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Rule Filings
rulebook-rulefilings-phlx-menurulebook-rulefilings-phlx-menu
rulebook-rulefilings-phlx-2021rulebook-rulefilings-phlx-2021
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2021-24
A proposal to amend the Exchange's Pricing Schedule at Options 7 to adopt pricing for index options on the Nasdaq 100 Micro Index. Pending No
SR-Phlx-2021-23
A proposal to extend the current pilot program related to Phlx Equity 4, Rule 3312 (Clearly Erroneous Transactions) to the close of business on October 20, 2021. Pending No
SR-Phlx-2021-22
A proposal to amend the Exchange's Pricing Schedule at Options 7 Pending No
SR-Phlx-2021-21
Notice & Approval
A proposal to extend the pilot period for the Exchange's nonstandard expirations pilot program, currently set to expire on May 4, 2021. Approved Yes 5/3/2021 4/12/2021
SR-Phlx-2021-19
Notice & Approval
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 8, 'Membership Fees.' Approved Yes 5/3/2021 4/12/2021
SR-Phlx-2021-17
Notice & Approval
A proposal to enhance the End of Day ('EOD') summary message on Nasdaq Last Sale ('NLS') Plus by replacing the current high, low and closing price of a security based on its trading on Phlx with the high, low and closing price of a security published by the securities information processors ('SIPs'), and adding the opening price of a security as published by the SIPs to that message. Approved Yes 4/28/2021 4/7/2021
SR-Phlx-2021-16
Notice & Approval
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 6, Part D to reduce the Phlx Options Regulatory Fee or 'ORF'. Approved Yes 4/22/2021 4/1/2021
SR-Phlx-2021-14
Resubmission
Resubmission 2
Notice & Approval
A proposal to amend the Phlx Options Rules at Options 4 (Options Listing Rules) in the Exchange's rulebook's shell structure. This proposal also creates a new Options 4C entitled 'U.S. Dollar-Settled Foreign Currency Options.' Approved Yes 5/3/2021 4/12/2021
SR-Phlx-2021-13
Notice & Approval
A proposal to amend General 9, Section 19, 'Discretionary Power as to Customers' Accounts' and adopt two new rules within General 9 at Sections 30 and 45 Approved Yes 4/13/2021 3/23/2021
SR-Phlx-2021-12
Notice & Approval
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 3, 'Rebates and Fees for Adding and Removing Liquidity in SPY.' Approved Yes 4/5/2021 3/15/2021
SR-Phlx-2021-11
Notice & Approval
A proposal to amend Equity 4, Rule 3301B Approved Yes 4/1/2021 3/11/2021
SR-Phlx-2021-10
Notice
A proposal to permit Monday and Wednesday expirations for options listed pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ETF Trust. Pending Yes 3/29/2021 3/8/2021
SR-Phlx-2021-09
Notice & Approval
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3 Approved Yes 3/17/2021 2/24/2021
SR-Phlx-2021-08
Notice & Approval
A proposal to amend Rule 3304 (Data Feeds Utilized) to change the primary and secondary source of quotation data of certain market centers in the list of proprietary and network processor feeds that the Exchange utilizes for the handling, routing, and execution of orders as well as regulatory compliance processes related to those functions. Approved Yes 3/16/2021 2/23/2021
SR-Phlx-2021-07
Resubmission
Notice
Amendment 1
Approval
A proposal to permit the listing and trading of options based on 1/100 the value of the Nasdaq-100 Index®. Approved Yes 3/19/2021 2/26/2021
SR-Phlx-2021-05
Notice & Approval
A proposal to amend various Phlx Rules. Approved Yes 3/3/2021 2/10/2021
SR-Phlx-2021-04
Resubmission
Notice & Approval
A proposal to relocate its PSX equity and general rules from its current Rulebook into its new Rulebook shell and make other changes to the Phlx Rules. Approved Yes 3/3/2021 2/10/2021
SR-Phlx-2021-03
Notice
SEC Extension
Amendment 1
Approval
A proposal to modify Phlx Options 8, Section 26, 'Trading Halts, Business Continuity and Disaster Recovery' to permit a Virtual Trading Crowd in the event that the Trading Floor is unavailable. Approved Yes 2/4/2021 1/14/2021
SR-Phlx-2021-02
Notice & Approval
A proposal to modify Phlx Options 8, Section 28, 'Responsibilities of Floor Brokers' and Section 30, 'Crossing, Facilitation and Solicited Orders.' Approved Yes 2/11/2021 1/21/2021
SR-Phlx-2021-01
Notice & Approval
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3 Approved Yes 2/9/2021 1/21/2021
rulebook-rulefilings-phlx-2020rulebook-rulefilings-phlx-2020
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2020-53
Notice & Approval
A proposal to harmonize Exchange Rule General 3, Section 16 with recent changes by the Financial Industry Regulatory Authority, Inc Approved Yes 1/19/2021 12/29/2020
SR-Phlx-2020-51
Notice & Approval
A proposal to amend Nasdaq PSX Rules 3213, 3301A, and 3301B. Approved Yes 12/30/2020 12/9/2020
SR-Phlx-2020-50
Notice & Approval
A proposal to amend the Exchanges transaction fees at Equity 7 Section 3 Approved Yes 12/1/2020 11/10/2020
SR-Phlx-2020-48
Notice & Approval
A proposal to extend the pilot period for the Exchange's nonstandard expirations pilot program. Approved Yes 11/18/2020 10/28/2020
SR-Phlx-2020-47
Notice & Approval
A proposed rule change to extend the current pilot program related to Phlx Rule 3312 (Clearly Erroneous Transactions) to the close of business on April 20, 2021. Approved Yes 11/12/2020 10/21/2020
SR-Phlx-2020-46
Notice & Approval
A proposal to extend the pilot related to the market-wide circuit breaker in Rule 3101. Approved Yes 11/5/2020 10/15/2020
SR-Phlx-2020-45
Notice & Approval
A proposed rule change to amend the Exchange's transaction credits at Equity 7, Section 3. Approved Yes 10/14/2020 9/23/2020
SR-Phlx-2020-44
Notice & Approval
A proposal to amend Rule 3304 to change the primary and secondary source of quotation data of certain market centers in the list of proprietary and network processor feeds that the Exchange utilizes for the handling, routing, and execution of orders as well as regulatory compliance processes related to those functions. Approved Yes 10/13/2020 9/21/2020
SR-Phlx-2020-42
Notice & Approval
A proposal to amend Rule 3304 to add the Long-Term Stock Exchange, Inc. MIAX PEARL, LLC and MEMX LLC to the list of market centers under Rule 3304 and provide that the Exchange will utilize CQS/UQDF. Approved Yes 10/5/2020 9/14/2020
SR-Phlx-2020-41
Resubmission
Resubmission 2
Notice
SEC Extension
Order Instituting Proceedings
SEC Extension 2
Amendment 1
A proposal to list and trade options on a Nasdaq-100® Volatility Index (Ticker Symbol: VOLQ), a new index that measures changes in 30-day implied volatility of the Nasdaq-100 Index. Pending Yes 9/29/2020 9/8/2020
SR-Phlx-2020-40
Resubmission
Notice & Approval
Proposal to add the Consolidated Audit Trail industry member compliance rules to the list of minor rule violations in its rulebook. Approved Yes 9/21/2020 8/31/2020
SR-Phlx-2020-39
Notice & Approval
A proposal to amend Options 6, Section 5, titled 'Transfer of Positions.' Approved Yes 9/11/2020 8/21/2020
SR-Phlx-2020-38
Notice & Approval
A proposal to memorialize Phlx's Business Continuity and Disaster Recovery for its Trading Floor. Approved Yes 9/8/2020 8/18/2020
SR-Phlx-2020-37
Resubmission
Notice & Approval
A proposal to amend Rule 3316 PHLX Kill Switch. Approved Yes 9/4/2020 8/14/2020
SR-Phlx-2020-36
Notice & Approval
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3. Approved Yes 8/14/2020 7/24/2020
SR-Phlx-2020-35
Notice & Approval
A proposal to further extend the filing requirements for certain written reports pursuant to Options 10, Section 7, currently due June 30, 2020, to July 31, 2020. Approved Yes 8/4/2020 7/14/2020
SR-Phlx-2020-33
Notice & Approval
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 8, 'Membership Fees' and Options 7, Section 9, 'Other Member Fees. Approved Yes 8/4/2020 7/14/2020
SR-Phlx-2020-32
Notice & Approval
A proposal to amend Options 3, Section 3 to conform the rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options. Approved Yes 7/23/2020 7/2/2020
SR-Phlx-2020-31
Notice & Approval
A proposal to modify the operative date of SR-Phlx-2020-15 Approved Yes 7/23/2020 7/2/2020
SR-Phlx-2020-30
Notice & Approval
A proposal to amend certain position limits within Options 9, Section 13. Approved Yes 7/22/2020 7/1/2020
SR-Phlx-2020-29
Notice & Approval
A proposal to further extend the filing requirements for certain written reports pursuant to Options 10, Section 7 Approved Yes 6/29/2020 6/8/2020
SR-Phlx-2020-28
Notice & Approval
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 8, 'Membership Fees' and Options 7, Section 9, 'Other Member Fees.' Approved Yes 7/7/2020 6/16/2020
SR-Phlx-2020-27
Notice & Approval
A proposal which amends Phlx Options 5, Section 4 Approved Yes 7/7/2020 6/16/2020
SR-Phlx-2020-26
Notice & Approval
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, 'Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are Multiply Listed).' The Exchange also proposes to correct a technical amendment within Options 7, Section 1. Approved Yes 6/8/2020 5/18/2020
SR-Phlx-2020-25
Notice & Approval
A proposal to amend the Exchange's pricing schedule at Equity 7, Section 3, as described further below. Approved Yes 5/18/2020 4/27/2020
SR-Phlx-2020-24
Notice & Approval
A proposal related to a Non-Standard Pilot Program. Approved Yes 5/14/2020 4/23/2020
SR-Phlx-2020-22
Resubmission
Resubmission 2
Notice & Approval
Proposal to amend the Transfer Rule. Approved Yes 5/14/2020 4/23/2020
SR-Phlx-2020-21
Resubmission
Notice & Approval
A proposal to amend Phlx Rules at Options 2, Section 3, Allocation Application, Allocation, Reallocation, Transfer and Voluntary Resignation'; Options 2, Section 4, Obligations of Market Makers; Options 2, Section 11, Lead Market Maker Appointments; Options 5, Section 4, Order Routing; Options 8, Section 11, Floor Market Maker and Lead Market Maker Appointment; Options 8, Section 25, Floor Allocation; and Options 8, Section 39, Option Minor Rule Violations and Order and Decorum Regulations at E-2, Allocation, Time Stamping, Matching and Access to Matched Trades. Approved Yes 5/22/2020 5/1/2020
SR-Phlx-2020-20
Resubmission
Notice & Approval
A proposal regarding rule amendments to Options 3, Section 8, Opening Process. Approved Yes 5/19/2020 4/28/2020
SR-Phlx-2020-19
Notice & Approval
Proposal to amend Phlx's Pricing Schedule, specifically to amend rule text within Options 7, Section 8, 'Membership Fees.' Approved Yes 5/8/2020 4/17/2020
SR-Phlx-2020-17
Notice & Approval
A proposal to amend Phlx's Pricing Schedule at Options 7, Section 4, Multiply Listed Options Fees Approved Yes 5/4/2020 4/13/2020
SR-Phlx-2020-16
Notice & Approval
A proposal to temporarily extend the filing requirements for certain written reports, currently due April 1, 2020 pursuant to Options 10, Section 7, to June 1, 2020. Approved Yes 4/27/2020 4/6/2020
SR-Phlx-2020-15
Notice & Approval
A proposal to amend Exchange Rules 3301A and 3301B to modify the behavior of Order Types and Order Attributes in certain situations. Approved Yes 5/4/2020 4/13/2020
SR-Phlx-2020-14
Notice & Approval
Proposal to amend Phlx Rules at Options 3, Section 8, titled 'Openings in Options.' Approved Yes 4/21/2020 3/31/2020
SR-Phlx-2020-13
Notice & Approval
A proposal to extend the current pilot program related to Phlx Rule 3312 (Clearly Erroneous Transactions) by six months, to the close of business on October 20, 2020 Approved Yes 4/23/2020 4/2/2020
SR-Phlx-2020-12
Notice & Approval
Phlx proposes waiving certain Trading Floor fees as well as a Trading Floor credit Approved Yes 4/27/2020 4/6/2020
SR-Phlx-2020-11
Notice & Approval
A proposal to amend Rule 3101(b) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt. Approved Yes 4/15/2020 3/25/2020
SR-Phlx-2020-10
Notice & Approval
Proposal to amend Options 4A, Section 12, Terms of Option Contracts Approved Yes 4/16/2020 3/26/2020
SR-Phlx-2020-09
Resubmission
Notice & Approval
Proposal to relocate the Phlx Series 8000 and 9000 Rules from its current Rulebook into its new Rulebook shell. Approved Yes 4/27/2020 4/6/2020
SR-Phlx-2020-08
Notice & Approval
a proposal to amend Phlx Rules at Options 3, Section 3, Minimum Increments, Section 12, Electronic Qualified Contingent Cross Order, Section 13, Price Improvement XL, Section 14, Complex Orders; Options 4, Section 5, Series of Options Open for Trading; Options 7, Section 1, General Provisions, Section 6, Other Transaction Fees; Options 8, Section 24, Bids And Offers-Premium, Section 30, Crossing, Facilitation and Solicited Orders; and Options 9, Section 13, Position Limits to remove references to Mini Options Approved Yes 4/8/2020 3/18/2020
SR-Phlx-2020-07
Notice & Approval
Amendments to Complex Orders Approved Yes 4/10/2020 3/20/2020
SR-Phlx-2020-06
Notice & Approval
Proposed rule to amend PSX Rule 3506 and Options 9, Section 21 Approved Yes 3/20/2020 2/28/2020
SR-Phlx-2020-05
Notice & Approval
A proposed rule to amend Options 3, Section 7, Electronic Acceptance of Quotes and Orders and Options 8, Section 32, Certain Types of Floor-Based Orders Defined, to permit the Exchange to determine the availability of order types and time-in-force provisions. Approved Yes 3/24/2020 3/3/2020
SR-Phlx-2020-03
Resubmission
Notice & Approval
A rule change to relocate the Phlx Rulebook into the new Rulebook Shell. Approved Yes 3/12/2020 2/20/2020
SR-Phlx-2020-02
Notice & Approval
A proposal to amend Phlx's Pricing Schedule. Specifically, the Exchange proposes to amend Options 7, Section 4 Approved Yes 2/20/2020 1/30/2020
rulebook-rulefilings-phlx-2019rulebook-rulefilings-phlx-2019
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2019-56
Notice & Approval
Proposal to amend Rule 1000, 1014, 1034, 1068, 1080, 1087, 1090, 1093 Approved Yes 1/20/2020 12/29/2019
SR-Phlx-2019-55
Notice & Approval
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30, 2020 or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues (Penny Pilot or Pilot). Approved Yes 1/8/2020 12/18/2019
SR-Phlx-2019-54
Resubmission
Resubmission 2
Notice & Approval
Proposal to adopt a new rule titled Off-Floor RWA Transfers at Phlx Rule 1045. Approved Yes 1/20/2020 12/29/2019
SR-Phlx-2019-53
Notice & Approval
A proposal to adopt a new Rule 1059 titled 'In-Kind Exchange of Options Positions and ETF Shares.' Approved Yes 1/12/2020 12/22/2019
SR-Phlx-2019-52
Notice & Approval
Proposal to amend order types and remove and relocate certain rule text currently located within Rule 1080 Approved Yes 1/2/2020 12/12/2019
