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Rule Filings
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- BX 2024
- 2023
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- 2017
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- 2012
rulebook-rulefilings-bx-2024rulebook-rulefilings-bx-2024| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-BX-2024-012
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 2(1). | Approved | Yes | 5/2/2024 | 4/11/2024 | SR-BX-2024-011
Notice & Approval
| A proposal to adopt a new protocol, "Ouch to Trade Options" or "OTTO" and establish pricing for this new protocol. | Approved | Yes | 4/18/2024 | 3/28/2024 | SR-BX-2024-010
Notice & Approval
| A proposal to amend the Exchange's Cabinet Proximity Option Fee at General 8, Section 1. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-BX-2024-008
Notice & Approval
| A proposal to amend the Exchange's fees for connectivity and co-location services. | Approved | Yes | 4/11/2024 | 3/21/2024 | SR-BX-2024-007
Notice & Approval
| A proposal to expand the Exchange's Cabinet Proximity Option program. | Approved | Yes | 3/27/2024 | 3/6/2024 | SR-BX-2024-004
Notice & Approval
| A proposal to amend the Exchange's pricing schedule at Equity 7, Section 118(a). | Approved | Yes | 3/13/2024 | 2/21/2024 | SR-BX-2024-003
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7, Section 2. | Approved | Yes | 2/21/2024 | 1/31/2024 | SR-BX-2024-002
Suspension
| A proposal to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022. | Suspended | No | | | SR-BX-2024-001
Notice & Approval
| A proposal to amend transaction fees at Equity 7, Section 118(b). | Approved | Yes | 2/8/2024 | 1/18/2024 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-BX-2023-034
Notice & Approval
| A proposal to amend the Exchange's schedule of fees at Equity 7, Section 118. | Approved | Yes | 1/30/2024 | 1/9/2024 | SR-BX-2023-033
Notice & Approval
| A proposal to amend the BXs GPS antenna fees at General 8, Section 1 | Approved | Yes | 1/4/2024 | 12/14/2023 | SR-BX-2023-032
Notice & Approval
| A proposal to amend Options 4A (Options Index Rules) to adopt Monthly Options Series. | Approved | Yes | 1/3/2024 | 12/13/2023 | SR-BX-2023-031
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7, Section 2. | Approved | Yes | 12/19/2023 | 11/28/2023 | SR-BX-2023-028
Notice & Approval
| A proposal to amend rules 11140 (Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants"), 11150 (Transactions "Ex-Interest" in Bonds Which Are Dealt in "Flat"), 11210 (Sent by Each Party), 11320 (Dates of Delivery), and 11620 (Computation of Interest), to conform to Rule 15c6-1(a) to shorten the standard settlement cycle from two business days ("T+2") to one business day ("T+1"). | Approved | Yes | 12/12/2023 | 11/21/2023 | SR-BX-2023-026
Notice & Approval
| A proposal to establish Purge Ports for equities trading. | Approved | Yes | 11/14/2023 | 10/24/2023 | SR-BX-2023-024
Notice & Approval
| A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(e). | Approved | Yes | 11/8/2023 | 10/18/2023 | SR-BX-2023-023
Notice & Approval
| A proposal to amend Equity 4, Rules 4702 and 4703. | Approved | Yes | 10/10/2023 | 9/19/2023 | SR-BX-2023-022
Notice & Approval
| A proposal to amend the Exchanges transaction fees at Equity 7, Section 118(e). | Approved | Yes | 10/10/2023 | 9/19/2023 | SR-BX-2023-021
Notice & Approval
| A proposal to amend Options 3, Section 13, Price Improvement Auction ("PRISM"). | Approved | Yes | 10/4/2023 | 9/13/2023 | SR-BX-2023-020
Notice & Approval
| A proposal to set fees for the purchase of field-programmable gate array ("FPGA") technology as an optional delivery mechanism for BX TotalView. | Approved | Yes | 9/13/2023 | 8/23/2023 | SR-BX-2023-019
