BX Opening and Halt Cross) of the Exchange's Options rules. The proposal would update or add Section 1 and Section 8 definitions in respect of the BX Opening and Halt Cross. Approved Yes 3/18/2015 2/25/2015
SR-BX-2015-008
Notice & Approval
A proposal to modify the BX Rulebook at Options Chapter VI, Section 1 to correct a typographical error in a previous rule change. Approved Yes 3/4/2015 2/11/2015
SR-BX-2015-007
Notice & Approval
A proposal to add new Section 20, Exchange Sharing of Participant-Designated Risk Settings, to Chapter VI, Trading Systems, of the Exchange's Options rules to authorize the Exchange to share any Participant-designated risk settings in the Exchange's Tradi Approved Yes 3/2/2015 2/9/2015
SR-BX-2015-006
Notice & Approval
A proposed rule change to amend Chapter IV, Section 6 (Series of Options Contracts 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-BX-2015-005
Notice & Approval
Proposed changes to amend fees and credits provided under BX Rule 7018. Approved Yes 2/17/2015 1/27/2015
SR-BX-2015-004
Notice & Approval
A proposal to amend Chapter XV, entitled "Options Pricing" and Section 2, entitled "Options Market - Fees and Rebates". Approved Yes 2/17/2015 1/26/2015
SR-BX-2015-003
Resubmission
Notice & Approval
A proposal to amend BX Rule 7025 (Extranet Access Fee), as well as to clarify the applicability of the Extranet Access Fee and thereby conform it to the equivalent fee of other markets. Approved Yes 2/10/2015 1/20/2015
SR-BX-2015-002
Notice & Approval
A proposal to add new BX Options Chapter XV, Section 3 (Options Market - Access Services) to the Exchange's Pricing Schedule, which includes description about the applicability of the Extranet Access Fee. Approved Yes 2/5/2015 1/15/2015
rulebook-rulefilings-bx-2014
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2014-061
Resubmission
Notice & Approval
A proposed rule change to modify BX's rule governing modification of orders in the event of an issuer corporate action related to a dividend, payment or distribution. Approved Yes 2/2/2015 1/12/2015
SR-BX-2014-060
Notice & Approval
A proposal to amend BX Options XV-3 ("BX Options Market - Access Services") to adopt additional port fees. Approved Yes 1/20/2015 12/29/2014
SR-BX-2014-059
Notice & Approval
Proposed changes to amend BX Rule 7018 to establish fees and rebates in connection with BX's Retail Price Improvement Program. Approved Yes 1/9/2015 12/19/2014
SR-BX-2014-057
Notice & Approval
A proposal to amend Chapter VI, Section 5 to extend through June 30, 2015, the Penny Pilot Program in options classes in certain issues, and to change the date when delisted classes may be replaced in the Penny Pilot. Approved Yes 12/23/2014 12/2/2014
SR-BX-2014-056
Notice & Approval
A proposed rule change to make minor clarifying changes to Rule 7018(a) with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 12/16/2014 11/25/2014
SR-BX-2014-055
Notice & Approval
A proposed rule change to define cancel-replacement orders and also describe a route timer in Chapter VI, entitled "Trading Systems." Approved Yes 12/4/2014 11/13/2014
SR-BX-2014-054
Notice & Approval
A proposal to amend Exchange Rule 7011, and re-title it "Collection of Exchange Fees and Other Claims and Billing Policy," and to require BX members to submit billing disputes within a certain time period. Approved Yes 11/24/2014 11/3/2014
SR-BX-2014-053
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a) with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 11/26/2014 11/5/2014
SR-BX-2014-052
Resubmission
Notice & Approval
A proposal to amend Chapter XV, Section 2 entitled "BX Options Market - Fees and Rebates. Specifically, the Exchange is proposing to amend Routing Fees. The Exchange has designated that the amendments be operative on November 3, 2014. Approved Yes 11/26/2014 11/5/2014
SR-BX-2014-050
Notice & Approval
A proposal to create new rule 7011, "Collection of Exchange Fees and Other Claims", and require each BX member to provide a clearing account number for an account at the NSCC for purposes of permitting the Exchange to debit certain monies due and owing to Approved Yes 11/24/2014 11/3/2014
SR-BX-2014-049
Resubmission 1
Resubmission 2
Resubmission 3
Notice
Approval
A proposal to add definitions of Directed Order and Directed Market Maker as well as provisions concerning the designation of an order as a Directed Order and DMM market making obligations. The proposal also revises priority rules to provide for a DMM pa Approved Yes 1/2/2015 12/12/2014
SR-BX-2014-048