SR-Phlx-2019-51
Resubmission
Notice & Approval
A proposal to delete certain Phlx Rules Approved Yes 1/7/2020 12/17/2019
SR-Phlx-2019-50
Notice & Approval
A proposal to amend Phlx Rule 507, titled 'Application for Approval as an SQT, RSQT, or RSQTO and Assignment in Options.' Approved Yes 12/26/2019 12/5/2019
SR-Phlx-2019-49
Notice & Approval
Proposal to remove rule text from Phlx Rule 1101A Terms of Options Contracts at Commentary 05 in connection to the listing of P M settled Nasdaq 100 Index Options expiring on the third Friday of the month NDXPM. Approved Yes 12/9/2019 11/18/2019
SR-Phlx-2019-48
Notice & Approval
Proposal to amend the Exchange's Customer Rebate Program, as set forth in the Pricing Schedule at Options 7, Section 1, Part B. Approved Yes 12/10/2019 11/19/2019
SR-Phlx-2019-47
Notice & Approval
A proposal to amend Rule 3304(a) Approved Yes 12/4/2019 11/13/2019
SR-Phlx-2019-46
Notice & Approval
A proposal to amend Phlx Rule 1097, 'Limitations on Order Entry.' Approved Yes 11/20/2019 10/30/2019
SR-Phlx-2019-45
Notice & Approval
A proposal to make permanent certain options market rules that are linked to the equity market Plan to Address Extraordinary Market Volatility Approved Yes 11/14/2019 10/24/2019
SR-Phlx-2019-44
Notice & Approval
A proposal to extend the current pilot program related to Phlx Rule 3312, Clearly Erroneous Transactions six months, to the close of business on April 20, 2020. Approved Yes 11/13/2019 10/23/2019
SR-Phlx-2019-43
Notice & Approval
A Proposal to Extend the Nonstandard Expirations Pilot Program Approved Yes 11/17/2019 10/27/2019
SR-Phlx-2019-40
Notice & Approval
Proposal to extend the pilot related to the market-wide circuit breaker in Rule 133 Approved Yes 10/29/2019 10/8/2019
SR-Phlx-2019-38
Notice & Approval
Proposal to amend its Second Amended Limited Liability Company Agreement and By-Laws Approved Yes 10/29/2019 10/8/2019
SR-Phlx-2019-37
Notice & Approval
Proposal to amend Phlx pricing at Options 7, Section 9 to describe the pricing with respect to a technology infrastructure migration. Approved Yes 10/20/2019 9/29/2019
SR-Phlx-2019-36
Notice & Approval
Proposal to amend the Exchange's transaction fees at Equity 7, Section 3 Approved Yes 10/21/2019 9/30/2019
SR-Phlx-2019-35
Notice & Approval
Proposal to amend the Exchange's transaction fees at Equity 7, Section 3. Approved Yes 10/20/2019 9/29/2019
SR-Phlx-2019-33
Notice & Approval
Proposal to amend Rules 1000; 1014; 1020; 1082; 1087; Options 8, Sections 2 and 39; relocate Rule 1064 to Options 8, Section 30; and relocate other rules, update cross-references, and make various other technical amendments. Approved Yes 10/9/2019 9/18/2019
SR-Phlx-2019-31
Notice & Approval
A proposal to modify the manner in which it calculates volume, liquidity and quoting thresholds applicable to billing on the Exchange in relation to a systems issue experienced by SIAC on August 12, 2019, which impacted trading across all markets. Approved Yes 9/26/2019 9/5/2019
SR-Phlx-2019-30
Notice & Approval
Proposal to amend Phlx pricing at Options 7, Section 9 titled Other Member Fees Approved Yes 9/24/2019 9/3/2019
SR-Phlx-2019-28
Notice & Approval
A proposal to amend Exchange Rules 605 and 1049, titled 'Advertisements, Market Letters, Research Reports and Sales Literature' and 'Options Communications.' Approved Yes 9/11/2019 8/21/2019
SR-Phlx-2019-27
Notice & Approval
A proposal to amend Equity 7, Section 3(a) to adopt revised pricing for the recently adopted SCAR routing strategy Approved Yes 9/3/2019 8/13/2019
SR-Phlx-2019-25
Notice & Approval
Proposal to amend Rule 1019, adopt new Rule 1073, adopt Rule 1074, Rule 1080, adopt new Rule 1096, and adopt a new Rule 1097 Approved Yes 7/29/2019 7/8/2019
SR-Phlx-2019-24
Notice & Approval
Proposal to Extend the Penny Pilot Program to December 31, 2019 Approved Yes 7/14/2019 6/23/2019
SR-Phlx-2019-23
Notice & Approval
A proposal to amend Equity 7, Section 3, which governs pricing for Phlx members using the Nasdaq PSX System ('PSX'). Approved Yes 6/30/2019 6/9/2019
SR-Phlx-2019-22
Notice & Approval
Proposal to allow dollar strike price intervals in QQQ and IWM options Approved Yes 6/24/2019 6/3/2019
SR-Phlx-2019-20
Resubmission
Notice
Approval
A proposal to reserve Rule 1014(g)(vii) and (viii), which describes the allocation of automatically executed trades, and adopt a new Rule 1089 and title that rule Electronic Execution Priority and Processing in the System. Approved Yes 6/11/2019 5/21/2019
SR-Phlx-2019-19
Notice & Approval
A proposal to amend the Exchange's transaction fees at Equity 7, Section 3 to adopt a Qualified Market Maker Program and a related credit, and to modify two existing fees. Approved Yes 6/10/2019 5/20/2019
SR-Phlx-2019-18
Notice & Approval
A proposal to delete and relocate the Exchange's current Registration, Qualification and Continuing Education rules under the 1200 Series (Rules 1210 through 1260), and incorporate by reference The Nasdaq Stock Market LLC's ('Nasdaq') rules at General 4 ('Nasdaq Registration Rules'), into General 4 of the Exchange's rulebook's ('Rulebook') shell structure. Approved Yes 5/28/2019 5/7/2019
SR-Phlx-2019-17
Resubmission
Notice & Approval
Proposal to relocate rules related to the trading floor into the new Rulebook shell at Options 8, entitled 'Options Floor Trading.' Approved Yes 6/2/2019 5/2/2019
SR-Phlx-2019-16
Notice & Approval
A proposal to extend the pilot period for the listing of P.M.-settled Nasdaq-100 Index Options expiring on the third Friday of the month Approved Yes 5/14/2019 4/23/2019
SR-Phlx-2019-15
Notice & Approval
Proposal to amend the Pricing Schedule at Section 1, B, 'Customer Rebate Program,' Section 3, 'Rebates and Fees for Adding and Removing Liquidity in SPY,' and Section 6, E, 'Market Access and Routing Subsidy.' Approved Yes 5/12/2019 4/21/2019
SR-Phlx-2019-14
Notice & Approval
Proposal to extend the current pilot program related to Phlx Rule 3312, Clearly Erroneous Transactions, to the close of business on October 18, 2019. Approved Yes 5/7/2019 4/16/2019
SR-Phlx-2019-13
Notice & Approval
Proposal to extend the pilot period for the Exchange's nonstandard expirations pilot program, currently set to expire on May 6, 2019 Approved Yes 5/13/2019 4/22/2019
SR-Phlx-2019-12
Notice & Approval
Proposed Rule Change to Extend the Pilot Related to Rule 133, Trading Halts Due to Extraordinary Market Volatility Approved Yes 5/5/2019 4/14/2019
SR-Phlx-2019-11
Notice & Approval
A proposal to extend the pilot to the close of business on October 18, 2019, for certain options market rules that are linked to the equity market Plan to Address Extraordinary Market Volatility. Approved Yes 5/7/2019 4/16/2019
SR-Phlx-2019-09
Notice & Approval
A proposal to delay the implementation of the FBMS FIX Interface to submit orders to a particular Floor Broker on the options floor. Approved Yes 5/5/2019 4/14/2019
SR-Phlx-2019-07
Resubmission
Notice & Approval
Proposal to amend and relocate Qualified Contingent Cross Orders which are submitted electronically and QCC Orders which are transacted on the Floor. Approved Yes 5/1/2019 4/10/2019
SR-Phlx-2019-06
Resubmission
Notice & Approval
Proposal to relocate and amend Rule 1080(m), titled 'Away Markets and Order Routing,' to new Rule 1093 with the same title. The Exchange also proposes to relocate Rule 1080(m)(v) to new Rule 1091. Approved Yes 5/12/2019 4/21/2019
SR-Phlx-2019-05
Resubmission
Notice & Approval
A proposal to amend Rule 1034, 'Minimum Increments,' to specify replacement issues that may be added to the Penny Pilot on a quarterly basis, without altering the expiration date of the Pilot, which is June 30, 2019. Approved Yes 4/24/2019 4/3/2019
SR-Phlx-2019-04
Notice & Approval
A proposal to adopt a new SCAR routing option under Rule 3315 Approved Yes 4/15/2019 3/25/2019
SR-Phlx-2019-03
Notice & Approval
A proposal to amend Option Floor Procedure Advice A-9, titled 'All-or-None Options Orders', amend Phlx Rule 1066, titled 'Certain Types of Floor-Based (Non-System) Orders Defined', and adopt a new Phlx Rule 1078, titled 'All-or-None Orders Approved Yes 4/2/2019 3/12/2019
SR-Phlx-2019-02
Notice & Approval
Terms of Index Option Contracts to amend certain expiration timeframes and make technical corrections to this rule Approved Yes 3/25/2019 3/4/2019
SR-Phlx-2019-01
Notice & Approval
A proposal to revise its Pricing Schedule at Options 7, Section 6, Part D to amend the Phlx Options Regulatory Fee. Approved Yes 3/12/2019 2/19/2019
rulebook-rulefilings-phlx-2018
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2018-84
Resubmission
Notice & Approval
Proposed Rule Change to Extend the Penny Pilot Program Approved Yes 2/21/2019 1/31/2019
SR-Phlx-2018-83
Notice & Approval
Suspension
Withdrawal
Notice of Withdrawal
Proposal to amend the Exchange's port fee schedule at Equity 7, Section 3. Withdrawn Yes 2/21/2019 1/31/2019
SR-Phlx-2018-82
Notice & Approval
Proposal to delete the Exchange's existing rules on colocation, connectivity, and direct connectivity under General 8, and incorporate by reference into General 8 of The Nasdaq Stock Market LLC's rules on colocation, connectivity and direct connectivity. Approved Yes 1/22/2019 12/31/2018
SR-Phlx-2018-81
A proposal to replace the text of the Phlx Series 8000 and 9000 Rules with introductory paragraphs to each that incorporate by reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules into the Phlx Series 8000 and 9000 Rules. Rejected No
SR-Phlx-2018-80
Notice & Approval
A proposal to amend the pilot period for the Exchange's nonstandard expirations pilot program, currently set to expire on December 15, 2018 Approved Yes 1/11/2019 12/21/2018
SR-Phlx-2018-79
Notice & Approval
A proposal to revise the Exchange floor qualification examination. Approved Yes 1/4/2019 12/14/2018
SR-Phlx-2018-78
Proposed rule change to amend the Exchange's rules to (1) correct existing references in the Exchange's rules to "Reduced Value Nasdaq 100 Options," and (2) to permit the listing and trading of index options, including FLEX options, on the Nasdaq 100 Re Rejected No
SR-Phlx-2018-77
Notice & Approval
Proposal to amend Phlx Rule 1017, entitled "Openings in Options," Phlx Rule 1014, entitled "Obligations and Restrictions Applicable to Specialists and Registered Options Traders," and Rule 1000, entitled "Applicability, Definitions an References." Approved Yes 1/2/2019 12/12/2018
SR-Phlx-2018-76
Notice & Approval
Proposal to amend the pilot period for the listing of P.M.-settled Nasdaq-100 Index Options expiring on the third Friday of the month ("NDXPM options") Approved Yes 12/26/2018 12/6/2018
SR-Phlx-2018-75
Notice & Approval
A proposal to allow the Exchange to aggregate Displayed odd-lot Orders across price levels for transmission to network processors as the Exchange's best priced Order under Rule 3306(c)(2). Approved Yes 12/26/2018 12/4/2018
SR-Phlx-2018-74
Withdrawal
A proposal to amend Phlx Rule 1017, entitled "Openings in Options," Phlx Rule 1014, entitled "Obligations and Restrictions Applicable to Specialists and Registered Options Traders," and Rule 1000, entitled "Applicability, Definitions an References." Withdrawn No
SR-Phlx-2018-73
Notice & Approval
Proposed rule change to amend the Exchange's provisions for excluding a day from its volume calculations for purposes of determining pricing tiers. Approved Yes 12/21/2018 11/30/2018
SR-Phlx-2018-72
Notice
SEC Extension
Approval
Proposal to establish rules governing the Give Up of a Clearing Member by a member organization on Exchange transactions. Approved Yes 12/17/2018 11/26/2018
SR-Phlx-2018-71
Notice & Approval
A proposal to add definitions to Rule 1000, titled "Applicability, Definitions and References," amend Rule 1090, titled "Clerks" and amend Rule 1099, titled, "Risk Protections." Approved Yes 12/17/2018 11/26/2018
SR-Phlx-2018-70
Notice & Approval
Clarify General 8 of the Exchanges Rules Approved Yes 12/7/2018 11/16/2018
SR-Phlx-2018-69
Withdrawal
A proposal to add definitions to Rule 1000 titled Applicability, Definitions and References; amend Rule 1090 titled Clerks; and amend Rule 1099 titled Risk Protections Replaced by SR-Phlx-2018-71 No
SR-Phlx-2018-68
Notice & Approval
A proposal to amend the Rule 3400 Series concerning the Order Audit Trail System to make conforming and technical changes. Approved Yes 12/4/2018 11/13/2018
SR-Phlx-2018-67
Notice & Approval
Proposal to amend Phlx Rule 803 related to derivative securities traded under unlisted trading privileges. Approved Yes 12/4/2018 11/13/2018
SR-Phlx-2018-66
Notice & Approval
Proposal to relocate rules from the Phlx's Pricing Schedule and current Rule 909 to the Exchange's rulebook shell structure. Approved Yes 11/23/2018 11/2/2018
SR-Phlx-2018-65
Withdrawal
Proposal to add definitions to Rule 1000, titled Applicability, Definitions and References, amend Rule 1090, titled Clerks and amend Rule 1099, titled, Risk Protections Replaced by SR-Phlx-2018-69 No
SR-Phlx-2018-64
Notice & Approval
A proposal to amend Section (a)(i)(D) of Rule 1012, Series of Options Open for Trading, to permit the listing and trading of up to ten expiration months for long term options on the SPDR® S&P 500® exchange-traded fund (the "SPY ETF") Approved Yes 11/14/2018 10/24/2018
SR-Phlx-2018-63
Notice & Approval
A proposal to amend Exchange Rule 1101A, Terms of Option Contracts Approved Yes 11/30/2018 11/9/2018
SR-Phlx-2018-62
Notice & Approval
A proposal to delete the current rules on arbitration ("Current Arbitration Rules"), under Rule 950, and incorporate by reference The Nasdaq Stock Market LLC's ("Nasdaq") rules on arbitration at General 6 ("Proposed Arbitration Rules"), into General 6 of Approved Yes 11/20/2018 10/30/2018
SR-Phlx-2018-61
Resubmission
Notice & Approval
Amendments to the Exchange's Registration, Qualification Examination and Continuing Education Rules Approved Yes 10/31/2018 10/10/2018
SR-Phlx-2018-60
A proposed rule change to permit the listing and trading of options based on 1/5 the value of the Nasdaq-100 Index ("Nasdaq-100") on a twelve month pilot basis Replaced by SR-Phlx-2018-78 No
SR-Phlx-2018-59
Resubmission
Notice
Proposal to amend Exchange Rules 1000, 1064, and 1069 to allow for the Snapshot functionality of the Floor Based Management System to be used for all orders Approved Yes 10/23/2018 10/2/2018
SR-Phlx-2018-58
Notice & Approval