Resubmission
Notice & Approval
| A proposal to amend Options 3, Section 15 (Risk Protections) to adopt an active quote protection. | Approved | Yes | 9/15/2023 | 8/25/2023 | SR-BX-2023-018
Notice & Approval
| A proposal to amend the Exchange's schedule of fees and credits at Equity 7, Section 118(e). | Approved | Yes | 9/8/2023 | 8/18/2023 | SR-BX-2023-017
Notice & Approval
| A proposed rule change regarding a stockholders' agreement by and among the Exchange's parent corporation, Nasdaq, Inc., Adenza Parent, LP, a Delaware limited partnership, and the other parties thereto. | Approved | Yes | 9/5/2023 | 8/14/2023 | SR-BX-2023-015
Notice & Approval
| A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(e). | Approved | Yes | 7/5/2023 | 6/14/2023 | SR-BX-2023-013
Notice & Approval
| A proposal to amend Options 3, Options Trading Rules, at: Section 4 Entry and Display of Quotes; Section 5, Entry and Display of Orders; Section 7, Types of Orders and Quote Protocols; Section 8, Options Opening Process; Section 11, Auction Mechanisms; Section 13, Price Improvement Auction ("PRISM"); Section 15, Risk Protections; and Options 3, Section 18, Detection of Loss of Communication. The Exchange also proposes to amend Options 5, Section 4, Order Routing. | Approved | Yes | 6/26/2023 | 6/5/2023 | SR-BX-2023-012
Notice & Approval
| A proposal to offer field-programmable gate array technology as an optional delivery mechanism for BX TotalView. | Approved | Yes | 6/16/2023 | 5/26/2023 | SR-BX-2023-010
Notice & Approval
| A proposal to amend Equity 7, Section 118(a) to exclude certain days for purposes of calculating Consolidated Volume and trading activity. | Approved | Yes | 6/5/2023 | 5/15/2023 | SR-BX-2023-009
Notice & Approval
| A proposal to amend its Pricing Schedule at BX Options 7, Section 2 to increase the taker fee for customer orders in SPY. | Approved | Yes | 6/6/2023 | 5/16/2023 | SR-BX-2023-008
Notice & Approval
| A proposal to (i) adjust or eliminate several of the Exchange's transaction credits, at Equity 7, Section 118(a); and (ii) eliminate several of the Exchange's transaction fees, at Equity 7, Section 118(a). | Approved | Yes | 5/9/2023 | 4/18/2023 | SR-BX-2023-007
Notice & Approval
| A proposal to modify Equity 4, Rule 4120 to establish common criteria and procedures for halting and resuming trading in equity securities in the event of regulatory or operational issues, reorganize the text of the rule, and make conforming changes to related rules. | Approved | Yes | 4/14/2023 | 3/24/2023 | SR-BX-2023-006
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7, Section 2. | Approved | Yes | 4/6/2023 | 3/16/2023 | SR-BX-2023-005
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7, Section 2. | Approved | Yes | 3/22/2023 | 3/1/2023 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-BX-2022-025
Notice & Approval
| A proposal to address an erroneous reference in Equity 4, Rule 4780(e). | Approved | Yes | 1/9/2023 | 12/19/2022 | SR-BX-2022-024
Notice & Approval
| A proposal to amend certain rule text within General 2, Organization and Administration; Equity 2. Market Participants; Options 1, General Provisions; Options 4A, Options Index Rules; and Options 10, Doing Business with the Public. | Approved | Yes | 12/28/2022 | 12/7/2022 | SR-BX-2022-023
Notice & Approval
| A proposal to amend BX's Pricing Schedule at Equity 7, Section 30, Regulatory, Registration and Processing Fees, to reflect adjustments to FINRA Registration Fees and Fingerprinting Fees. | Approved | Yes | 12/23/2022 | 12/2/2022 | SR-BX-2022-022
Notice & Approval
| A proposal to amend Rule BX Equity 6, Section 5 (Exchange Sharing of Participant Risk Settings) to provide Participants with additional optional settings. | Approved | Yes | 12/13/2022 | 11/22/2022 | SR-BX-2022-021