Resubmission
Notice
Approval 1
SEC Order 1
SEC Order 2
SEC Order 3
SEC Order 4
Approval 2
A proposed rule change that would adopt new BX Rule 4780 to establish a Retail Price Improvement ("RPI") Program to attract additional retail order flow to the Exchange while also providing the potential for price improvement to such order flow. Approved Yes 11/19/2014 10/29/2014
SR-BX-2014-047
Notice & Approval
A proposed rule change to amend fees assessed to clients for wireless connectivity that enables clients to receive data from BX. Approved Yes 10/31/2014 10/10/2014
SR-BX-2014-045
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-BX-2014-044
Notice & Approval
A proposal to amend Chapter IV, Section 6 (Series of Options Contracts 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 Trad Approved Yes 10/1/2014 9/10/2014
SR-BX-2014-042
Notice & Approval
A proposal to amend certain rule text related BX Options Chapter VI, Section 10, pertaining to system order executions on BX. Approved Yes 9/23/2014 9/2/2014
SR-BX-2014-041
Notice & Approval
Proposed Rule Change Relating to Common Ownership. Approved Yes 9/30/2014 9/9/2014
SR-BX-2014-039
Notice & Approval
A proposed rule change to harmonize the process by which it collects information from its equity members and Options Participants. Approved Yes 9/30/2014 9/9/2014
SR-BX-2014-038
Resubmission
Notice & Approval
Short Term Options Series Approved Yes 8/26/2014 8/5/2014
SR-BX-2014-037
Notice & Approval
A proposal to disclose publicly the sources of data, whether from the network processors or from direct data feeds, that BX 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-BX-2014-036
Notice & Approval
A proposal to amend BX Options Chapter XV, Section 2 entitled "BX Options Market - Fees and Rebates" to amend fees and rebates for various options. Approved Yes 8/6/2014 7/16/2014
SR-BX-2014-035
Notice
Approval
A proposal to: (1) amend BX Market Maker quoting obligations; (2) adopt new BX Rules at Chapter VII, Section 13 and 14 to allow qualified Options Participants to act as a Lead Market Maker, or LMM, in one or more options classes; (3) revise priority rules Approved Yes 7/29/2014 7/8/2014
SR-BX-2014-033
Notice & Approval
A proposal to correct rule text related to an options rule at Chapter III, Section 9, pertaining to Exercise Limits. Approved Yes 7/14/2014 6/23/2014
SR-BX-2014-031
Resubmission
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a) with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 7/10/2014 6/19/2014
SR-BX-2014-029
Notice & Approval
A proposal to amend Chapter XV (Options Pricing) 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. Approved Yes 7/7/2014 6/16/2014
SR-BX-2014-027
Notice & Approval
A proposal to amend Chapter VI, Section 5 (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 t Approved Yes 6/20/2014 5/30/2014
SR-BX-2014-026
Notice & Approval
A proposal to amend the fees for routing orders to away markets. Operative on June 2, 2014. Approved Yes 6/20/2014 5/30/2014
SR-BX-2014-025
Notice & Approval
A proposal to extend until July 12, 2015 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 ("SPY Pilot Program"). Approved Yes 6/5/2014 5/15/2014
SR-BX-2014-024
Notice & Approval
A proposed rule change to consolidate responsibilities of certain committees of the Board of Directors and to make related changes to the Exchange By-Laws and Rules. Approved Yes 6/6/2014 5/16/2014
SR-BX-2014-023
Notice & Approval
A proposed rule change to amend Chapter IV (Securities Traded on BX Options), Supplementary Material .04© to Section 6 (Series of Options Contracts Open for Trading) of the BX Options Market in order to modify the Quarterly Options Series ("QOS") Program Approved Yes 5/28/2014 5/7/2014
SR-BX-2014-022
Notice & Approval
A proposal to amend rule text related to Acceptable Trade Range in Chapter VI, Section 10 of the BX Options rules. Approved Yes 5/27/2014 5/5/2014
SR-BX-2014-021
Notice 1
Approval
A proposal to add new paragraphs h and i to Rule 11890, entitled "Clearly Erroneous Transactions". Approved Yes 5/27/2014 5/6/2014
SR-BX-2014-020
Resubmission
Notice & Approval
A proposal to change the reference to "GOOG" to "GOOGL." Approved Yes 6/2/2014 5/12/2014
SR-BX-2014-019
Notice & Approval
A proposal to amend BX's Rules to include provisions to permit the trading of options overlying Phlx proprietary indexes on BX and Phlx U.S. Dollar-Settled Foreign Currencies. Approved Yes 5/16/2014 4/25/2014
SR-BX-2014-018