Proposal to amend Rule 1080(a)(i)(C) relating to Options Floor Based Management System in connection with offering an interface to submit orders to the options floor. Approved Yes 10/15/2018 9/24/2018
SR-Phlx-2018-57
Notice & Approval
Proposal to move the P.M.-settled Nasdaq-100 Index Options expiring on the third Friday of the month to the NDX index options class Approved Yes 10/2/2018 9/11/2018
SR-Phlx-2018-56
Proposal to amend and reorganize the Exchange's membership, registration and qualification rules. Rejected No
SR-Phlx-2018-55
Notice
Approval
Proposal to amend Rule 1064(d) related to Anticipatory Hedging. Approved Yes 9/6/2018 8/16/2018
SR-Phlx-2018-54
Resubmission
Notice & Approval
A proposal to remove text currently contained in Rule 1080(a) and relocate and add text into that section (a) to codify the definitions of the protocols that members can use to enter quotes and orders on the Exchange. Approved Yes 9/12/2018 8/22/2018
SR-Phlx-2018-53
Notice & Approval
A proposal to incorporate the "PSX Last Sale and Nasdaq Last Sale Plus Data Feeds" into the market data enterprise license proposed by the Nasdaq Stock Market LLC, which is designed to lower fees, reduce administrative costs, and expand the availability o Approved Yes 9/5/2018 8/15/2018
SR-Phlx-2018-52
Withdrawal
A proposal to incorporate PSX Last Sale and Nasdaq Last Sale Plus data feeds into the market data enterprise license proposed by the Nasdaq Stock Market LLC Replaced by SR-Phlx-2018-53 No
SR-Phlx-2018-51
Withdrawal
A proposal to incorporate PSX Last Sale and Nasdaq Last Sale Plus data feeds into the market data enterprise license Replaced by SR-Phlx-2018-52 No
SR-Phlx-2018-50
Notice & Approval
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through December 31, 2018 or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"), and to change the date whe Approved Yes 7/24/2018 7/3/2018
SR-Phlx-2018-49
Resubmission
Withdrawal
Proposal to amend Rule 1064(d) related to Anticipatory Hedging. Replaced by SR-Phlx-2018-55 No
SR-Phlx-2018-48
Notice & Approval
Proposal to amend the firm participation guarantee for a Floor Broker under Commentary .02 to Rule 1064. Approved Yes 7/24/2018 7/3/2018
SR-Phlx-2018-47
Notice & Approval
A proposal to amend Exchange Rule 1101A, Terms of Option Contracts. Approved Yes 7/13/2018 6/22/2018
SR-Phlx-2018-46
Notice & Approval
Proposal to relocate the Exchange rules pertaining to co-location and direct connectivity to the Exchange's new rulebook shell at new General 8, Sections 1 and 2. Approved Yes 7/16/2018 6/25/2018
SR-Phlx-2018-45
Withdrawal
Proposal to amend the firm participation guarantee for a Floor Broker under Commentary .02 to Rule 1064. Replaced by SR-Phlx-2018-48 No
SR-Phlx-2018-44
Notice & Approval
A proposal to amend Rule 1001, entitled "Position Limits", to amend position limits for options on the SPDR® S&P 500® exchange-traded fund ("SPY ETF" or "SPY"), which list and trade under the symbol "SPY." Terminates the SPY pilot program (allows it to e Approved Yes 6/18/2018
SR-Phlx-2018-43
Notice & Approval
Proposal to amend the descriptions of certain data feeds within Rule 1070 entitled Data Feeds and Trade Information Approved Yes 6/26/2018 6/5/2018
SR-Phlx-2018-42
Withdrawal
A proposal to relocate the Exchange's rules pertaining to co-location and direct connectivity, which are presently at Sections X and XI of the Exchange's Pricing Schedule, to the Exchange's new rulebook shell, entitled "General Equity and Options Rules," Replaced by SR-Phlx-2018-46 No
SR-Phlx-2018-41
Notice & Approval
Proposal to amend Rule 1095, entitled "Automated Removal of Quotes" and Rule 1099, entitled "Order Protections." Approved Yes 6/21/2018 5/31/2018
SR-Phlx-2018-40
Resubmission
Notice
Amendment 1
Approval
Proposal to change the name of the Floor Broker Management System, to require all members that operate on the Exchange Floor to enter and submit Floor-based trades using that system, and to extend the availability of the Snapshot functionality. Approved Yes 6/4/2018
SR-Phlx-2018-39
Notice & Approval
Proposal to amend Phlx's Pricing Schedule at Sections I and II to further reduce costs of SPY and Complex Order Transactions Approved Yes 6/15/2018 5/25/2018
SR-Phlx-2018-38
Resubmission 1
Resubmission 2
Resubmission 3
Withdrawal
Proposal to revise the Exchange's floor qualification examination by deleting obsolete questions, changing the format of certain questions, and add several new questions. Replaced by Sr-Phlx-2018-79 No
SR-Phlx-2018-37
Withdrawal
A proposal to amend Phlx's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," and Section II, entitled "Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are M Replaced by SR-Phlx-2018-39 No
SR-Phlx-2018-36
Withdrawal
A proposal to amend Phlx's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," and Section II, entitled "Multiply Listed Options Fees (Includes options overlying equities, ETFs, ETNs and indexes which are M Replaced by SR-Phlx-2018-37 No
SR-Phlx-2018-35
Notice & Approval 1
A proposal to relocate the rule text relating to zero-bid option series currently located at Rule 1080(i) to new Rule 1035 and amend the current rule text to describe the current operation of a zero bid series. Approved Yes 6/5/2018 5/15/2018
SR-Phlx-2018-34
Notice & Approval
A proposal to reorganize and amend the Exchange's Pricing Schedule at Section VII, B, entitled "Port Fees." Approved Yes 6/5/2018 5/15/2018
SR-Phlx-2018-33
Notice & Approval
Proposal to memorialize the Exchange's order and execution information into Phlx Rule 1070. Approved Yes 6/5/2018 5/15/2018
SR-Phlx-2018-32
Notice & Approval
Proposal to relocate the rule text relating to adopt a new Market Order Spread Protection. Approved Yes 5/29/2018 5/7/2018
SR-Phlx-2018-31
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section II Approved Yes 6/7/2018 5/17/2018
SR-Phlx-2018-30
Notice & Approval
Proposal to incorporate The Nasdaq Stock Market LLC's rules at General 7, entitled "Consolidated Audit Trail Compliance" into Phlx's General 7. Approved Yes 4/26/2018
SR-Phlx-2018-29
Withdrawal
A proposal to amend the Exchange's Pricing Schedule at Section II to clarify fees applicable to correcting "as/of" or "reversal" trades. Replaced by SR-Phlx-2018-31 No
SR-Phlx-2018-28
Notice & Approval
A proposal to amend Exchange Rule 1101A, Terms of Option Contracts, Section (b)(vii)(4) in order to clarify trading hours of expiring Weekly Expirations and End of Month ("EOM") options on the last trading day. Approved Yes 4/12/2018
SR-Phlx-2018-27
Notice & Approval
A proposed rule change to amend the Exchanges provisions for excluding a day from its volume calculations for purposes of determing volume based pricing Approved Yes 4/5/2018
SR-Phlx-2018-26
Resubmission
Notice & Approval
Proposal to amend several sections of the Exchange's Pricing Schedule to harmonize its colocation, connectivity, and direct connectivity services and fees with the rules of Nasdaq BX, Inc. Approved Yes 4/13/2018
SR-Phlx-2018-25
Withdrawal
A proposed rule change to amend the Exchange's provisions for excluding a day from its volume calculations for purposes of determining volume based pricing. Replaced by SR-Phlx-2018-27 No
SR-Phlx-2018-24
Notice & Approval
A proposal to amend Exchange Rule 1001, to increase the position limits for options on exchange traded funds. Approved Yes 4/18/2018 3/28/2018
SR-Phlx-2018-23
Notice & Approval
A proposal to amend Rule 990 regarding the requirements for securities listed on the exchange issued by Nasdaq, Inc. Approved Yes 4/17/2018 3/27/2018
SR-Phlx-2018-22
Resubmission
Notice
Approval
A new Rule 1081, entitled Electronic Market Maker Obligations and Quoting Approved Yes 4/5/2018
SR-Phlx-2018-21
Notice & Approval
A proposal to amend the Exchange's transaction fees at Section VIII of Phlx's Pricing Schedule Approved Yes 4/9/2018 3/19/2018
SR-Phlx-2018-20
Notice
Approval
A proposal to amend Rule 1079, FLEX Index, Equity and Currency Options and Rule 1059, Accommodation Transactions. Approved Yes 3/19/2018
SR-Phlx-2018-19
Notice & Approval
Proposal to relocate the data feeds currently located at Rule 1000(b)45(C)(i) through (iv) to Rule 1070, which is currently reserved, and entitle it "Data Feeds." Approved Yes 3/30/2018 3/9/2018
SR-Phlx-2018-18
A proposal to change the name of the Floor Broker Management System Rejected No
SR-Phlx-2018-17
Notice & Approval
A proposal to amend Section VI.A. of the Exchange's Pricing Schedule to clarify the Exchange's billing practices with respect to permit fees when a member organization must transfer a permit due to the fact that the individual who is designated as the per Approved Yes 3/20/2018 2/27/2018
SR-Phlx-2018-16
Notice & Approval
A proposal to delete Rule 1082(a)(ii)(B)(2), which is obsolete, because the Phlx XL system no longer operates. Approved Yes 3/22/2018 3/1/2018
SR-Phlx-2018-15
Notice & Approval
Proposal to amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious Errors, by deleting a cross-reference to Rule 124(d). Approved Yes 3/6/2018 2/13/2018
SR-Phlx-2018-14
Resubmission
Amendment 1
Notice
Amendment 2
Amendment 3
Approval
A proposal to adopt new order type protections, Butterfly and Box Spread protections, for Complex Order strategy trades. Approved Yes 3/1/2018
SR-Phlx-2018-13
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule to exclude A.M. and P.M.-settled options on broad-based indexes with nonstandard expiration dates from its pricing for Strategy Caps and for FLEX transactions. Approved Yes 3/6/2018 2/13/2018
SR-Phlx-2018-12
Notice & Approval
Proposal to relocate Execution Protections currently located at Phlx Rule 1080(p) to new Phlx Rule 1099 and entitle the rule "Order Protections." Approved Yes 2/27/2018 2/6/2018
SR-Phlx-2018-11
Notice & Approval
A proposal to relocate the Consolidated Audit Trail Compliance rules ("CAT Rules"), Rules 900A through 996A, to General 7, Sections 1 through 13 in the Exchange's rulebook's ("Rulebook") shell structure Approved Yes 2/23/2018 2/2/2018
SR-Phlx-2018-10
Notice & Approval
A proposal to modify the fee schedule for PSX TotalView to reflect substantial enhancements to the product since the current fees were set in 2010 Approved Yes 2/20/2018 1/29/2018
SR-Phlx-2018-09
Proposal to relocate and amend Rule 1080(l), entitled "Directed Orders" to new Rule 1068 with the same title. The Exchange is also proposing to amend Rule 1000(b) to add various definitions. The Exchange will also update cross references to Rule 1080(l) t Approved No
SR-Phlx-2018-08
Notice & Approval
Proposal to amend the Exchange's fee schedule at Chapter IX (Proprietary Data Feed Fees) to change the Internal Distributor fee for Top of PHLX Options Plus Orders to reflect substantial enhancements to the product since the current Distributor fees were Approved Yes 2/9/2018 1/19/2018
SR-Phlx-2018-07
Resubmission
Withdrawal
A proposal to amend Rule 1079, FLEX Index, Equity and Currency Options. Replaced by SR-Phlx-2018-20 No
SR-Phlx-2018-06
Notice & Approval
Proposal to relocate Rule 1080(n), make conforming cross-reference changes and minor corrections throughout the Exchange's rulebook. Approved Yes 2/12/2018 1/22/2018
SR-Phlx-2018-05
Notice & Approval
A proposal to amend a cross-reference in Rule 1017, entitled "Openings in Options." Approved Yes 2/6/2018 1/16/2018
SR-Phlx-2018-04
Withdrawal
Proposal to amend Section VIII of the Exchange's Pricing Schedule, Nasdaq PSX Fees, to modify the fee schedule for PSX TotalView to reflect substantial enhancements to the product since the current fees were set in 2010. Replaced by SR-PHLX-2018-10 No
SR-Phlx-2018-03
Resubmission 1
Resubmission 2
Notice & Approval
Proposal to add a new Rule 3215 to authorize the Exchange to share PSX Participant-designated risk settings in PSX, the Exchange's trading system, with the clearing member that clears transactions on behalf of the PSX Participant. Approved Yes 2/16/2018 1/26/2018
SR-Phlx-2018-02
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule to add pricing for p.m.-settled options on broad-based indexes Approved Yes 2/9/2018 1/19/2018
SR-Phlx-2018-01
Withdrawal
A proposal to amend the Exchange's Pricing Schedule to add pricing for p.m.-settled options on broad-based indexes Replaced by SR-Phlx-2018-02 No
rulebook-rulefilings-phlx-2017
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2017-110
Withdrawal
Proposal to amend the Exchange's fee schedule at Chapter IX (Proprietary Data Feed Fees) to change the Internal Distributor fee for Top of PHLX Options Plus Orders to reflect substantial enhancements to the product since the current Distributor fees were Replaced by SR-Phlx-2018-08 No
SR-Phlx-2017-109
Proposal to relocate Execution Protections currently located at Phlx Rule 1080(p) to new Phlx Rule 1099 and entitle the rule "Order Protections." Replaced by SR-Phlx-2018-12 No
SR-Phlx-2017-108
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule Approved Yes 1/30/2018 1/9/2018
SR-Phlx-2017-107
Withdrawal
Proposal to relocate Execution Protections currently located at Phlx Rule 1080(p) to new Phlx Rule 1099 and entitle the rule "Order Protections." Replaced by SR-Phlx-2017-109 No
SR-Phlx-2017-106
Withdrawal
TotalView Non-Display Fee January Price Change Replaced by SR-Phlx-2018-04 No
SR-Phlx-2017-105
Proposal to relocate Rule 1080(n), make conforming cross-reference changes and minor corrections throughout the Exchange's rulebook. Rejected No
SR-Phlx-2017-104
Notice & Approval
Proposed Rule Change to Extend the Penny Pilot Program Approved Yes 1/17/2018 12/27/2017
SR-Phlx-2017-103
Notice
Approval
Proposal to expand the Short Term Option Series Program to allow Monday expirations for options listed pursuant to the Short Term Option Series Program, including options on the SPDR S&P 500 ETF Trust. Approved Yes 1/16/2018 12/26/2017
SR-Phlx-2017-102
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule to exclude options overlying NDX from several pricing programs. Approved Yes 1/4/2018 12/14/2017
SR-Phlx-2017-101
Notice & Approval
Proposal to amend Rule 1017 to specify the obligations of a Specialist when entering Valid Width Quotes during the Opening Process. Approved Yes 1/10/2018 12/20/2017
SR-Phlx-2017-100
Notice & Approval
A proposal to amend the Exchange connectivity fees at Chapter VIII of the Phlx Pricing Schedule to provide a waiver of all connectivity fees to new PSX Participants for a limited time. Approved Yes 1/9/2018 12/19/2017
SR-Phlx-2017-99