Notice & Approval
| A proposal to temporarily waive certain port-related fees at Equity 7, Section 115 and Equity 7, Section 130 | Approved | Yes | 11/29/2022 | 11/8/2022 | SR-BX-2022-020
Notice & Approval
| A proposal to amend Equity 4, Rule 4757 to enhance the anti-internalization
functionality available on the Exchange by giving market participants the flexibility to choose to have this protection apply to market participants under Common Ownership. | Approved | Yes | 11/21/2022 | 10/31/2022 | SR-BX-2022-019
Notice & Approval
| A proposal to amend the Exchange's transaction fees and credits at Equity 7, Section 118(e). | Approved | Yes | 11/17/2022 | 10/27/2022 | SR-BX-2022-017
Notice & Approval
| A proposal to amend the clearly erroneous rules. | Approved | Yes | 10/20/2022 | 9/29/2022 | SR-BX-2022-016
Notice & Approval
| A proposal to amend the Exchange's port-related fees, at Equity 7, Section 115, and Options 7, Section 3. | Approved | Yes | 10/6/2022 | 9/15/2022 | SR-BX-2022-015
Notice & Approval
| A proposal to amend Equity 4, Rules 4120, 4702 and 4703 in light of planned changes to the System. | Approved | Yes | 10/4/2022 | 9/13/2022 | SR-BX-2022-014
Notice & Approval
| A proposal to enhance the BX Retail Price Improvement Program. | Approved | Yes | 10/3/2022 | 9/12/2022 | SR-BX-2022-011
Notice & Approval
| 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, 2022. | Approved | Yes | 8/16/2022 | 7/26/2022 | SR-BX-2022-010
Notice & Approval
| A proposal to amend the Exchange's transaction credits, at Equity 7, Section 118(e). | Approved | Yes | 8/5/2022 | 7/15/2022 | SR-BX-2022-009
Notice & Approval
| A proposal to amend the Amended and Restated Certificate of Incorporation ('Certificate') of its parent corporation, Nasdaq, Inc. ('Nasdaq' or the 'Company'), to increase Nasdaq's authorized share capital. | Approved | Yes | 6/13/2022 | 5/23/2022 | SR-BX-2022-008
Notice & Approval
| A proposal to extend the current pilot program related to BX Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the close of business on July 20, 2022. | Approved | Yes | 5/17/2022 | 4/26/2022 | SR-BX-2022-007
Notice & Approval
| A proposal to adopt on a permanent basis the pilot program for market wide circuit breakers. | Approved | Yes | 5/10/2022 | 4/19/2022 | SR-BX-2022-006
Notice & Approval
| A proposal to amend Rule 4756(a)(3), in light of planned changes to the System as well as to address existing issues, as described further below. | Approved | Yes | 5/18/2022 | 4/27/2022 | SR-BX-2022-005
Notice & Approval
| A proposal to extend the market-wide circuit breaker pilot to April 18, 2022. | Approved | Yes | 4/12/2022 | 3/22/2022 | SR-BX-2022-004
Notice & Approval
| A proposal to harmonize various processes and procedures under Options 3, Section 20 with those of its affiliated options exchanges. | Approved | Yes | 4/13/2022 | 3/23/2022 | SR-BX-2022-003
Notice & Approval
| A proposal to amend Options 3, Section 20 (Nullification and Adjustment of Options Transactions including Obvious Errors). | Approved | Yes | 2/28/2022 | 2/7/2022 | SR-BX-2022-002
Notice & Approval
| A proposal to amend BX's Pricing Schedule at Equity 7, Section 30, Regulatory, Registration and Processing Fees, to reflect adjustments to FINRA Continuing Education Fees. | Approved | Yes | 2/18/2022 | 1/28/2022 | SR-BX-2022-001
Notice & Approval
| A proposal to amend its Pricing Schedule at BX Options 7, Section 2 | Approved | Yes | 2/14/2022 | 1/24/2022 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-BX-2021-054
Notice
& Approval
|
A proposed rule change to adopt an Add Liquidity Order, as well as a Post Only Quote Configuration.