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a) with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 5/13/2014 4/22/2014
SR-BX-2014-017
Notice & Approval
A proposal to extend until February 20, 2015, the pilot program under Chapter V, Section 3(d)(iv), which provides for how the Exchange treats obvious and catastrophic options errors in response to the Limit Up-Limit Down Plan. Approved Yes 5/5/2014 4/14/2014
SR-BX-2014-015
Notice & Approval
A proposed rule change to modify the extranet access fee ("Extranet Access Fee") set forth in BX Rule 7025. BX will implement the proposed revised fee on April 1, 2014. Approved Yes 4/28/2014 4/7/2014
SR-BX-2014-014
Notice & Approval
A proposal to extend the pilot period of amendments to Rule 11890, governing clearly erroneous executions. Approved Yes 4/18/2014 3/28/2014
SR-BX-2014-012
Resubmission 1
Resubmission 2
Notice & Approval
A proposal to amend routing fees. The Exchange has designated that the amendments be operative on March 3, 2014. Approved Yes 4/8/2014 3/18/2014
SR-BX-2014-011
Notice & Approval
A proposed rule change to modify BX's optional anti-internalization functionality. Approved Yes 3/12/2014 2/19/2014
SR-BX-2014-010
Notice & Approval
A proposed rule change to add a risk management tool commonly known as a "Kill Switch" as set forth in proposed BX Rule 4764. Approved Yes 3/17/2014 2/24/2014
SR-BX-2014-009
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a) with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 3/12/2014 2/19/2014
SR-BX-2014-008
Notice & Approval
A proposed rule change to not charge the extranet access fee ("Extranet Access Fee") set forth in BX Rule 7025. Approved Yes 3/6/2014 2/13/2014
SR-BX-2014-006
Notice & Approval
A proposed rule change to clarify the language describing a newly adopted credit tier under Rule 7018. Approved Yes 2/27/2014 2/6/2014
SR-BX-2014-005
Resubmission 1
Resubmission 2
Notice & Approval
A proposed rule change to establish fees for new optional means for clients to receive BX TotalView ITCH market data. Specifically, BX proposes to offer remote Multi-cast ITCH Wave Ports for clients co-located at third party data centers, through which B Approved Yes 3/26/2014 3/5/2014
SR-BX-2014-004
Notice & Approval
A proposal to permit the Exchange to receive inbound orders in options routed through Nasdaq Execution Services, LLC from affiliated exchanges. Approved Yes 2/24/2014 2/3/2014
SR-BX-2014-003
Notice & Approval
A proposal to use Nasdaq Execution Services, LLC as opposed to Nasdaq Options Services LLC for outbound order routing from the BX Options market. Approved Yes 2/24/2014 2/3/2014
rulebook-rulefilings-bx-2013
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2013-065
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a) with respect to transactions in securities priced at $1 per share or more. Approved Yes 2/6/2014 1/16/2014
SR-BX-2013-064
Notice & Approval
A proposed rule change to modify the definition of "System Securities" set forth in BX Rule 4751(b). Approved Yes 1/17/2014 12/27/2013
SR-BX-2013-063
Notice & Approval
A proposed rule change to modify the extranet access fee ("Extranet Access Fee") set forth in BX Rule 7025, as well as to clarify its applicability. Approved Yes 1/27/2014 1/6/2014
SR-BX-2013-061
Notice & Approval
A proposal to amend Chapter VI, Section 5 (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 P Approved Yes 1/13/2014 12/23/2013
SR-BX-2013-060
Notice & Approval
A proposal to amend the Routing Fees in Section 2(4) of Chapter XV 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-BX-2013-059
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a) with respect to transactions in securities priced at $1 per share or more. Approved Yes 1/8/2014 12/18/2013
SR-BX-2013-058
Notice & Approval
A proposed rule change to establish fees under Rule 7030(d) for use of the Carteret Testing Facility Test Environment. Approved Yes 1/7/2014 12/17/2013
SR-BX-2013-057
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-BX-2013-055
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-BX-2013-054
Notice & Approval
A proposed rule change to amend the fee schedule under Exchange Rule 7018(a) with respect to transactions in securities priced at $1 per share or greater. Approved Yes 11/12/2013 10/22/2013
SR-BX-2013-053
Notice & Approval
Proposal to extend a pilot program related to Rule 11890, entitled Clearly Erroneous Transactions, and to remove certain references to individual stock trading pauses contained in Rule 11890(a)(2)(C)(4). Approved Yes 10/24/2013 10/3/2013