Notice
Approval
A proposal to amend the Exchange's rules to make permanent a pilot program that allows transactions to take place in open outcry trading ("Cabinet Trading Below $1.00 Per contract pilot"). Approved Yes 1/4/2018 12/14/2017
SR-Phlx-2017-98
Withdrawal
A proposal to amend the Exchange's rules to make permanent a program that allows transactions to take place in open outcry trading at prices of at least $0 but less than $1 per option contract ("Cabinet Trading Below $1.00 Per contract"). Replaced by SR-Phlx-2017-99 No
SR-Phlx-2017-97
Notice & Approval
Proposal to amend the structure of the Phlx rulebook. Approved Yes 12/26/2017 12/5/2017
SR-Phlx-2017-96
Resubmission
Notice & Approval
A proposal to amend Section (a)(i)(D) of Rule 1012, Series of Options Open for Trading, to delete two sentences regarding opening for trading of long term option series, which sentences have effectively been superseded by another rule. Approved Yes 12/26/2017 12/5/2017
SR-Phlx-2017-95
Resubmission
Notice & Approval
A proposed rule change to clarify the purposes for which Nasdaq PSX uses securities information processor data pursuant to Rule 3304. Approved Yes 1/2/2018 12/11/2017
SR-Phlx-2017-94
A new Rule 1081, entitled "Electronic Market Maker Obligations and Quoting" to amend electronic quoting obligations for market makers . Replaced by SR-Phlx-2018-22 No
SR-Phlx-2017-93
Notice & Approval
Proposed rule change to amend Rule 1080 Approved Yes 11/30/2017 11/9/2017
SR-Phlx-2017-92
Resubmission
Notice & Approval
Proposed rule change to adopt an investigatory and disciplinary process identical in all material respects to the investigatory and disciplinary processes of Nasdaq BX, Inc. and The Nasdaq Stock Market LLC. Approved Yes 12/20/2017 11/29/2017
SR-Phlx-2017-91
Notice & Approval
A proposal to amend the Exchanges Pricing Schedule Multiply Options Fees Approved Yes 12/4/2017 11/13/2017
SR-Phlx-2017-90
Notice & Approval
A proposal to amend Section VIII (Nasdaq PSX Fees) of the Exchange's Pricing Schedule to decrease both the amount of and the Consolidated Volume necessary to qualify for the credit that the Exchange pays to member organizations for displayed quotes and or Approved Yes 12/11/2017 11/20/2017
SR-Phlx-2017-89
Notice & Approval
A proposal to amend its index options rules to be more clear and conformed more closely to those of the Options Clearing Corporation ("OCC") and other exchanges. Approved Yes 12/6/2017 11/15/2017
SR-Phlx-2017-88
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section IV, entitled "Other Transaction Fees. Approved Yes 11/30/2017 11/9/2017
SR-Phlx-2017-87
Notice & Approval
The Exchange proposes to amend Rule 1059, Accommodation Transactions, which provides for cabinet trading and is sometimes referred to as the "cabinet rule," to delete outdated language in Rule 1059(a) relating to the role of specialists in cabinet trading Approved Yes 12/7/2017 11/16/2017
SR-Phlx-2017-86
Withdrawal
The Exchange proposes to amend Rule 1059, Accommodation Transactions, which provides for cabinet trading and is sometimes referred to as the "cabinet rule," to delete outdated language in Rule 1059(a) relating to the role of specialists in cabinet trading Replaced by SR-Phlx-2017-87 No
SR-Phlx-2017-85
Notice & Approval
Proposal to amend Rule 1080(n) related to Phlx's Price Improvement XL auction. Approved Yes 11/29/2017 11/8/2017
SR-Phlx-2017-84
Notice & Approval
A proposal to amend and conform Sections VIII and XIII of the Exchange's Pricing Schedule, to define key terms; to clarify the rule language; to clarify its application to Extranet Providers, Members, and Non-members in various contexts; and to make confo Approved Yes 12/6/2017 11/15/2017
SR-Phlx-2017-83
Notice & Approval
Proposal to amend the Exchange's rules as well as certain of its corporate documents to reflect legal name changes. Approved Yes 11/20/2017 10/30/2017
SR-Phlx-2017-82
Resubmission
Withdrawal
Proposal to amend Exchange rules as well as certain corporate documents of the Exchange to reflect legal name changes. Replaced by SR-Phlx-2017-83 No
SR-Phlx-2017-81
Withdrawal
Proposal to amend the Exchange's rules to make permanent a pilot program ("Cabinet Trading") that allows transactions to take place in open outcry trading. Replaced by SR-Phlx-2017-98 No
SR-Phlx-2017-80
Withdrawal
Proposal to amend and conform Sections VIII and Section XIII of the Exchange's Pricing Schedule, to define key terms; to clarify the rule language; and to clarify its application to Extranet Providers, Members, and Non-members in various contexts. Replaced by SR-Phlx-2017-84 No
SR-Phlx-2017-79
Amendment 1
Notice
Amendment 2
Approval
A proposal to establish a Nonstandard Expirations Pilot Program on a pilot basis, for an initial period of twelve months from the date of approval of this proposed rule change. Approved Yes 11/24/2017 11/2/2017
SR-Phlx-2017-78
Notice & Approval
Proposal to amend the Exchange's transaction fees at Section VIII of the NASDAQ PHLX LLC Pricing Schedule to decrease the level of Consolidated Volume required to qualify for a $0.0031 per share executed credit and make related changes. Approved Yes 11/8/2017 10/18/2017
SR-Phlx-2017-77
Withdrawal
Proposal to amend and conform Sections VIII and Section XIII of the Exchange's Pricing Schedule, to define key terms; to clarify the rule language; and to clarify its application to Extranet Providers, Members, and Non-members in various contexts. Replaced by SR-Phlx-2017-80 No
SR-Phlx-2017-76
Withdrawal
Proposal to amend and conform Sections VIII and Section XIII of the Exchange's Pricing Schedule, to define key terms; to clarify the rule language; and to clarify its application to Extranet Providers, Members, and Non-members in various contexts. Replaced by SR-Phlx-2017-77 No
SR-Phlx-2017-75
Notice
Approval
Proposal to amend Commentary .01 to Rule 1009 to modify the criteria for listing an option on an underlying covered security. Approved Yes 11/1/2017 10/11/2017
SR-Phlx-2017-74
Resubmission
Notice
SEC Extension
Withdrawal
Notice of Withdrawal
Proposal to introduce the Intellicator Analytic Tool, a new market data product designed to analyze options market transactions and synthesize that analysis to assist investors in assessing the equities underlying those transactions. Withdrawn Yes 10/25/2017 10/4/2017
SR-Phlx-2017-73
Withdrawal
Proposal to amend Commentary .01 to Rule 1009 to modify the criteria for listing an option on an underlying covered security. Replaced by SR-Phlx-2017-75 No
SR-Phlx-2017-72
Notice & Approval
A proposal to add a missing letter into Section IV, Part D of the Pricing Schedule. Approved Yes 10/10/2017 9/18/2017
SR-Phlx-2017-71
Notice & Approval
A proposal to amend PHLX Rules 431, 432, and 825 to conform them to SEA Rule 15c6-1(a) to shorten the standard settlement cycle for most broker-dealer transactions. Approved Yes 9/27/2017 9/6/2017
SR-Phlx-2017-70
Amendment to Rules 1059, Accommodation Transactions, and 1079 FLEX Index, Equity and Currency Options. Replaced by SR-Phlx-2018-07 No
SR-Phlx-2017-69
Resubmission 1
Resubmission 2
Proposal to amend Phlx Rule 1017, entitled "Openings in Options." Approved No
SR-Phlx-2017-68
Notice & Approval
A proposal to (i) amend Rule 925 to create a limited exception to the Exchange existing procedures and (ii) make a nonsubstantive change to its Pricing Schedule related to the fees assessed. Approved Yes 9/11/2017 8/21/2017
SR-Phlx-2017-67
Notice
Approval
Proposal to amend Commentary .01 of Rule 1014, Obligations and Restrictions Applicable to Specialists and Registered Options Traders, to change quarterly trading requirements applicable to Registered Options Traders. Approved Yes 9/12/2017 8/22/2017
SR-Phlx-2017-66
Notice & Approval
Proposal to amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious Errors. Approved Yes 9/5/2017 8/14/2017
SR-Phlx-2017-65
Notice & Approval
A proposed rule change to further clarify when Nasdaq PSX will utilize the Secondary Source of data pursuant to Rule 3304. Approved Yes 9/7/2017 8/17/2017
SR-Phlx-2017-64
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend pricing related to PIXL executions. Approved Yes 9/6/2017 8/16/2017
SR-Phlx-2017-63
Notice & Approval
A proposal to amend Chapter VI, Section A of its Pricing Schedule relating to the Exchange's monthly permit fees for PSX only members. Approved Yes 9/6/2017 8/16/2017
SR-Phlx-2017-62
Withdrawal
Intellicator Analytic Tool Replaced by SR-Phlx-2017-74 No
SR-Phlx-2017-61
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule to: (i) increase the Options Transaction Charge for Specialists and Market Makers who engage in NDX transactions on the Exchange Floor; (ii) exclude NDX transactions from the Exchange's Monthly Firm Fee Ca Approved Yes 9/5/2017 8/15/2017
SR-Phlx-2017-60
Withdrawal
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend pricing related to PIXL executions. Replaced by SR-PHLX-2017-64 No
SR-Phlx-2017-59
Withdrawal
A proposal to amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious Errors. Replaced by SR-Phlx-2017-66 No
SR-Phlx-2017-58
Withdrawal
Proposed rule change to further clarify when Nasdaq PSX will utilize the Secondary Source of data pursuant to Rule 3304. Replaced by SR-Phlx-2017-65 No
SR-Phlx-2017-57
Notice & Approval
Proposal to amend Rule 1012, entitled Series of Options Open for Trading. Approved Yes 8/23/2017 8/2/2017
SR-Phlx-2017-56
Resubmission
Notice
Approval
A proposal to amend Rule 1027, Discretionary Accounts, to conform it more closely to a comparable rule of the Chicago Board Options Exchange. Approved Yes 8/25/2017 8/4/2017
SR-Phlx-2017-55
Resubmission 1
Resubmission 2
Notice
Approval
Proposal to amend Rules 1024, Conduct of Accounts for Options Trading, and 1025, Supervision of Accounts. Approved Yes 10/13/2017 9/22/2017
SR-Phlx-2017-54
Resubmission
Notice & Approval
Proposal to revise Section IV, Part D of the Pricing Schedule to more closely reflect the manner in which Phlx assesses and collects its Options Regulatory Fee. Approved Yes 9/5/2017 8/14/2017
SR-Phlx-2017-53
Notice & Approval
A proposal to amend Nasdaq Phlx Rules Section IX to make a sample of PHLX Options Trade Outline ("PHOTO") Historical Data for the period January 1 through June 30, 2014, available free of charge; current charges will continue to be assessed for PHOTO Hist Approved Yes 8/7/2017 7/17/2017
SR-Phlx-2017-52
Resubmission
Notice & Approval
Proposal to extend for another twelve (12) month time period the pilot program to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund, which list and trade under the symbol SPY. Approved Yes 8/3/2017 7/13/2017
SR-Phlx-2017-51
Withdrawal
A proposal to amend Phlx Rule 1017, entitled "Openings in Options." Replaced by SR-Phlx-2017-69 No
SR-Phlx-2017-50
Proposal to amend Commentary .01 of Rule 1014, Obligations and Restrictions Applicable to Specialists and Registered Options Traders, to change quarterly trading requirements applicable to Registered Options Traders. Replaced by SR-Phlx-2017-67 No
SR-Phlx-2017-49
Notice & Approval
Proposal to amend Rule 1029, Delivery of Options Disclosure Documents. Approved Yes 7/28/2017 7/7/2017
SR-Phlx-2017-48
Resubmission
Notice & Approval
Proposal to amend Phlx Rule 1082 regarding quote mitigation. Approved Yes 8/7/2017 7/17/2017
SR-Phlx-2017-47
Notice
SEC Extension
Amendment 1
Approval
Proposal to adopt Rule 996A (Consolidated Audit Trail - Fee Dispute Resolution) to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members. Approved Yes 7/14/2017 6/23/2017
SR-Phlx-2017-46
Withdrawal
Proposal to amend Commentary .01 of Rule 1014, Obligations and Restrictions Applicable to Specialists and Registered Options Traders, to change quarterly trading requirements applicable to Registered Options Traders. Replaced by SR-Phlx-2017-50 No
SR-Phlx-2017-45
Resubmission
Proposal to reserve Rule 1014(g)(vii) and (viii), which describes the allocation of automatically executed trades, and adopt a new Rule 1089 and title that rule "Execution Priority and Processing in the System." Rejected No
SR-Phlx-2017-44
Notice & Approval
Proposal to amend the Exchange's transaction fees at Section VIII (NASDAQ PSX Fees). Approved Yes 7/11/2017 6/20/2017
SR-Phlx-2017-43
Notice
Amendment 1
SEC Extension 1
Amendment 2
OIP
SEC Extension 2
Withdrawal
Notice of Withdrawal
Proposal to amend the Rule 3400 series relating to the Order Audit Trail System, Rule 785 relating to Electronic Blue Sheets, Rule 1022 relating to account identification, and Rule 1063 and Option Floor Procedure Advices and Order and Decorum Regulations Withdrawn Yes 6/26/2017 6/5/2017
SR-Phlx-2017-42
Withdrawal
A proposal to amend Rule 1092, Nullification and Adjustment of Options Transactions including Obvious Errors Replaced by SR-PHLX-2017-59 No
SR-Phlx-2017-41
Notice & Approval
A proposal to amend Rule 1012, Series of Options Open for Trading, with respect to long term options. Approved Yes 6/22/2017 6/1/2017
SR-Phlx-2017-40
Notice & Approval
Proposal to amend Rule 1017, Openings in Options, to conform this rule to recently filed Nasdaq ISE, LLC Rule 701. Approved Yes 6/27/2017 6/6/2017
SR-Phlx-2017-39
Resubmission 1
Resubmission 2
Notice & Approval
A proposed rule change to update and modernize Rule 1049, to be retitled Options Communications. Approved Yes 7/14/2017 6/23/2017
SR-Phlx-2017-38
Withdrawal
Proposal to amend Exchange Rule 3400 series relating to the Order Audit Trail System, Rule 785 relating to Electronic Blue Sheets, and Rule 1063 and Option Floor Procedure Advices and Order and Decorum Regulations C-2 relating to the Consolidated Options Replaced by SR-Phlx-2017-43 No
SR-Phlx-2017-37
Notice & Approval
Suspension
Amendment 1
SEC Extension
Amendment 2
Notice
Withdrawal
Notice of Withdrawal
Proposal to adopt a fee schedule to establish the fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail at Section XIV of the Phlx Pricing Schedule. Withdrawn Yes 1/4/2018 12/14/2017
SR-Phlx-2017-36
Notice & Approval
Proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through December 31, 2017 or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues. Approved Yes 6/21/2017 5/31/2017
SR-Phlx-2017-35
Withdrawal
Proposal to adopt a fee schedule to establish the fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail at Section XIV of the Phlx Pricing Schedule. Replaced by SR-Phlx-2017-37 No
SR-Phlx-2017-34
Resubmission 1
Resubmission 2
Notice
SEC Extension
Amendment 1