|
Approved |
Yes |
1/31/2022 |
1/10/2022 |
SR-BX-2021-053
Notice
& Approval
|
A proposal to amend BX's Pricing Schedule at Options 7, Section 1, General
Provisions. |
Approved |
Yes |
1/4/2022 |
12/14/2021 |
SR-BX-2021-052
Resubmission
Notice
& Approval
|
A proposal to amend BX's Pricing Schedule at Options 7, Section 30, Regulatory, Registration and
Processing Fees, to reflect adjustments to FINRA Registration Fees, Fingerprinting Fees, and
Continuing Education Fees. |
Approved |
Yes |
12/13/2021 |
11/22/2021 |
SR-BX-2021-051
Notice
Approval
|
A proposed rule change to amend its rules in connection with the proposed merger
of BX Equities LLC ('BX Equities') with and into the Exchange (the 'Merger'). As a result of the
Merger, BX Equities will be eliminated, and the Exchange will directly operate its equities and
options markets. |
Approved |
Yes |
11/30/2021 |
11/9/2021 |
SR-BX-2021-050
Notice
Approval
|
A proposed rule change to amend the BX Equities LLC Operating Agreement |
Approved |
Yes |
11/30/2021 |
11/9/2021 |
SR-BX-2021-049
Notice
& Approval
|
A proposal to amend the Discretion Attribute, at Rule 4703, in light of planned
changes to the System. |
Approved |
Yes |
11/26/2021 |
11/4/2021 |
SR-BX-2021-048
Notice
& Approval
|
A proposal to delay the implementation of an amendment to Options 3, Section 7(d)(1)(A) relating to
'Financial Information eXchange' or in connection with offering BX Participants the ability to
utilize FIX to submit orders to its Price Improvement Auction mechanism. |
Approved |
Yes |
11/24/2021 |
11/3/2021 |
SR-BX-2021-047
Notice
& Approval
|
A proposal to amend the Exchange transaction credits, at Equity 7, Section 118, to
establish the Enhanced Market Quality Program. |
Approved |
Yes |
11/18/2021 |
10/28/2021 |
SR-BX-2021-046
Notice
& Approval
|
A proposal to extend the pilot related to Clearly Erroneous Transactions until April 20, 2022. |
Approved |
Yes |
11/10/2021 |
10/20/2021 |
SR-BX-2021-045
Notice
& Approval
|
A proposal to extend the pilot related to the market-wide circuit breaker in
Equity 4, Rule 4121 to the close of business on March 18, 2022. |
Approved |
Yes |
11/8/2021 |
10/18/2021 |
SR-BX-2021-043
Resubmission
Notice
& Approval
|
A proposal to permit Monday and Wednesday expirations for options listed pursuant to the Short Term
Option Series Program on the iShares Russell 2000 ETF. |
Approved |
Yes |
10/29/2021 |
10/8/2021 |
SR-BX-2021-042
Notice
& Approval
|
A proposal to establish a new rule applicable to the Nasdaq BX Equities Market
(the 'Equities Market') that explicitly requires members to input accurate information into BX
systems. |
Approved |
Yes |
10/25/2021 |
10/4/2021 |
SR-BX-2021-041
Notice
& Approval
|
A proposal to Amend Options 3, Section 26, Message Traffic Mitigation. |
Approved |
Yes |
10/15/2021 |
9/24/2021 |
SR-BX-2021-040
Notice
& Approval
|
A proposal to amend BX Options 7, Section 2, 'BX Options Market- Fees and
Rebates'. |
Approved |
Yes |
10/21/2021 |
9/30/2021 |
SR-BX-2021-039
Notice
& Approval
|
A proposal to delete the Order Audit Trail System rules in the Equity 5 Series of the Exchange
rulebook that provides for the collection of information that is duplicative of the data collection
requirements of the CAT. Further, the Financial Industry Regulatory Authority has determined to
eliminate its OATS rules. |
Approved |
Yes |
10/12/2021 |
9/20/2021 |
SR-BX-2021-038
Notice
& Approval
|
A proposal to incorporate the BX Options 4 Rules by reference to Nasdaq ISE, LLC
('ISE') Options 4 Rules. |
Approved |
Yes |
10/12/2021 |
9/21/2021 |
SR-BX-2021-037
Notice
& Approval
|
A proposal to decommission the Exchange's quote removal Kill Switch functionality at Options 3,
Section 17. |
Approved |
Yes |
10/12/2021 |
9/21/2021 |
SR-BX-2021-035
Notice
& Approval
|
A proposal to amend General 9, Section 51. |
Approved |
Yes |
9/20/2021 |
8/30/2021 |
SR-BX-2021-034
Notice
& Approval
|
A proposal to amend BX Rules at Options 2, Section 4, Obligations of Market Makers and Lead Market