SR-BX-2013-052
Notice & Approval
A proposal to amend the BX Options Market Maker Rebate to Add Liquidity and the Fee to Add Liquidity in certain Penny Pilot Options. The Exchange has designated these changes to be operative on October 1, 2013. Approved Yes 10/24/2013 10/3/2013
SR-BX-2013-051
Notice & Approval
A proposed rule change to amend fees assessed for connectivity to the Exchange under Rule 7015. The Exchange is also amending the fees assessed and credits paid under Exchange Rule 7018(a). Approved Yes 10/3/2013 9/12/2013
SR-BX-2013-050
Notice & Approval
A proposal 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 text. Approved Yes 9/20/2013 8/30/2013
SR-BX-2013-049
Resubmission
Notice & Approval
A proposal to amend Rule 1120 as described below, and to adopt a corresponding fee. Approved Yes 10/1/2013 9/10/2013
SR-BX-2013-048
Notice & Approval
A proposal to establish connectivity and installation fees for a 10Gb Ultra low latency fiber connection option, and provide a waiver of installation fees for subscriptions through August 31, 2013. Approved Yes 9/6/2013 8/16/2013
SR-BX-2013-047
Notice
Approval
A proposal to assume operational responsibility for certain surveillance activity currently performed by the Financial Industry Regulatory Authority under the Exchange's authority and supervision. Approved Yes 9/6/2013 8/16/2013
SR-BX-2013-046
Resubmission
Notice & Approval
A proposal to amend BX Options Rules, Chapter XV, Section 2 entitled "BX Options Market - Fees and Rebates" to add iPath S&P 500 VIX Short Term Futures ("VXX") to the list of options underlying certain penny pilot options. The Exchange has designated thes Approved Yes 8/29/2013 8/8/2013
SR-BX-2013-045
Notice & Approval
A proposal to amend Chapter IV, Section 6 (Series of Options Contracts 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, optio Approved Yes 8/30/2013 8/9/2013
SR-BX-2013-044
Notice & Approval
Proposed changes to its Excess Order Fee under Rule 7018(d). Approved Yes 8/30/2013 8/9/2013
SR-BX-2013-043
Notice & Approval
A proposed rule change to modify BX's rule governing modification of orders in the event of an issuer corporate action related to a dividend, payment or distribution. Approved Yes 8/30/2013 8/9/2013
SR-BX-2013-042
Notice & Approval
A proposal to amend Chapter V, Section 6, Obvious Errors to permit the nullification of trades involving catastrophic errors in certain situations. Approved Yes 8/26/2013 8/5/2013
SR-BX-2013-041
Notice & Approval
A proposed rule change to amend Rule 4120 to adopt a modification in the process for initiating trading of a security that is the subject of a trading halt or pause on BX. Approved Yes 7/18/2013 6/27/2013
SR-BX-2013-040
Notice & Approval
A proposed rule change to amend Section 4 of Chapter XV of the BX Options Rules setting forth the fees for options market data known as BX Top of Market Options ("BX Top") and BX Depth of Market Options ("BX Depth"). Approved Yes 7/18/2013 6/27/2013
SR-BX-2013-039
Notice & Approval
A proposal to amend Chapter VI, Section 5 (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 t Approved Yes 7/15/2013 6/24/2013
SR-BX-2013-038
Notice & Approval
A proposed change to its schedule of fees and rebates for execution of orders for securities priced at $1 or more under Rule 7018 Approved Yes 7/10/2013 6/19/2013
SR-BX-2013-037
Notice & Approval
Proposal to amend fees and rebates for various options. BX proposes to add Bank of America Corporation ("BAC") to the list of options overlying certain penny pilot options (the others include IWM, QQQ and SPY, collectively with BAC, the "Specified Penny Approved Yes 6/27/2013 6/6/2013
SR-BX-2013-036
Notice
Approval
A proposed rule change for the permanent approval of the Exchange's pilot program to permit the BX Options to accept inbound options orders routed by Nasdaq Options Services LLC from PHLX and NOM. Approved Yes 6/11/2013 5/21/2013
SR-BX-2013-035
Notice & Approval
A proposal to correct BX Rule 2140(c) to reference NASDAQ Options Services LLC ("NOS"). Approved Yes 6/5/2013 5/15/2013
SR-BX-2013-034
Notice & Approval
Proposed changes to its schedule of fees and rebates for execution of orders for securities priced at $1 or more under Rule 7018. Approved Yes 5/31/2013 5/10/2013
SR-BX-2013-033
Notice & Approval
A proposed rule change to amend BX Rule 4756 and Rule 4763 to stipulate how Participants in the NASDAQ OMX BX Equities Market may modify previously entered orders and to describe how modified orders are processed. Approved Yes 5/31/2013 5/10/2013