Approval
Proposal to amend Exchange Rule 1063 to add functionality to the Options Floor Broker Management System, the electronic system through which Exchange Floor Brokers transmit orders to the Exchange's trading system. Approved Yes 8/22/2017 8/1/2017
SR-Phlx-2017-33
Notice & Approval
Proposal to amend Rule 3317 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program Approved Yes 6/7/2017 5/17/2017
SR-Phlx-2017-32
Notice & Approval
Proposal to amend Rule 1002 of the Exchange Rules to make it consistent with the rules of its sister exchange, Nasdaq ISE, LLC. Approved Yes 5/18/2017 4/27/2017
SR-Phlx-2017-31
Notice & Approval
Proposal to amend the Exchange's transaction fees at Section VIII (NASDAQ PSX Fees) to provide an additional credit tier for displayed quotes and orders on NASDAQ PSX in securities that are listed on exchanges other than The NASDAQ Stock Market LLC or New Approved Yes 5/16/2017 4/25/2017
SR-Phlx-2017-30
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule at Section B, entitled "Customer Rebate Program," Section II, entitled "Multiply Listed Options Fees," and Section IV, Part B entitled "FLEX Transaction Fees" to remove references to MNX. Approved Yes 5/12/2017 4/21/2017
SR-Phlx-2017-29
Notice & Approval
Proposal to amend Section B of the Exchange's Pricing Schedule to create a new Category D and make other amendments to this section; and amend Section II of the Exchange's Pricing Schedule entitled "Multiply Listed Options Fees," to assess a surcharge re Approved Yes 5/12/2017 4/21/2017
SR-Phlx-2017-28
Withdrawal
Proposal to amend the Exchange's transaction fees at Section VIII, to provide an additional credit tier for displayed quotes and orders on NASDAQ PSX in securities that are listed on exchanges other than NASDAQ or NYSE. Replaced by SR-Phlx-2017-31 No
SR-Phlx-2017-27
Notice & Approval
Proposal to amend Rule 1092, entitled "Nullification and Adjustment of Options Transactions including Obvious Errors," by adding a new Commentary .04. Approved Yes 5/8/2017 4/17/2017
SR-Phlx-2017-26
Withdrawal
A proposal to amend Rule 1012, Series of Options Open for Trading, with respect to long term options and strike price intervals for Quarterly Options Series. Withdrawn No
SR-Phlx-2017-25
Resubmission
Notice & Approval
A proposal to amend the PHLX Pricing Schedule at Section VII(A), entitled "Option Trading Floor Fees," to establish fees for housing on the premises of the Exchange and for connecting servers and telecommunications equipment of members, member organizatio Approved Yes 4/20/2017 3/30/2017
SR-Phlx-2017-24
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options Fees," to amend pricing related to options overlying NDX and MNX. Approved Yes 4/10/2017 3/20/2017
SR-Phlx-2017-23
Notice & Approval
A proposal to amend the addresses for Phlx and its shareholder, Nasdaq, Inc. Approved Yes 4/10/2017 3/20/2017
SR-Phlx-2017-22
Notice & Approval
A proposal to amend Rule 3317 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program. Approved Yes 4/7/2017 3/17/2017
SR-Phlx-2017-21
Withdrawal
FILED IN ERROR AND IMMEDIATELY WITHDRAWN. Proposal to amend the Exchange Pricing Schedule, Section II, to increase the maximum Qualified Contingent Cross orders rebate which will be paid in a given month Withdrawn No
SR-Phlx-2017-20
Withdrawal
Proposal to amend the Exchange's Pricing Schedule at Section II, relating to options overlying NDX and MNX. Replaced by SR-Phlx-2017-24 No
SR-Phlx-2017-19
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule, Section II, to increase the maximum Qualified Contingent Cross orders rebate which will be paid in a given month. Approved Yes 3/27/2017 3/6/2017
SR-Phlx-2017-18
Notice & Approval
Proposal to amend Port Fees in Chapter VII at Part B to indicate those fees are not prorated. Approved Yes 3/31/2017 3/10/2017
SR-Phlx-2017-17
A proposal to amend Section VIII of the Phlx Pricing Schedule (PSX Last Sale and NASDAQ Last Sale Plus Data Feeds) to clarify the framework for sale of the data contained in the Nasdaq Last Sale Plus data feed to Professional Subscribers. Rejected No
SR-Phlx-2017-16
Notice & Approval
Proposal to amend Rule 1014 of the Options Rules relating to Market Maker Quotations. Approved Yes 3/23/2017 3/2/2017
SR-Phlx-2017-15
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend pricing related to PIXL executions. Approved Yes 3/17/2017 2/24/2017
SR-Phlx-2017-14
Withdrawal
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend pricing related to PIXL executions. Replaced by SR-Phlx-2017-15 No
SR-Phlx-2017-13
Notice & Approval
Proposal to amend the Exchange's subsidy program, the Market Access and Routing Subsidy, for Phlx members that provide certain order routing functionalities to other Phlx members and/or use such functionalities themselves. Approved Yes 3/9/2017 2/16/2017
SR-Phlx-2017-12
Withdrawal
Proposal to amend Rule 1002 of the Exchange rules, to make it consistent with the rules of PHLX sister exchange, the International Securities Exchange, with respect to exercise limits. Replaced by SR-Phlx-2017-32 No
SR-Phlx-2017-11
Withdrawal
Proposal to amend Rule 1002 of the Exchange's rules, to make it consistent with the rules of PHLX's sister exchange, the International Securities Exchange, with respect to exercise limits. Replaced by SR-Phlx-2017-12 No
SR-Phlx-2017-10
Withdrawal
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," and Section IV, Part A entitled "PIXL Pricing" to amend pricing related to PIXL executions. Replaced by SR-Phlx-2017-14 No
SR-Phlx-2017-09
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," and Section II, entitled "Multiply Listed Options Fees" to amend various transaction fees and rebates. Approved Yes 3/9/2017 2/16/2017
SR-Phlx-2017-08
Withdrawal
Amendments to the Market Access and Routing Subsidy. Replaced by SR-Phlx-2017-13 No
SR-Phlx-2017-07
Notice
Amendment 1
Approval
Proposal to adopt the Rule 900A Series to implement the compliance rule regarding the National Market System Plan Governing the Consolidated Audit Trail. Approved Yes 3/1/2017 2/8/2017
SR-Phlx-2017-06
Withdrawal
FILED IN ERROR AND IMMEDIATELY WITHDRAWN. A proposal to adopt the Rule 900A Series to implement the compliance rule regarding the National Market System Plan Governing the Consolidated Audit Trail. Withdrawn No
SR-Phlx-2017-05
Notice & Approval
Proposal to correct a typographical error in Phlx Rule 754. Approved Yes 2/27/2017 2/6/2017
SR-Phlx-2017-04
Resubmission
Notice
SEC Extension
Amendment 1
OIP
Amendment 2
Approval
A proposed rule change to permit the listing and trading of P.M.-settled NASDAQ-100 Index® options on a pilot basis. Approved Yes 2/24/2017 2/3/2017
SR-Phlx-2017-03
Withdrawal
A proposal to adopt the Rule 900A Series to implement the compliance rule regarding the National Market System Plan Governing the Consolidated Audit Trail. Replaced by SR-Phlx-2017-07 No
SR-Phlx-2017-02
Notice & Approval
Proposal to make adjustments to the Exchange's Options Regulatory Fee by amending Section IV, Part D, of the Pricing Schedule. Approved Yes 2/2/2017 1/12/2017
SR-Phlx-2017-01
Notice & Approval
A proposed rule change to extend the Cabinet Trading pilot program in Phlx Rule 1059, Accommodation Transactions. Approved Yes 2/9/2017 1/19/2017
rulebook-rulefilings-phlx-2016
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2016-127
A proposal to amend Rules 1024, Conduct of Accounts for Options Trading; 1025, Supervision of Accounts; 1027, Discretionary Accounts; 1029, Delivery of Options Disclosure Documents; and 1049, Communications to Customers. Rejected No
SR-Phlx-2016-126
Withdrawal
Proposal to make adjustments to its Options Regulatory Fee by amending Section IV, Part D, of the Pricing Schedule. Replaced by SR-Phlx-2017-02 No
SR-Phlx-2016-125
A proposal to reserve Rule 1014(g)(vii) and (viii), which describes the allocation of automatically executed trades, and adopt a new Rule 1089. Replaced by SR-Phlx-2017-45 No
SR-Phlx-2016-124
Resubmission
Notice & Approval
A proposal to delay the implementation of the Limit Order Protection (LOP) for members accessing PSX. Approved Yes 1/18/2017 12/28/2016
SR-Phlx-2016-123
A proposal to correct a typographical error. Replaced by SR-Phlx-2017-05 No
SR-Phlx-2016-122
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule to change the billing cycle for administrative fees paid by distributors of the Exchange's market data from annual to monthly. Approved Yes 1/19/2017 12/29/2016
SR-Phlx-2016-121
Notice & Approval
A proposal to amend Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) relating to the handling to certain Order Types in Test Group Three Pilot Securities. The Exchange also proposes to delete Commentary .14, which addresses t Approved Yes 1/17/2017 12/27/2016
SR-Phlx-2016-120
Amendment 1
Notice
Approval
Proposed rule change to permit Phlx to accept inbound options orders routed by Nasdaq Execution Services LLC from the ISE Exchanges. Approved Yes 1/19/2017 12/29/2016
SR-Phlx-2016-119
Amendment 1
Notice
Approval
A proposal to make permanent the PIXL Pilot in Phlx Rule 1080(n). Approved Yes 1/12/2017 12/22/2016
SR-Phlx-2016-118
Notice & Approval
A proposal to amend Phlx Rule 3317 to modify the web site data publication requirements relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program. Approved Yes 1/10/2017 12/20/2016
SR-Phlx-2016-117
Withdrawal
A proposal to make permanent certain pilots within Rule 1080(n) "Price Improvement XL" ("PIXL"). In addition, Phlx proposes to modify the requirements for PIXL auctions involving less than 50 contracts (other than auctions involving Complex Orders) where Replaced by SR-Phlx-2016-119 No
SR-Phlx-2016-116
Notice & Approval
A proposal to amend the allocation of Directed Orders as it relates to Complex Orders. Approved Yes 12/20/2016 11/29/2016
SR-Phlx-2016-115
Notice & Approval
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30, 2017 or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues, and to change the date when delisted classes may be repla Approved Yes 12/27/2016 12/5/2016
SR-Phlx-2016-114
Notice & Approval
A proposal to amend Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot). Approved Yes 12/23/2016 12/2/2016
SR-Phlx-2016-113
Resubmission
Notice & Approval
A proposal to delay implementation of the Limit Order Protection or "LOP" for members accessing PSX. Approved Yes 12/13/2016 11/22/2016
SR-Phlx-2016-112
Proposal to make minor typographical amendments to Rules 749 and 751 of the Phlx rules. Rejected No
SR-Phlx-2016-111
A proposal to amend the Exchange's connectivity fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule. Rejected No
SR-Phlx-2016-110
Notice & Approval
A proposal to amend Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot). Approved Yes 12/6/2016 11/15/2016
SR-Phlx-2016-109
Notice & Approval
Proposal to adopt Phlx Rule 765 (Prohibition Against Trading Ahead of Customer Orders) and to amend Rule 3404 (Recording of Order Information) to include an additional order reporting requirement related to one of the exceptions in Rule 765. Approved Yes 11/18/2016 10/28/2016
SR-Phlx-2016-108
Withdrawal
Proposal to amend Exchange Rule 1034, Minimum Increments. Withdrawn No
SR-Phlx-2016-107
Notice & Approval
Proposal to amend Exchange Rule 1079, FLEX Index, Equity, and Currency Options, at Section (b), Procedure for Quoting and Trading FLEX Options. Approved Yes 11/29/2016 11/8/2016
SR-Phlx-2016-106
Notice & Approval
Proposal to add Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) to provide the SEC with notice of its efforts to re-program its systems to eliminate a re-pricing functionality for certain orders in Test Gro Approved Yes 11/21/2016 10/31/2016
SR-Phlx-2016-105
Resubmission 1
Resubmission 2
Notice
Amendment 1
Approval
A proposal to amend Rule 501 (Specialist Appointment), Rule 507 (Application for Approval as an SQT, RSQT, or RSQTO and Assignment in Options), Rule 508 (Transfer Application), Rule 510 (SQT and RSQT Performance Evaluation), and Rule 511 (Specialist Alloc Approved Yes 1/30/2017 1/9/2017
SR-Phlx-2016-104
Notice
Approval
A proposal to amend Phlx Rule 748, Supervision. Approved Yes 11/24/2016 11/3/2016
SR-Phlx-2016-103
Withdrawal
A proposal to amend Exchange Rule 1079, FLEX Index, Equity and Currency Options, at Section (b), Procedure for Quoting and Trading FLEX Options. Replaced by SR-Phlx-2016-107 No
SR-Phlx-2016-102
Resubmission
Proposed rule change to adopt an investigatory and disciplinary process identical in all material respects to the investigatory and disciplinary processes of NASDAQ BX, Inc. and the NASDAQ Stock Market LLC. Replaced by SR-Phlx-2017-92 No
SR-Phlx-2016-101
Withdrawal
A proposal to adopt Phlx Rule 765 (Prohibition Against Trading Ahead of Customer Orders). Replaced by SR-Phlx-2016-109 No
SR-Phlx-2016-100
Notice & Approval
A proposal to amend the Pricing Schedule at Section IV, Part B titled "Flex Transaction Fees" to permit FLEX options to trade as strategies for purposes Section II Strategy Cap pricing. Approved No
SR-Phlx-2016-99
Withdrawal
A proposal to amend the Exchange's Pricing Schedule at Section IV, Part B titled "Flex Transaction Fees." Replaced by SR-Phlx-2016-100 No
SR-Phlx-2016-98
A proposal to amend Rule 1063, Responsibilities of Floor Brokers. Rejected No
SR-Phlx-2016-97
Notice
Approval
Proposal to delete outdated or unnecessary rule language contained in Rule 1020, section (b), and Commentary .01 through .06 Approved Yes 11/4/2016 10/14/2016
SR-Phlx-2016-96
Notice & Approval
A proposal to amend Options Floor Procedure Advice F-1, entitled "Use of Identification Letters and Numbers." Approved Yes 11/2/2016 10/12/2016
SR-Phlx-2016-95
Withdrawal
The Exchange is proposing to amend several provisions of Rule 748. A proposed rule change to upgrade and strengthen the Exchange's rules pertaining to supervisory obligations of its members and member organizations. Replaced by SR-Phlx-2016-104 No
SR-Phlx-2016-94
Withdrawal
A proposal to amend the Pricing Schedule at Section IV, Part B titled "Flex Transaction Fees" to permit FLEX options to trade as strategies for purposes Section II Strategy Cap pricing. Replaced by SR-Phlx-2016-99 No
SR-Phlx-2016-93
Notice
Amendment 1
Approval
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq, Inc., to implement proxy access. Approved Yes 10/26/2016 10/5/2016
SR-Phlx-2016-92
Notice
Amendment 1
Amendment 2
Amendment 3
Approval