Makers; Options 2, Section 5, Market Maker Quotations; and Options 4A, Section 12, Terms of Index
Option Contracts. |
Approved |
Yes |
9/9/2021 |
8/19/2021 |
SR-BX-2021-032
Notice
& Approval
|
A proposal to amend BX's Rules at Options 2, Section 5, Market Maker Quotations;
Options 4, Options Listing Rules; and Options 4A, Section 12, Terms of Index Options Contracts. |
Approved |
Yes |
8/26/2021 |
8/5/2021 |
SR-BX-2021-031
Resubmission
Resubmission
2
Notice & Approval
|
A proposal to amend Options 2 at Section 4, Obligations of Market Makers and Lead Market Maker, and
Section 5, Market Maker Quotations. The Exchange also proposes a technical amendment to Options 1,
Section 1, Definitions. |
Approved |
Yes |
8/18/2021 |
7/28/2021 |
SR-BX-2021-030
Resubmission
Notice
& Approval
|
A proposal to amend Equity 4, Rule 4703 in light of planned changes to the System
|
Approved |
Yes |
8/10/2021 |
7/20/2021 |
SR-BX-2021-029
Notice
& Approval
|
A proposal to amend General 9, Section 18, Payments for Market Making |
Approved |
Yes |
7/20/2021 |
6/29/2021 |
SR-BX-2021-028
Notice
& Approval
|
A proposal to amend the Exchange's transaction fees, at Equity 7, Section 118(e)
|
Approved |
Yes |
7/19/2021 |
6/28/2021 |
SR-BX-2021-027
Resubmission
Notice
& Approval
|
A proposal to extend the implementation date for changing the primary and secondary source of
quotation data of MEMX LLC ('MEMX') 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 |
7/16/2021 |
6/25/2021 |
SR-BX-2021-025
Notice
& Approval
|
A proposal to amend BX Options 7, Section 1, 'General Provisions' and Section 2,
'BX Options Market- Fees and Rebates.' |
Approved |
Yes |
6/30/2021 |
6/9/2021 |
SR-BX-2021-024
Notice
& Approval
|
A proposal to amend the Exchange's transaction credits, at Equity 7, Section 118(a) |
Approved |
Yes |
6/22/2021 |
6/1/2021 |
SR-BX-2021-022
Notice
& Approval
|
A proposal to delay the implementation of BXs Request for PRISM. |
Approved |
Yes |
6/8/2021 |
5/18/2021 |
SR-BX-2021-020
Resubmission
Notice
& Approval
|
A proposal to amend BX Rules at Options 3, Section 7, Types of Orders and Order and Quote Protocols,
and Options 3, Section 15, Risk Protections. |
Approved |
Yes |
6/1/2021 |
5/17/2021 |
SR-BX-2021-019
Notice
& Approval
|
A proposal to delay the implementation of BX's rule amendment to limit Short Term
Options Series intervals between strikes which are available for quoting and trading from 'prior to
June 30, 2021' to 'July 1, 2021.' |
Approved |
Yes |
6/1/2021 |
5/11/2021 |
SR-BX-2021-017
Notice
& Approval
|
A proposal to the rule change to permit Monday and Wednesday expirations for options listed pursuant
to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ('QQQ') ETF Trust. |
Approved |
Yes |
5/20/2021 |
4/29/2021 |
SR-BX-2021-016
Notice
& Approval
|
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. |
Approved |
Yes |
5/12/2021 |
4/21/2021 |
SR-BX-2021-015
Notice
& Approval
|
A proposal to amend BX Options 7, Section 2, 'BX Options Market- Fees and Rebates.' |
Approved |
Yes |
5/21/2021 |
4/30/2021 |
SR-BX-2021-014
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 |
5/19/2021 |
4/28/2021 |
SR-BX-2021-013
Notice
& Approval
|
A proposal to amend Options 3, Section 10, Order Book Allocation. |
Approved |
Yes |
5/14/2021 |
4/23/2021 |
SR-BX-2021-012
Resubmission
Notice
& Approval
|
A proposal to relocate its equity and general rules from its current Rulebook into
its new Rulebook shell. |
Approved |
Yes |
6/4/2021 |
5/14/2021 |
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
Notice
& Approval
|
A proposal to amend the Exchange's transaction fees, at Equity 7, Section 118(a). |
Approved |
Yes |
10/9/2020 |
9/18/2020 |
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-2014rulebook-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
SEC
Order 1
SEC Order 2
SEC Order
3
SEC
Order 4
SEC Order 5
|
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 |
|