SR-BX-2013-031
Notice & Approval
A proposed rule change to adopt a rule governing cancellation of orders in the event of an issuer corporate action related to a dividend, payment or distribution, and to make related clarifications to rule text. Approved Yes 5/22/2013 5/1/2013
SR-BX-2013-030
Notice & Approval
A proposal to amend various fees for routing options to away markets. The Exchange has designated the proposed amendments to be operative on May 1, 2013. Approved Yes 5/16/2013 4/25/2013
SR-BX-2013-029
Notice
Approval
A proposal to amend By-Law Article IV, Section 4.3 to amend the calculation of Non-Industry Directors in the Exchange's By-Laws with respect to Qualification of Board Members. Approved Yes 4/29/2013 4/8/2013
SR-BX-2013-028
Notice & Approval
A proposed rule change to modify Chapter IV (Securities Traded on BX Options), Supplementary Material .08 to Section 6 (Series of Options Contracts Open for Trading), and Chapter VI (Trading Systems), Section 5 (Minimum Increments) to permit the minimum p Approved Yes 4/16/2013 3/26/2013
SR-BX-2013-026
Notice
Approval
PILOT: Options Errors in Limit Up Limit Down. A proposal to amend Chapter V, Regulation of Trading on BX Options, to adopt subparagraph (d)(iv) to provide for how BX proposes to treat options errors in response to the Regulation NMS Plan to Address Extra Approved Yes 4/10/2013 3/20/2013
SR-BX-2013-025
Notice & Approval
A proposal to amend Exchange Rule 4120 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-BX-2013-024
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 4/15/2013 3/25/2013
SR-BX-2013-023
Resubmission
Notice & Approval
A proposal to amend various fees for routing options to away markets. The Exchange has designated the proposed amendments to be operative on April 1, 2013. Approved Yes 4/23/2013 4/2/2013
SR-BX-2013-022
Notice
Approval
PILOT: Options Market-Making Quoting Obligations in LULD. A proposed rule change for to adopt new Chapter V, Section 3(d)(iii) to provide for how the Exchange proposes to treat options market-making quoting obligations, in response to the Regulation NMS Approved Yes 4/4/2013 3/14/2013
SR-BX-2013-021
Notice & Approval
PILOT: Limit Up Limit Down In Options Pilot. A proposal to provide for how BX will treat options orders in response to the Regulation NMS Plan to Address Extraordinary Market Volatility, and to codify that BX shall halt trading in all options overlying NM Approved Yes 4/8/2013 3/18/2013
SR-BX-2013-020
Notice & Approval
A proposal to amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors, to replace the current mid-point test applied to the definition of Theoretical Price. Approved Yes 4/4/2013 3/14/2013
SR-BX-2013-019
Resubmission
Notice & Approval
A proposal to amend the fee schedule governing order routing to establish fees for routing orders using its two new order routing strategies, BDRK and BCST. Approved Yes 4/3/2013 3/13/2013
SR-BX-2013-018
Notice & Approval
A proposed rule change to add new BX Rule 7026 (Distribution Models) to establish a program for Managed Data Solutions ("MDS"). Approved Yes 4/2/2013 3/12/2013
SR-BX-2013-017
Notice & Approval
A proposal to amend its Routing Fees at Chapter XV, Section 2(4) of the Exchange Rules in order to recoup costs applicable to the C2 Options Exchange, Inc. ("C2") that the Exchange incurs for routing and executing orders in equity options. Approved Yes 3/25/2013 3/4/2013
SR-BX-2013-016
Notice
Amendment 1
Extension
OIP
SEC Extension
Disapproval
A proposal for the BX Options Market to adopt a Directed Order process. Disapproved Yes 4/1/2013 3/11/2013
SR-BX-2013-014
Notice & Approval
A proposal to add certain references to Chapter XV in order to provide greater clarity to the terms used throughout this Chapter for the purpose of assessing fees and paying rebates. Approved Yes 3/19/2013 2/26/2013
SR-BX-2013-013
Notice
Approval
A proposed rule change for the permanent approval of the Exchange's pilot program to permit the BX Equities Market ("System") to accept inbound orders routed by Nasdaq Execution Services LLC ("NES") from the NASDAQ OMX PSX facility of NASDAQ OMX PHLX LLC Approved Yes 3/7/2013 2/14/2013
SR-BX-2013-012
Notice & Approval
A proposal to extend the trading pause pilot in certain individual NMS stocks. Approved Yes 3/13/2013 2/20/2013
SR-BX-2013-011
Notice & Approval
A proposed rule change to modify BX's fee schedule governing order execution. Approved Yes 3/13/2013 2/20/2013
SR-BX-2013-010
Notice & Approval