Proposal to adopt paragraph (d) and Commentary .12 to Exchange Rule 3317 to describe changes to System functionality necessary to implement the Regulation NMS Plan to Implement a Tick Size Pilot Program ("Plan"). Approved Yes 10/11/2016 9/20/2016
SR-Phlx-2016-91
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ PSX FEES," ("Pricing Schedule") with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 10/5/2016 9/14/2016
SR-Phlx-2016-90
Notice & Approval
Proposed Rule Change to Amend Rule 3317 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program. Approved Yes 10/7/2016 9/16/2016
SR-Phlx-2016-89
Notice & Approval
Proposal to expand the Short Term Option Series Program to allow Wednesday expirations for SPY options. Approved Yes 9/21/2016 8/31/2016
SR-Phlx-2016-88
Notice & Approval
Proposal to amend a prior rule change, SR-Phlx- 2016-38, which inadvertently contained the incorrect Exhibit 3. Approved Yes 9/28/2016 9/7/2016
SR-Phlx-2016-87
A proposal to update and correct Rule 1080, Phlx XL, and Phlx XL II to provide a clearer and more detailed description of certain aspects of Phlx functionality. Rejected No
SR-Phlx-2016-86
Notice
SEC Extension
Approval
A proposal to delete or amend outdated rule language contained in Rules 1022, 1036, and 1037. Approved Yes 9/21/2016 8/31/2016
SR-Phlx-2016-85
Notice & Approval
Proposal to amend the Exchange's connectivity fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule. Approved Yes 9/20/2016 8/30/2016
SR-Phlx-2016-84
Resubmission
Notice & Approval
A proposal to amend Rule 1042A, Exercise of Options Contracts and Options Floor Procedure Advice G-1, Index Option Exercise Advice Forms. Approved Yes 9/23/2016 9/2/2016
SR-Phlx-2016-83
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section I titled "Rebates and Fees for Adding and Removing Liquidity in SPY" at Part A relating to Simple Orders for SPY options. Approved Yes 9/9/2016 8/19/2016
SR-Phlx-2016-82
Notice
SEC Extension
OIP
Amendment 1
Approval
Proposal to adopt a new exception in Rule 1000(f) permitting Floor Brokers to execute certain split price orders in the trading crowd rather than electronically through the Options Floor Broker Management System. Approved Yes 9/12/2016 8/22/2016
SR-Phlx-2016-81
Withdrawal
Proposal to amend the Exchange's connectivity fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule. Replaced by SR-PHLX-2016-85 No
SR-Phlx-2016-80
Withdrawal
Proposal to amend the Exchange's Pricing Schedule at Section I titled "Rebates and Fees for Adding and Removing Liquidity in SPY" at Part A, relating to Simple Orders for SPY options. Replaced by SR-Phlx-2016-83 No
SR-Phlx-2016-79
Resubmission
Notice
SEC Extension
Amendment 1
Amendment 2
Approval
Proposal to amend Rule 1017, Openings in Options. Approved Yes 9/12/2016 8/22/2016
SR-Phlx-2016-78
Notice & Approval
Proposal to amend and retitle Phlx Rule 754, which deals with employees' discretion as to customers' accounts. Approved Yes 8/22/2016 8/1/2016
SR-Phlx-2016-77
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule at Section IV, Part A, to amend Price Improvement XL (PIXL) Pricing. Approved Yes 8/18/2016 7/28/2016
SR-Phlx-2016-76
Notice & Approval
A proposed rule change to update Exchange Rule 3304 to amend the public disclosure of the sources of data that the Exchange utilizes when performing (1) order handling and execution; (2) order routing; and (3) related compliance processes. Approved Yes 8/19/2016 7/29/2016
SR-Phlx-2016-75
Notice & Approval
Proposed rule change to amend Exchange Rule 1080(n), Price Improvement XL ("PIXL") to extend, through January 18, 2017. PIXL Pilot. Approved Yes 8/8/2016 7/18/2016
SR-Phlx-2016-74
Resubmission
Withdrawal
PIXL Pilot. A proposed rule change to amend Exchange Rule 1080(n), Price Improvement XL ("PIXL") to extend, through January18, 2017. Replaced by SR-Phlx-2016-75 No
SR-Phlx-2016-73
Notice & Approval
Proposal to adopt rules under Rule 3317 to implement the quoting and trading provisions of the Plan to Implement a Tick Size Pilot Program submitted to the Commission pursuant to Rule 608 of Regulation NMS under the Act. Approved Yes 8/9/2016 7/19/2016
SR-Phlx-2016-72
Notice & Approval
Relating to Detection of Loss of Connection. Approved Yes 7/27/2016 7/6/2016
SR-Phlx-2016-71
Proposal to amend Rule 1017, Openings in Options. Replaced by SR-PHLX-2016-79 No
SR-Phlx-2016-70
Resubmission
Notice & Approval
A proposed rule change to amend Rule 3100 and the Exchange process for commencing trading of a security that is the subject of a trading halt. Approved Yes 8/2/2016 7/12/2016
SR-Phlx-2016-69
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule at Section B, entitled "Customer Rebates," and Section IV, Part E., entitled "Market Access and Routing Subsidy to propose a change regarding the MARS Payment. Approved Yes 7/18/2016 6/27/2016
SR-Phlx-2016-68
Notice & Approval
Proposal to extend for another twelve month time period the pilot program to eliminate position limits for options on the SPDR S&P 500 exchange-traded fund. Relating to SPY Position Limits Pilot. Approved Yes 7/19/2016 6/28/2016
SR-Phlx-2016-67
Notice & Approval
A proposal to amend Rule 1095 ("Automated Removal of Quotes") to modify the minimum Specified to enable a Market Maker to enhance their risk management for an underlying security as market conditions warrant, based on their own risk tolerance level and qu Approved Yes 7/19/2016 6/28/2016
SR-Phlx-2016-66
A proposal to update and modernize rules 501, 507, 508, 510 and 511. Replaced by SR-Phlx-2016-105 No
SR-Phlx-2016-65
Withdrawal
Proposal to amend the Exchange's Pricing Schedule ("Pricing Schedule") at Section B, entitled "Customer Rebates," and Section IV. E., entitled "Market Access and Routing Subsidy." Replaced by SR-Phlx-2016-69 No
SR-Phlx-2016-64
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX FEES." Approved Yes 7/6/2016 6/15/2016
SR-Phlx-2016-63
Notice & Approval
A proposal to relocate and update the existing provisions of Rule 1080.07 to add new Rule 1098. Approved Yes 7/5/2016 6/13/2016
SR-Phlx-2016-62
Resubmission 1
Resubmission 2
Resubmission 3
Resubmission 4
Notice & Approval
A proposal to amend the Preface, Section B and Section II of the Exchange's Pricing Schedule. Approved Yes 8/17/2016 7/27/2016
SR-Phlx-2016-61
Notice & Approval
A proposal to amend certain rules governing trading of index options. Approved Yes 7/5/2016 6/13/2016
SR-Phlx-2016-60
Notice & Approval
Proposal to amend Rule 1000A, Applicability and Definitions. The rule applies to index options. Approved Yes 6/28/2016 6/7/2016
SR-Phlx-2016-59
Notice & Approval
A proposal to amend Section IV, Part A of the Pricing Schedule entitled "PIXL Pricing." Approved Yes 6/22/2016 6/1/2016
SR-Phlx-2016-58
Resubmission
Notice
Amendment 1
Approval
Proposal to amend NASDAQ OMX PSX Rule 3307, entitled "Processing of Orders" to adopt a Limit Order Protection or "LOP" for members accessing PSX. Approved Yes 8/3/2016 7/13/2016
SR-Phlx-2016-57
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule at Section B, entitled "Customer Rebate Program." Approved Yes 6/7/2016 5/17/2016
SR-Phlx-2016-56
Withdrawal
PIXL Pricing. Replaced by SR-Phlx-2016-59 No
SR-Phlx-2016-55
Notice & Approval
Proposal to modify the maximum number of times an Order on PSX may be updated before the System cancels the Order. Approved Yes 6/6/2016 5/16/2016
SR-Phlx-2016-54
Withdrawal
A proposal to amend the Exchange's Pricing Schedule at Section B, entitled "Customer Rebate Program." Replaced by SR-Phlx-2016-57 No
SR-Phlx-2016-53
Notice & Approval
A proposed rule change to update Exchange Rule 3304. Approved Yes 5/23/2016 5/2/2016
SR-Phlx-2016-52
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section II. Approved Yes 5/19/2016 4/28/2016
SR-Phlx-2016-51
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options Fees." Approved Yes 5/18/2016 4/27/2016
SR-Phlx-2016-50
Withdrawal
Proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options Fees." Replaced by SR-Phlx-2016-51 No
SR-Phlx-2016-49
Notice & Approval
Proposal to delete Rule 971, entitled "Termination of Memberships and Equity Trading Permits and Leases and A-B-C Agreements Relating to Memberships and ETP Use Agreements," to delete Rule 972, entitled "Continuation of Status After the NASDAQ OMX Merger, Approved Yes 5/16/2016 4/25/2016
SR-Phlx-2016-48
Notice & Approval
A proposal to amend Rule 606 (Communications and Equipment). Approved Yes 5/19/2016 4/28/2016
SR-Phlx-2016-47
Resubmission
Notice & Approval
Proposal to amend Phlx Rule 1034 (Minimum Increments) to extend the Penny Pilot Program through June 30, 2017 or the date of permanent approval. Approved Yes 7/11/2016 6/20/2016
SR-Phlx-2016-46
Proposed rule change to adopt an investigatory and disciplinary process identical in all material respects to the investigatory and disciplinary processes of NASDAQ BX, Inc. ("BX") and the NASDAQ Stock Market LLC ("NASDAQ"). Replaced by SR-Phlx-2016-102 No
SR-Phlx-2016-45
Notice & Approval
A proposed rule change to modify NASDAQ PHLX LLC Pricing Schedule Chapter VII (OTHER MEMBER FEES), Section B (Port Fees). Approved Yes 5/10/2016 4/19/2016
SR-Phlx-2016-44
Notice & Approval
A proposal to delete two incorrect cross-references in Rule 1064, Crossing, Facilitation and Solicited Orders. Approved Yes 5/3/2016 4/12/2016
SR-Phlx-2016-43
Withdrawal
Proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options Fees." Replaced by SR-Phlx-2016-50 No
SR-Phlx-2016-42
Notice & Approval
Proposal to amend the Exchange's Pricing Schedule; specifically, the Qualified Contingent Cross rebates and certain floor Options Transaction Charges. Approved Yes 5/6/2016 4/15/2016
SR-Phlx-2016-41
Resubmission
Notice & Approval
A proposal to make clarifying amendments to Exchange Rules 1053, Filing of Trade Information, and 1056, Maintaining Office and Filing Signatures. Approved Yes 7/13/2016 6/22/2016
SR-Phlx-2016-40
Notice & Approval
A proposal to amend Phlx Rule 1080, entitled "Phlx XL and Phlx XL II" to amend the length of time of a Price Improvement XL or PIXLSM Auction and make other rule changes. Approved Yes 5/4/2016 4/13/2016
SR-Phlx-2016-39
Notice & Approval
A proposal to adopt Exchange Rule 3317 to implement the Regulation NMS Plan to Implement a Tick Size Pilot Program. Approved Yes 4/22/2016 4/1/2016
SR-Phlx-2016-38
Resubmission 1
Resubmission 2
Resubmission 3
Resubmission 4
Resubmission 5
Notice & Approval
Proposal to amend Exchange Rules 900.1, 910, and 921 in order to harmonize them with Nasdaq and BX rules and to modernize the Exchange's Rulebook. Approved Yes 6/22/2016 6/1/2016
SR-Phlx-2016-37
Notice & Approval
Proposal to delete Rule 756 from the Phlx rules. Approved Yes 4/21/2016 3/31/2016
SR-Phlx-2016-36
Notice & Approval
A proposal to delete the following Rules: 902 entitled, "Admission to Partnership-Partnership Arrangements"; and 907 entitled "Partners and Officers." Approved Yes 4/26/2016 4/5/2016
SR-Phlx-2016-35
A proposal to amend Rule 606, which applies to the use of electronic communication devices on the options floor, to: 1) limit the use of a communication device under certain circumstances; 2) describe the process for changing registration and web-based an Replaced by SR-Phlx-2016-48 No
SR-Phlx-2016-34
Notice & Approval
A proposal to amend the Exchange's Continuing Education fee schedule. Approved Yes 4/21/2016 3/31/2016
SR-Phlx-2016-33
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY." Approved Yes 4/7/2016 3/17/2016
SR-Phlx-2016-32
Notice & Approval
A proposal to amend Rule 124, Disputes-Options and the corollary Options Floor Procedure Advice F-27, Options Exchange Official Rulings. Approved Yes 3/31/2016 3/10/2016
SR-Phlx-2016-31
Notice & Approval
A proposal to amend the Exchange's Access Services fees under Chapter VIII of the Exchange's Pricing Schedule. Approved Yes 3/30/2016 3/9/2016
SR-Phlx-2016-30
Resubmission 1
Resubmission 2
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule to (1) remove unnecessary rule text and footnotes; (2) update names of Nasdaq exchanges to reflect a recent name change; (3) update the current definitions to add detail and rearrange rule text; and (4) Approved Yes 3/29/2016 3/8/2016
SR-Phlx-2016-29
A proposal to delete two incorrect cross-references in Rule 1064, Crossing, Facilitation and Solicited Orders. Replaced by SR-Phlx-2016-44 No
SR-Phlx-2016-28
Resubmission
Withdrawal
Proposal to amend the Exchange's Continuing Education fee schedule. Replaced by SR-Phlx-2016-34 No
SR-Phlx-2016-27
Withdrawal
Proposal to amend the Exchange's Access Services fees under Chapter VIII of the Exchange's Pricing Schedule Replaced by SR-Phlx-2016-31 No
SR-Phlx-2016-26
Notice & Approval
Proposal to amend Pricing Schedule to exclude floor volume from the Monthly Market Maker Cap, increase assessment for select Firm electronic simple orders, and state that members that executed MARS Eligible Contracts may receive MARS Payment. Approved Yes 3/22/2016 3/1/2016
SR-Phlx-2016-25
Resubmission
Proposal to relocate and update the existing provisions of Rule 1080.07 to new Rule 1098. Replaced by SR-Phlx-2016-63 No
SR-Phlx-2016-24
Withdrawal
Proposal to amend the Exchange's Pricing Schedule ("Pricing Schedule") at Section II, entitled "Multiply Listed Options Fees." Replaced by SR-Phlx-2016-26 No
SR-Phlx-2016-23
Resubmission
Notice & Approval
Adopt a Kill Switch Approved Yes 3/24/2016 3/3/2016
SR-Phlx-2016-22
Notice & Approval
Proposed rule change to delete Rule 505 (Allocation, Reallocation and Transfer of Issues) and update Rule 506 (Allocation Application) Approved Yes 3/10/2016 2/18/2016
SR-Phlx-2016-21
Resubmission 1
Resubmission 2
Resubmission 3
Notice & Approval
Proposal to amend the Phlx Pricing Schedule at Section I, entitled "Rebates and Fees for Adding and Removing Liquidity in SPY," specifically related to PIXL executions in options overlying SPY. Approved Yes 4/14/2016 3/24/2016
SR-Phlx-2016-20
Resubmission 1
Resubmission 2
Notice & Approval
The Exchange proposes to delete Phlx membership rules in order to harmonize and modernize the Exchange's Rulebook: 903 (Fixed Interest of Partner), 904 (Use of a Partnership Name), 905 (Special or Limited Partners), 906 (Notice of Change in Partnership). Approved Yes 3/17/2016 2/25/2016
SR-Phlx-2016-19
Notice & Approval
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot program. Approved Yes 3/15/2016 2/23/2016
SR-Phlx-2016-18
Withdrawal
Proposal to amend the Exchange's Pricing Schedule ("Pricing Schedule") at Section II, entitled "Multiply Listed Options Fees." Replaced by SR-PHLX-2016-24 No
SR-Phlx-2016-17
Withdrawal
A proposal to amend the Exchange's Access Services fees under Chapter VIII of the Exchange's Pricing Schedule to: (i) assess a $25/port/month Disaster Recovery Port fee; and (ii) assess a $100/port/month fee for Trading Ports used in Test Mode. Replaced by SR-Phlx-2016-27 No
SR-Phlx-2016-16
Notice & Approval
Proposal to delete obsolete Rules 1000C - 1009C, collectively captioned Rules Applicable to Trading of PHLX FOREX Optionsâ„¢. Approved Yes 3/4/2016 2/12/2016
SR-Phlx-2016-15
Proposal to introduce a new Options Floor Broker Management System ("FBMS") feature. Rejected No
SR-Phlx-2016-14
Resubmission
Notice & Approval
A proposal to amend Rule 1066, Certain Types of Floor-Based (Non-PHLX XL) Orders Defined. Approved Yes 3/11/2016 2/19/2016
SR-Phlx-2016-13
Withdrawal
A proposal to amend Rule 124 (Disputes-Options) and the corollary Options Floor Procedure Advice F-27 to update the rules under which disputes can be addressed as well as to update the appeal fee. Replaced by SR-Phlx-2016-32 No
SR-Phlx-2016-12
Notice
Withdrawal
Notice of Withdrawal
A proposal to amend NASDAQ OMX PSX Rule 3307, entitled "Processing of Orders." Withdrawn Yes 2/26/2016 2/5/2016
SR-Phlx-2016-11
A proposal to amend Rule 1017, Openings in Options. Rejected No
SR-Phlx-2016-10
Notice
Amendment 1
Approval
A proposal to amend Exchange Rule 1000(b)(14) (Applicability, Definitions and References). Approved Yes 3/2/2016 2/10/2016
SR-Phlx-2016-09
Resubmission
Notice & Approval
Proposal to adopt a "Policy for Amending Billing Information" and a Research Fee. Approved Yes 3/14/2016 2/22/2016
SR-Phlx-2016-08
Withdrawal
A proposal to amend Rule 1066 (Certain Types of Floor-Based (Non-PHLX XL) Orders Defined) by deleting obsolete and duplicative provisions. Replaced by SR-Phlx-2016-14 No
SR-Phlx-2016-07
Notice & Approval
A proposal to add headings to certain paragraphs to make it easier to locate topics and to move the language from two commentaries into the body of the rule to improve readability. Approved Yes 2/24/2016 2/3/2016
SR-Phlx-2016-06
Notice & Approval
A proposal to amend Rule 1014(c)(i)(A)(1)(b) respecting U.S. dollar-settled foreign currency options ("FCO") quote spread parameters, also known as bid/ask differentials. Approved Yes 2/17/2016 1/27/2016
SR-Phlx-2016-05
Withdrawal
A proposal to amend NASDAQ OMX PSX rule 3307 ("Processing of Orders") to adopt a Limit Order Protection or "LOP" and a Market Order Protection for members accessing PSX. Replaced by SR-Phlx-2016-12 No
SR-Phlx-2016-04
Resubmission 1
Resubmission 2
Notice & Approval
Proposal to make adjustments to its Options Regulatory Fee ("ORF") by amending Section IV, Part D of the Pricing Schedule. Approved Yes 2/29/2016 2/8/2016
SR-Phlx-2016-03
Notice & Approval
A proposal to make non-substantive, clarifying amendments to several rules relating to clearing of Exchange options transactions. Approved Yes 2/16/2016 1/25/2016
SR-Phlx-2016-02
Notice & Approval
A proposal to delete obsolete Rules 1000B - 1012B, collectively captioned Rules Applicable to Trading of Cash Index Participations, and to amend Rule 722, Miscellaneous Securities Margin Accounts. Approved Yes 2/11/2016 1/21/2016
SR-Phlx-2016-01
Notice & Approval
A proposal to delete from the Phlx rulebook rules 792, 794, 797, and 798,798, which generally concern member organization governance and ownership. The Exchange has determined that these rules are anachronistic and no longer serve a purpose. Approved Yes 2/11/2016 1/21/2016
rulebook-rulefilings-phlx-2015
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2015-120
A proposal to modify fee schedule Chapter VII Section B to identify Purge Ports and to set the fees applicable to Purge Ports. The Exchange also is making technical, non-substantive modifications to the certain existing provisions in Chapter VII Section Rejected No
SR-Phlx-2015-118
Notice & Approval
A proposal to amend Section (a)(4) of Rule 640, Continuing Education for Registered Persons, to provide for web-based delivery of the Exchange's continuing education program. The proposed rule change would phase out the current option of completing the Re Approved Yes 2/9/2016 1/19/2016
SR-Phlx-2015-117
A proposal to make adjustments to its Options Regulatory Fee. Replaced by SR-PHLX-2016-04 No
SR-Phlx-2015-116
A proposal to amend Exchange Rule 1014 to specify the manner in which the trading system will round fractional shares and allocate residual contracts in the Order Book. Rejected No
SR-Phlx-2015-115
Notice & Approval
Proposed rule change to amend Chapter VIII of the Pricing Schedule to clarify the connectivity options and application of the fees assessed. Approved Yes 2/5/2016 1/15/2016
SR-Phlx-2015-114
Notice & Approval
A proposal to correct the text of Rule 1060. Approved Yes 1/27/2016 1/6/2016
SR-Phlx-2015-113
Amendment 1
Amendment 2
Amendment Withdrawal
Notice
Approval
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq, Inc. Approved Yes 1/28/2016 1/7/2016
SR-Phlx-2015-112
Notice & Approval
A proposed rule change to modify the charges to be paid for Managed Data Solutions ("MDS"). Approved Yes 1/27/2016 1/6/2016
SR-Phlx-2015-111
Notice & Approval
The Exchange purposes to increase the Options Surcharge in MNX and NDX. Approved Yes 1/25/2016 1/4/2016
SR-Phlx-2015-110
Notice & Approval
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees. Approved Yes 1/20/2016 12/30/2015
SR-Phlx-2015-109
Resubmission
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options Fees." Approved Yes 2/4/2016 1/14/2016
SR-Phlx-2015-108
Withdrawal
A proposal to update Rule 1060. Replaced by SR-Phlx-2015-114 No
SR-Phlx-2015-107
Withdrawal
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees. Replaced by SR-Phlx-2015-110 No
SR-Phlx-2015-106
Notice & Approval
A proposal to delete obsolete rule language and amend outdated references relating to Exchange Rule 1047, Trading Rotations, Halts and Suspensions. Approved Yes 1/14/2016 12/24/2015
SR-Phlx-2015-105
Notice & Approval
A proposed rule change with respect to amendments of its Certificate of Formation, By-Laws and First Amended Limited Liability Company Agreement to change its name to NASDAQ PHLX LLC. Approved Yes 1/11/2016 12/21/2015
SR-Phlx-2015-104
Notice & Approval
A proposal to delete Rule 108, Bids and Offers to Be Made Within Six Feet of Post. Approved Yes 1/11/2016 12/21/2015
SR-Phlx-2015-103
Notice & Approval
A proposed rule change to extend the pilot program in Rule 1059, Accommodation Transactions. Cabinet Trading Below $1 Pilot. Approved Yes 1/12/2016 12/22/2015
SR-Phlx-2015-102
Resubmission
Notice & Approval
A proposal to delete Rule 1068, Execution of Multi-Part Orders, as described further below. Approved Yes 1/19/2016 12/29/2015
SR-Phlx-2015-101
A proposal to introduce a new Options Floor Broker Management System ("FBMS") feature. Rejected No
SR-Phlx-2015-100
Withdrawal
A proposal to introduce a new Options Floor Broker Management System ("FBMS") feature. Replaced by SR-Phlx-2015-101 No
SR-Phlx-2015-99
Resubmission
Notice & Approval
Order Exposure and PRISM. Approved Yes 1/27/2016 1/6/2016
SR-Phlx-2015-98
Notice & Approval
A proposed rule change to to amend certain charges and fees for order execution and routing applicable to the use of the order execution and routing services of PSX by member organizations for all securities traded at $1 or more per share. Approved Yes 1/7/2016 12/17/2015
SR-Phlx-2015-97
Withdrawal
A proposed rule change with respect to amendments of its Certificate of Formation, By-Laws and First Amended Limited Liability Company Agreement to change its name to NASDAQ PHLX LLC. Replaced by SR-Phlx-2015-105 No
SR-Phlx-2015-96
A proposal to adopt new Exchange Rule 1081, Solicitation Mechanism. Rejected No
SR-Phlx-2015-95
A proposal to amend Phlx Rule 1080, entitled "Phlx XL and Phlx XL II" to amend the length of time of a Price Improvement XL or PIXLSM Auction. Rejected No
SR-Phlx-2015-94
Resubmission
Notice
SEC Extension
Amendment 1
Approval
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to make permanent a pilot program. Approved Yes 1/4/2016 12/14/2015
SR-Phlx-2015-93
Notice & Approval
A proposal to amend Rule 1094 ("Sponsored Participants") to: (1) define the terms "Sponsored Access" and "Customer Agreement;" (2) specify the requirements to comply with SEC Rule 15c3-5 ("Market Access Rule"); (3) remove the requirement that each Sponsor Approved Yes 12/14/2015 11/23/2015
SR-Phlx-2015-92
Notice & Approval
A proposal to establish the Securities Trader and Securities Trader Principal registration categories. Approved Yes 12/8/2015 11/17/2015
SR-Phlx-2015-91
Notice & Approval
A proposal to amend Phlx Rule 1014 entitled "Obligations and Restrictions Applicable to Specialists and Registered Options Traders" to remove the maximum option price change from the Rule. Approved Yes 12/11/2015 11/20/2015
SR-Phlx-2015-90
Notice & Approval
A proposal to adopt business continuity and disaster recovery plans testing requirements for certain Exchange Member Organizations and PSX Participants in connection with Regulation SCI. Approved Yes 12/3/2015 11/12/2015
SR-Phlx-2015-89
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section IV to create a subsidy program, the Market Access and Routing Subsidy or "MARS," for Phlx members that provide certain order routing functionalities3 to other Phlx members and/or use such func Approved Yes 12/11/2015 11/20/2015
SR-Phlx-2015-88
Withdrawal
A proposal to adopt business continuity and disaster recovery plans. Replaced by SR-Phlx-2015-90 No
SR-Phlx-2015-87
Notice & Approval
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees. Approved Yes 12/8/2015 11/17/2015
SR-Phlx-2015-86
Notice & Approval
A proposed rule change to extend the pilot program regarding Rule 1047(f)(v), which provides for how the Exchange treats obvious and catastrophic options errors in response to the Limit Up-Limit Down Plan. The Exchange proposes to extend the pilot period Approved Yes 11/18/2015 10/28/2015
SR-Phlx-2015-85
Resubmission 1
Resubmission 2
Notice & Approval
A proposal to delete sections of Rule 1020, Registration and Functions of Options Specialists. Approved Yes 1/14/2016 12/24/2015
SR-Phlx-2015-84
Withdrawal
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees, entitled PSX Last Sale Data Feeds and NASDAQ Last Sale Plus Data Feeds. Replaced by SR-Phlx-2015-87 No
SR-Phlx-2015-83
Notice & Approval
A proposal to amend Rule 1093 entitled "Phlx XL Risk Monitor Mechanism." Approved Yes 11/25/2015 11/4/2015
SR-Phlx-2015-82
Resubmission
Notice & Approval
A proposal to amend Commentary .13 to Rule 1012. Approved Yes 11/13/2015 10/23/2015
SR-Phlx-2015-81
Resubmission
Notice & Approval
A proposal to modify Pricing Schedule at Chapter VII to adopt a new Section E, entitled "Testing Facilities" which describes fees in connection with the use of the Testing Facility ("NTF") test environment located in Carteret, New Jersey. Approved Yes 11/20/2015 10/30/2015
SR-Phlx-2015-80
Notice & Approval
A proposal to extend the implementation rollout of its enhanced Options Floor Broker Management System. Approved Yes 11/13/2015 10/23/2015
SR-Phlx-2015-79
Notice
Approval
A proposal to refund Specialists and Market Makers a certain portion of the variable Active SQF Port Fee. Approved Yes 11/3/2015 10/13/2015
SR-Phlx-2015-78
Notice & Approval
A proposal to amend the Pricing Schedule under Section VIII, entitled NASDAQ OMX PSX FEES. Approved Yes 10/7/2015 9/16/2015
SR-Phlx-2015-77
A proposal to refund Specialists and Market Makers a certain portion of the variable Active SQF Port Fee. Rejected No
SR-Phlx-2015-76
Notice & Approval
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees, entitled PSX Last Sale Data Feeds and NASDAQ Last Sale Plus Data Feeds. Approved Yes 10/7/2015 9/16/2015
SR-Phlx-2015-75
Notice & Approval
A proposal to amend Phlx Pricing Schedule Section I ("Rebates and Fees for Adding and Removing Liquidity in SPY") by assessing all market participants other than Customers a fee of $0.15 per contract for executions against an order for which the Exchange Approved Yes 10/6/2015 9/15/2015
SR-Phlx-2015-74
Notice & Approval
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot program. Approved Yes 9/25/2015 9/4/2015
SR-Phlx-2015-73
Notice & Approval
A proposal to amend Rules 782, entitled "Manipulative Operations" to enumerate manipulative trading practices which are already prohibited, but not specified. Approved Yes 9/23/2015 9/2/2015
SR-Phlx-2015-72
Notice & Approval
A proposed rule change to amend Chapter VIII of NASDAQ OMX PSX Fees, entitled PSX Last Sale Data Feeds, with language regarding NASDAQ Last Sale Plus. Approved Yes 9/22/2015 9/1/2015
SR-Phlx-2015-71
Notice & Approval
A proposal to make adjustments to its Options Regulatory Fee by amending Section IV, Part D of the Pricing Schedule. Approved Yes 9/17/2015 8/27/2015
SR-Phlx-2015-70
Notice & Approval
A proposed rule change to update Exchange Rule 3304. Approved Yes 9/3/2015 8/13/2015
SR-Phlx-2015-69
Withdrawal
A proposed rule change to update Exchange Rule 3304 to amend the public disclosure of the sources of data that the Exchange utilizes when performing (1) order handling and execution; (2) order routing; and (3) related compliance processes. Replaced by SR-Phlx-2015-70 No
SR-Phlx-2015-68
Notice & Approval
A proposal to amend Pricing Schedule Section B ("Customer Rebate Program") to: (i) indicate that Category A rebates for certain Customer Simple Orders in Penny Pilot and non-Penny Pilot Options will increase specifically for Tiers 3, 4, and 5; (ii) establ Approved Yes 9/10/2015 8/20/2015
SR-Phlx-2015-67
Notice & Approval
A proposal to extend the implementation timeframe for adopting two new Phlx Market Maker risk protections, a volume-based threshold and a multi-trigger threshold. Approved Yes 8/26/2015 8/5/2015
SR-Phlx-2015-66
Notice & Approval
A proposed rule change to amend Rule 3301B(a) to remove the Market Hours Immediate or Cancel Time-in-Force. Approved Yes 8/26/2015 8/5/2015
SR-Phlx-2015-65
Notice & Approval
A proposal to (1) amend Rule 1092; (2) amend Rule 124 and (3) modify the Phlx Pricing Schedule. Approved Yes 8/14/2015 7/24/2015
SR-Phlx-2015-64
Withdrawal
A proposal to (1) amend proposed new Rule 1092; (2) amend Rule 124 and (3) to modify the Phlx Pricing Schedule. Replaced by SR-Phlx-2015-65 No