A Proposed Rule Change Relating to extend a pilot program related to Rule 11890, entitled "Clearly Erroneous Transactions". Approved Yes 2/28/2013 2/7/2013
SR-BX-2013-009
Notice & Approval
A proposal to delay the operative date of a rule change to Rule 4121, 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. Extraor Approved Yes 3/4/2013 2/11/2013
SR-BX-2013-008
Notice & Approval
A proposed rule change to add routing functionality to the NASDAQ OMX BX Equities Market. Approved Yes 3/5/2013 2/12/2013
SR-BX-2013-006
Notice & Approval
A proposal to list and trade option contracts overlying 10 shares of a security ("Mini Options"). Approved Yes 2/20/2013 1/30/2013
SR-BX-2013-005
Notice & Approval
A proposal to amend various fees for routing options to away markets. Approved Yes 2/20/2013 1/30/2013
SR-BX-2013-003
Notice & Approval
A proposed rule change to reduce the fees assessed under BX Rule 7034 for certain co-location services. Approved Yes 2/7/2013 1/17/2013
SR-BX-2013-002
Notice & Approval
A proposal to amend Chapter XV, Section 2 entitled "BX Options Market - Fees and Rebates" to amend various fees for routing options to away markets. Approved Yes 2/5/2013 1/15/2013
rulebook-rulefilings-bx-2012
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-BX-2012-076
Notice & Approval
A proposal to: extend through June 30, 2013, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"), and provide a procedure for replacement of any Penny Pilot issues that have been delisted. Approved Yes 1/22/2013 12/31/2012
SR-BX-2012-075
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-BX-2012-074
Notice & Approval
A proposal to amend Chapter XV, Section 2 entitled "BX Options Market - Fees and Rebates" to adopt fees and rebates for Non-Penny Pilot Options. While the changes proposed herein are effective upon filing, the Exchange has designated these changes to be o Approved Yes 1/29/2013 1/8/2013
SR-BX-2012-073
Notice & Approval
A proposed rule change with respect to the authority of the Exchange or Nasdaq Options Services LLC ("NOS") 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-BX-2012-072
Amendment 1
Notice & Approval
A proposed rule change to amend Rule 4618. Approved Yes 12/18/2012 11/27/2012
SR-BX-2012-071
Notice & Approval
A proposal to amend Chapter XV, Section 2 entitled "BX Options Market - Fees and Rebates" to amend a Customer fee for routing options to the International Securities Exchange, LLC ("ISE"). The Exchange has designated the proposed amendment to be operativ Approved Yes 12/7/2012 11/16/2012
SR-BX-2012-070
Notice & Approval
A proposed rule change to modify fees assessed under Rule 7003(a) relating to the Central Registration Depository, which are collected by FINRA. Approved Yes 12/6/2012 11/15/2012
SR-BX-2012-069
Notice & Approval
A proposed rule change to eliminate market maker pre-opening obligations on BX Options. Approved Yes 11/23/2012 11/2/2012
SR-BX-2012-068
Notice & Approval
A proposed rule change to assess a monthly subscription fee for the Qview service. Approved Yes 11/13/2012 10/22/2012
SR-BX-2012-067
Notice & Approval
A proposed rule change to modify BX's fee schedule governing order execution and routing. Approved Yes 11/8/2012 10/18/2012
SR-BX-2012-066
Notice & Approval
Six month extension of pilot program (expiring September 30) to receive inbound equities orders from PSX through NES. Approved Yes 11/2/2012 10/12/2012
SR-BX-2012-065
Resubmission
Notice & Approval
A proposal for the BX Options Market ("BX Options") to add an additional execution algorithm and priority overlays to govern the priority of orders. Approved Yes 11/7/2012 10/17/2012
SR-BX-2012-064
Notice & Approval
A proposal to amend Rule 4758(a)(1)(A) to reflect a change in BX's routing functionality. Approved Yes 11/2/2012 10/12/2012
SR-BX-2012-063
Notice
SEC Extension
Amendment 1
Approval
A proposed rule change to modify the listing rules for compensation committees to comply with Rule 10C-1 under the Exchange Act and make other related changes. Approved Yes 11/5/2012 10/15/2012
SR-BX-2012-062
Resubmission
Notice & Approval
A proposal to offer members the ability to pay a regulatory fine pursuant to an installment plan, under certain conditions. Approved Yes 10/30/2012 10/9/2012
SR-BX-2012-061
Notice & Approval
A proposed rule change to offer the Qview service. Approved Yes 10/26/2012 10/5/2012
SR-BX-2012-060
Notice & Approval
A Proposal to amend Chapter XV, Section 2 entitled "BX Options Market - Fees and Rebates" to amend rebates and fees relating to various options and make technical corrections to this section. Approved Yes 10/5/2012 9/14/2012
SR-BX-2012-058
Notice & Approval
A proposed rule change to modify BX's fee schedule governing order routing. Approved Yes 8/31/2012 8/10/2012
SR-BX-2012-057
Notice & Approval
A proposal for the BX Options Market ("BX Options") to add an additional feature to the Post-Only Order type. Approved Yes 8/23/2012 8/2/2012
SR-BX-2012-056
Notice & Approval
A proposal to extend the pilot period of amendments to Rule 11890, governing clearly erroneous executions, so that the pilot will now expire on February 4, 2013. Approved Yes 8/29/2012 8/8/2012
SR-BX-2012-055
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 8/29/2012 8/8/2012
SR-BX-2012-054
Notice & Approval
A proposed rule change to terminate a revenue sharing program with Correlix, Inc., and delete the associated fees set forth in NASDAQ OMX BX Rule 7034e. Approved Yes 8/22/2012 8/1/2012
SR-BX-2012-053
Resubmission
Notice & Approval
A proposed rule change to delay the implementation date of a change to Rule 4751(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-BX-2012-052
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-BX-2012-051
Notice & Approval
A proposal to amend a customer fee for routing options to NOM. Approved Yes 8/16/2012 7/26/2012
SR-BX-2012-050
Notice & Approval
A proposed rule change to modify how the processing of a Price to Comply Order under Rule 4751(f)(7) 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 su Approved Yes 8/7/2012 7/17/2012
SR-BX-2012-049
Notice & Approval
A proposal to establish two new services for BX Options Participants, TradeInfo BX for Options and BX Options Maintenance Tool, and related fees. REPLACED SR-BX-2012-048 (FILED & IMMEDIATELY WITHDRAWN). Approved Yes 8/1/2012 7/11/2012
SR-BX-2012-046
Notice & Approval
A proposal to extend through December 31, 2012, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"). Approved Yes 7/31/2012 7/10/2012
SR-BX-2012-044
Notice & Approval
A proposed rule change to modify BX's fee schedule governing order routing. Approved Yes 8/6/2012 7/16/2012
SR-BX-2012-043
Notice & Approval
A proposal to amend Chapter XV, Section 2 entitled "BX Options Market - Fees and Rebates" to adopt rebates and fees relating to various options, including during the Opening Cross, and establish Routing Fees. Approved Yes 7/31/2012 7/10/2012
SR-BX-2012-042
Notice & Approval
A proposed rule change to modify its Excess Order Fee. Approved Yes 7/24/2012 7/3/2012
SR-BX-2012-040
Notice & Approval
The Exchange proposes to make administrative changes and correct inadvertent typographical errors to the Exhibit 5 to SR-BX-2012- 036 ("2012-036 Exhibit 5") so that the text properly reflects the changes as intended in the purpose section of SR-BX-2012-0 Approved Yes 7/17/2012 6/26/2012
SR-BX-2012-039
Notice & Approval
Dissolve the BOX Committee of the Board of Directors. Approved Yes 6/29/2012 6/8/2012
SR-BX-2012-038
Notice & Approval
A proposed rule change to delay the implementation date for its Excess Order Fee. Approved Yes 6/29/2012 6/8/2012
SR-BX-2012-037
Notice & Approval
A proposal to waive certain application, membership and data fees for BX members seeking to participate solely in the new BX Options Market. Approved Yes 6/26/2012 6/5/2012
SR-BX-2012-036
Notice & Approval
A proposal to amend the Grandfathered Rules, BOX Trading Rules, BOXR By-laws and Operating Agreement and the BX By-laws and Rules. Approved Yes 6/13/2012 5/23/2012
SR-BX-2012-035
Notice & Approval
A proposal to remove the Fee Schedule of the Boston Options Exchange Group, LLC as was in effect while BOX was a facility of Exchange. Approved Yes 6/13/2012 5/23/2012
SR-BX-2012-034
Notice
Approval
A proposed rule change with respect to the authority of the Exchange or NASDAQ Execution Services ("NES") to cancel orders when a technical or system issue occurs and to describe the operation of an error account for NES. Approved Yes 6/13/2012 5/23/2012
SR-BX-2012-033
Notice & Approval
A proposed rule change to institute an Excess Order Fee. Approved Yes 6/13/2012 5/23/2012
SR-BX-2012-032
Notice & Approval
A proposed rule change to clarify how the processing of a Price to Comply Order under Rule 4751(f)(7) operates based on the method of entry. Approved Yes 6/15/2012 5/25/2012
SR-BX-2012-031
Resubmission 1
Resubmission 2
Notice & Approval
A proposed rule change to eliminate the fees under Rule 7003(b) and replace them with a new Equities Regulatory Fee. Approved Yes 6/20/2012 5/30/2012
SR-BX-2012-030
Amendment 1
Notice
Amendment 2
Approval
A proposal for a new options market. Specifically, BX proposes to adopt new trading rules, as explained further below, to operate a fully automated, price/time priority execution system built on the core functionality of the NASDAQ Options Market ("NOM"). Approved Yes 6/8/2012 5/18/2012
SR-BX-2012-029
Notice & Approval
A proposed rule change to modify the Exchange's co-location super high-density cabinet monthly fee. BX will implement the proposed change on May 1, 2012. Approved Yes 6/4/2012 5/14/2012
SR-BX-2012-028
Notice & Approval
A proposed rule change to modify pricing for BX members using the NASDAQ OMX BX Equities System Approved Yes 5/25/2012 5/4/2012
SR-BX-2012-025
Notice & Approval
Proposal to amend Chapter V, Sec 16 of the BOX Trading Rules to address how BOX processes inbound orders when the BOX price on the same side of the market locks, or is locked by the opposite side national best bid or offer. Approved Yes 5/9/2012 4/18/2012
SR-BX-2012-024
Notice & Approval
A proposal to amend the BOX Trading Rules regarding the Short Term Option Series Program. Approved Yes 4/26/2012 4/5/2012
SR-BX-2012-023
Resubmission
Notice & Approval
A proposal to amend the BOX Fee Schedule to reflect changes to fingerprint processing fees that are imposed on BOX Participants by FINRA in connection with participation in FINRA's Web CRD registration system. Approved Yes 4/30/2012 4/9/2012
SR-BX-2012-022
Notice & Approval
A proposed rule change to amend Rule 4751(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-BX-2012-021
Resubmission
Notice & Approval
A proposed rule change to modify pricing for BX members using the NASDAQ OMX BX Equities System. Approved Yes 4/30/2012 4/9/2012
SR-BX-2012-019
Notice & Approval
A proposal to implement a change to the BOX routing fees. Approved Yes 4/12/2012 3/22/2012
SR-BX-2012-018
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 Exchange Rule 7034(b). Approved Yes 4/10/2012 3/20/2012
SR-BX-2012-017
Notice & Approval
A proposal to amend BOX Trading Rules to identify the proprietary data feed of BOX market information that BOX makes available to its Options Participants at no charge. Approved Yes 4/3/2012 3/13/2012
SR-BX-2012-016
Notice & Approval
BX is proposing to modify its fees for orders that are routed using BX's BTFY order routing strategy. Approved Yes 4/3/2012 3/13/2012
SR-BX-2012-014
Notice & Approval
A proposal to amend the Sixth Amended and Restated Operating Agreement of BOX. Approved Yes 3/28/2012 3/7/2012
SR-BX-2012-012
Resubmission 1
Resubmission 2
Notice & Approval
A proposed rule change to modify Exchange connectivity options and fees. Approved Yes 4/4/2012 3/14/2012
SR-BX-2012-011
Resubmission
Notice & Approval
Proposal to amend Chapter V, Section 26 (Limitation of Liability) of the Trading Rules of the Boston Options Exchange Group, LLC. Approved Yes 3/30/2012 3/9/2012
SR-BX-2012-010
Resubmission 1
Resubmission 2
Notice & Approval
Co-Location Reduced Connectivity Fee Approved Yes 3/20/2012 2/28/2012
SR-BX-2012-009
Resubmission
Notice & Approval
A proposed rule change to BX Rule 7021 to make available at no cost and on a voluntary basis certain market data about market participants' own trading on BX. Approved Yes 3/16/2012 2/24/2012
SR-BX-2012-008
Notice & Approval
A proposed rule change to amend Exchange Rule 3020 to reflect recent changes to a corresponding rule of the Financial Industry Regulatory Authority. Approved Yes 3/6/2012 2/14/2012
SR-BX-2012-007
Notice & Approval
A proposal to amend the BOX Trading Rules to permit Customer Cross Orders. Approved Yes 3/6/2012 2/14/2012
SR-BX-2012-006
Notice & Approval
A proposal to amend Chapter V, Section 20 (Obvious and Catastrophic Errors) of the BOX Trading Rules to amend the definition of theoretical price. Approved Yes 2/23/2012 2/2/2012
SR-BX-2012-005
Notice & Approval
A proposal to amend the BOX Trading Rules to expand the Short Term Option Series Program. Approved Yes 2/21/2012 1/31/2012
SR-BX-2012-004
Notice & Approval
A proposal to extend the pilot period of amendments to BX Rule 11890, governing clearly erroneous executions, so that the pilot will now expire on July 31, 2012. Approved Yes 2/21/2012 1/30/2012
SR-BX-2012-003
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 July 31, 2012. Approved Yes 2/17/2012 1/27/2012
SR-BX-2012-001
Notice & Approval
Proposal to amend Chapter XIV (Index Rules) of the BOX Trading Rules remove references to the Russell® 2000 Index (RUT). Approved Yes 2/2/2012 1/12/2012
 
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