SR-Phlx-2015-63
Notice & Approval
A proposed rule change to amend Exchange Rule 1080(n), Price Improvement XL to extend, through July 18, 2016, a pilot program. Approved Yes 8/12/2015 7/22/2015
SR-Phlx-2015-62
A proposal to introduce a new Options Floor Broker Management System. Rejected No
SR-Phlx-2015-61
Notice & Approval
A proposal to amend pricing in Section B, entitled "Customer Rebate Program," Section II, entitled "Multiply Listed Options Fees," and Section III, entitled "Singly Listed Options," of the Pricing Schedule. Approved Yes 8/11/2015 7/21/2015
SR-Phlx-2015-60
Resubmission
Notice & Approval
A proposal to extend the pilot program that eliminates position limits for options on the SPDR® S&P 500® exchange-traded fund. Approved No
SR-Phlx-2015-59
Withdrawal
A proposal to amend Pricing Schedule Section B, entitled "Customer Rebate Program," Section II, entitled "Multiply Listed Options Fees," and Section III, entitled "Singly Listed Options". The Exchange proposes these amendments in order to: (i) increase th Replaced by SR-Phlx-2015-61 No
SR-Phlx-2015-58
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 8/10/2015 7/20/2015
SR-Phlx-2015-57
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section II, entitled "Multiply Listed Options Fees." Approved Yes 8/7/2015 7/17/2015
SR-Phlx-2015-56
Notice & Approval
A proposed rule change to amend Rule 3301A(b) to introduce the Midpoint Peg Post-Only Order for use on the NASDAQ OMX PSX System. Approved Yes 8/6/2015 7/16/2015
SR-Phlx-2015-55
Resubmission
Notice & Approval
A proposal to amend various options rules to reflect the recent renumbering of Rule 1080.08 as Rule 1080.07. Approved Yes 8/7/2015 7/17/2015
SR-Phlx-2015-54
Notice & Approval
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30, 2016 or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues Approved Yes 7/21/2015 6/30/2015
SR-Phlx-2015-53
Withdrawal
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30, 2016 or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain issues. Replaced by SR-Phlx-2015-54 No
SR-Phlx-2015-52
Resubmission
Notice & Approval
A proposal to adopt new Phlx Rule 1095 entitled "Automated Removal of Market Maker Quotes". The Exchange proposes to adopt two new Phlx Market Maker risk protections, a volume-based threshold and a multi-trigger threshold. Approved Yes 8/3/2015 7/13/2015
SR-Phlx-2015-51
Notice & Approval
A proposal to amend Section (p)(3), Order Price Protection, of Exchange Rule1080, Obligations and Restrictions Applicable to specialists and Registered Options Traders. Approved Yes 7/17/2015 6/26/2015
SR-Phlx-2015-50
A proposal to amend various options rules to reflect the recent renumbering of Rule 1080.08 as Rule 1080.07. Replaced by SR-Phlx-2015-55 No
SR-Phlx-2015-49
Notice
SEC Extension 1
OIP
Amendment 1
Amendment 2
SEC Extension 2
Approval
A proposed rule change to amend and correct Rule 1080.07. Approved Yes 7/14/2015 6/23/2015
SR-Phlx-2015-48
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule under Section VIII. Approved Yes 7/7/2015 6/16/2015
SR-Phlx-2015-47
Withdrawal
A proposal to amend the Exchange's Pricing Schedule under Section VIII. Replaced by SR-Phlx-2015-48 No
SR-Phlx-2015-46
Notice
Approval
A proposed rule change with respect to amendments of the Amended and Restated Certificate of Incorporation and By-Laws of its parent corporation The NASDAQ OMX Group, Inc. to change the name of the parent to Nasdaq, Inc. Approved Yes 6/23/2015 6/2/2015
SR-Phlx-2015-45
Notice & Approval
A proposal to amend the Exchange Pricing Schedule under Section VIII with respect to execution and routing of orders in securities priced at one dollar or more per share. Approved Yes 6/22/2015 6/1/2015
SR-Phlx-2015-44
A proposed rule change to amend and correct Rule 1080.07. Replaced by SR-Phlx-2015-49 No
SR-Phlx-2015-43
Resubmission
Notice & Approval
A proposal to replace current Rule 1092 entitled Obvious Errors and Catastrophic Errors, with new Rule 1092, entitled Nullification and Adjustment of Options Transactions including Obvious Errors. Approved Yes 6/4/2015 5/14/2015
SR-Phlx-2015-42
Withdrawal
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or more per share. Replaced by SR-Phlx-2015-45 No
SR-Phlx-2015-41
Withdrawal
A proposal to replace current Rule 1092 entitled Obvious Errors and Catastrophic Errors, with new Rule 1092 entitled Nullification and Adjustment of Options Transactions including Obvious Errors. Replaced by SR-Phlx-2015-43 No
SR-Phlx-2015-40
Withdrawal
A proposal to replace current Rule 1092 entitled Obvious Errors and Catastrophic Errors, with new Rule 1092 entitled Nullification and Adjustment of Options Transactions including Obvious Errors. Replaced by SR-PHLX-2015-41 No
SR-Phlx-2015-39
Notice & Approval
A proposal to update the public disclosure of the sources of data that PSX, the PHLX equities facility, utilizes when performing (1) order handling and execution; (2) order routing; and (3) related compliance processes. Approved Yes 6/10/2015 5/20/2015
SR-Phlx-2015-38
Withdrawal
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX FEES." Replaced by SR-Phlx-2015-42 No
SR-Phlx-2015-37
Notice & Approval
A proposal to amend Exchange rules to describe how All-or-None orders are handled by its new Options Floor Broker Management System. Approved Yes 6/1/2015 5/11/2015
SR-Phlx-2015-36
Notice & Approval
A proposal to amend the Phlx Pricing Schedule ("Pricing Schedule") at Section VI pertaining to the Phlx Permit Fee and at Section VII pertaining to the Order Entry Port Fee. Approved Yes 5/26/2015 5/5/2015
SR-Phlx-2015-35
Notice & Approval
A proposal to delete outdated rule language contained in (i) Rule 1019, Precedence Accorded To Orders Entrusted To Specialists, and (ii) Options Floor Procedures Advices. Approved Yes 5/20/2015 4/29/2015
SR-Phlx-2015-34
A proposal to update the public disclosure of the sources of data that PSX, the PHLX equities facility, utilizes. Rejected No
SR-Phlx-2015-33
A proposed rule change relating to the Phlx permit fee, order entry port fee, clearing trade interface port fee, and active specialized quote feed port fee. Rejected No
SR-Phlx-2015-32
Notice & Approval
Correction
A proposed rule change to amend Rule 3301(h) to introduce the Market Hours Immediate or Cancel Time in Force for use on the NASDAQ OMX PSX System. Approved Yes 4/28/2015 4/7/2015
SR-Phlx-2015-31
Notice & Approval
A proposal to move the rule text of current Rule 1070, Customer Complaints, into Rule 1028, Confirmations, to accommodate an upcoming rulebook reorganization. Approved Yes 4/29/2015 4/8/2015
SR-Phlx-2015-30
Notice & Approval
A proposal to amend section (a)(iv) of Rule 703, Financial Responsibility and Reporting. Approved Yes 4/28/2015 4/7/2015
SR-Phlx-2015-29
Notice
SEC Extension
Amendment 1
Approval
A proposed rule change to amend and restate certain Exchange rules that govern the NASDAQ OMX PSX facility ("PSX") in order to provide a clearer and more detailed description of certain aspects of its functionality. Approved Yes 4/27/2015 4/6/2015
SR-Phlx-2015-28
Resubmission 1
Resubmission 2
Notice & Approval
A proposal to update certain of the 1000 series options rules to harmonize the Rulebook and modernize Exchange rules. Approved Yes 4/22/2015 4/1/2015
SR-Phlx-2015-27
Notice & Approval
A proposal to amend Rule 1009 (Criteria for Underlying Securities) to allow the listing of options overlying Exchange-Traded Fund Shares. Approved Yes 4/16/2015 3/26/2015
SR-Phlx-2015-26
A proposed rule change to amend and correct Rule 1080.08. Rejected No
SR-Phlx-2015-25
Notice & Approval
A proposal to modify the Phlx Pricing Schedule. Approved Yes 4/15/2015 3/25/2015
SR-Phlx-2015-24
Withdrawal
A proposal to modify the Phlx Pricing Schedule. Replaced by SR-Phlx-2015-25 No
SR-Phlx-2015-23
Resubmission
Notice & Approval
A proposal to update certain Phlx rules related to the payment of fees to harmonize the Exchange's Rulebook text and modernize Exchange rules. Approved Yes 4/15/2015 3/25/2015
SR-Phlx-2015-22
Notice & Approval
A proposal to amend Phlx Rule 1079 to extend a pilot program that eliminates minimum value sizes for opening transactions in new series of FLEX options. Approved Yes 4/7/2015 3/17/2015
SR-Phlx-2015-21
Notice & Approval
A proposal to amend pricing in Section B, entitled "Customer Rebate Program," Section II, entitled "Multiply Listed Options Fees," and Section IV, Part A, entitled "PIXL Pricing," of the Pricing Schedule. Approved Yes 4/6/2015 3/16/2015
SR-Phlx-2015-20
Notice & Approval
A proposal to amend one aspect of the administration of income generated by Payment For Order Flow fees which are assessed under Section II of the Pricing Schedule. Approved Yes 3/31/2015 3/10/2015
SR-Phlx-2015-19
Notice & Approval
A proposed rule change to extend the pilot program regarding Exchange Rule 1047(f)(v) ), which provides for how the Exchange treats obvious and catastrophic options errors ("Options Errors in Limit Up-Limit Down" Pilot). Approved Yes 3/19/2015 2/26/2015
SR-Phlx-2015-18
A proposal to amend Commentary .01 of Rule 1014 to change quarterly trading requirements applicable to Registered Options Traders. Rejected No
SR-Phlx-2015-17
Resubmission
Withdrawal
A proposal to amend pricing in Section B, entitled "Customer Rebate Program," Section II, entitled "Multiply Listed Options Fees," and Section IV, Part A, entitled "PIXL Pricing," of the Pricing Schedule. Replaced by SR-Phlx-2015-21 No
SR-Phlx-2015-16
Withdrawal
A proposal relating to Pricing Schedule Section B, Section II and Section IV, Part A. Replaced by SR-Phlx-2015-17 No
SR-Phlx-2015-15
Notice & Approval
A proposal to amend Phlx Rule 507, entitled "Application for Approval as an SQT or RSQT or RSQTO and Assignment in Options" to increase the number of Remote Streaming Quote Traders ("RSQTs") that may be affiliated with a Remote Streaming Quote Trader Orga Approved Yes 3/13/2015 2/20/2015
SR-Phlx-2015-14
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 3/17/2015 2/24/2015
SR-Phlx-2015-13
Withdrawal
A proposal to amend Phlx Pricing Schedule Sections B ("Customer Rebate Program"), II ("Multiply Listed Options Fees") and IV ("PIXL Pricing") in order to: (i) establish a cap on rebates specifically for electronic Simple PIXL and Complex PIXL Orders and Replaced by SR-Phlx-2015-16 No
SR-Phlx-2015-12
Withdrawal
A proposal to amend certain fees for order execution and routing applicable to the use of order execution and routing services of the PSX System by member organizations for all securities traded at $1 or more per share, as well as clarify that consolidate Replaced by SR-Phlx-2015-14 No
SR-Phlx-2015-11
Notice & Approval
A proposed rule change to add new Rule 1016 to authorize the Exchange to share any Phlx XL participant-designated risk settings in Phlx XL, the Exchange's trading system, with the clearing member that clears transactions on behalf of the Phlx XL participa Approved Yes 3/2/2015 2/9/2015
SR-Phlx-2015-10
Resubmission
Notice & Approval
A proposal to amend Rule 1082.02 and .03. Approved Yes 4/2/2015 3/12/2015
SR-Phlx-2015-09
Notice & Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) to introduce finer $.50 strike price intervals in non-index Short Term Options with strike prices less than $100. Approved Yes 2/23/2015 2/2/2015
SR-Phlx-2015-08
Notice & Approval
A proposal to amend the certain fees and rebates for order execution and routing applicable to the use of the order execution and routing services of the PSX System by member organizations for all securities traded at $1 or more per share. Approved Yes 2/25/2015 2/4/2015
SR-Phlx-2015-07
Notice & Approval
A proposal to extend the pilot program that eliminates position limits for options on the SPDR S&P 500 exchange-traded fund. Approved Yes 2/17/2015 1/26/2015
SR-Phlx-2015-06
Notice & Approval
A proposal to amend the Monthly Market Maker Cap and certain transaction fees applicable to Specialists and Market Makers that have reached the Monthly Market Maker Cap (Pricing Schedule Section II, "Multiply Listed Options"); and to make conforming and c Approved Yes 2/12/2015 1/22/2015
SR-Phlx-2015-05
Resubmission 1
Resubmission 2
Notice & Approval
A proposal to amend Section II of the Pricing Schedule entitled "Multiply Listed Options Fees" to assess an increased Options Surcharge in MNX and NDX. Approved Yes 2/19/2015 1/29/2015
SR-Phlx-2015-04
Notice & Approval
A proposal to add new Section XIII (Extranet Access Fee) to the NASDAQ OMX PHLX LLC Pricing Schedule Approved Yes 2/5/2015 1/15/2015
SR-Phlx-2015-03
Notice & Approval
A proposed rule change to extend the pilot program in Rule 1059, Accommodation Transactions, to allow cabinet trading to take place below $1 per option contract under specified circumstances. Approved Yes 2/3/2015 1/13/2015
SR-Phlx-2015-02
Withdrawal
A proposal to amend the Monthly Market Maker Cap and certain transaction fees applicable to Specialists and Market Makers that have reached the Monthly Market Maker Cap, which are located in the Exchange's Pricing Schedule at Section II, entitled "Mult Replaced by SR-Phlx-2015-06 No
SR-Phlx-2015-01
Notice & Approval
A proposal to amend the Customer Rebate Program in Section B of the Pricing Schedule. Approved Yes 2/12/2015 1/22/2015
rulebook-rulefilings-phlx-2014
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2014-83
Notice & Approval
A proposal to modify Section VII entitled "Other Member Fees" of the Phlx Pricing Schedule ("Pricing Schedule"). Approved Yes 2/2/2015 1/12/2015
SR-Phlx-2014-82
A proposal to add new Section XIII (Extranet Access Fee) to the NASDAQ OMX PHLX LLC Pricing Schedule. Replaced by SR-Phlx-2015-04 No
SR-Phlx-2014-81
Notice & Approval
A proposal to amend Section VIII (NASDAQ OMX PSX Fees) of the Exchange's Pricing Schedule entitled Extranet Access (Pricing Schedule). Approved Yes 1/30/2015 1/9/2015
SR-Phlx-2014-80
Notice & Approval
A proposal to amend Strategy Fee Caps. Approved Yes 1/21/2015 12/31/2014
SR-Phlx-2014-79
Resubmission
Notice & Approval
A proposed rule change to modify the rule governing modification of orders on its NASDAQ OMX PSX facility. Approved Yes 2/2/2015 1/12/2015
SR-Phlx-2014-78
Withdrawal
A proposal to amend Strategy Fee Caps. Replaced by SR-Phlx-2014-80 No
SR-Phlx-2014-77
Notice & Approval
A proposal to amend Phlx Rule 1034 to extend through June 30, 2015, the Penny Pilot Program in options classes in certain issues. Approved Yes 12/23/2014 12/2/2014
SR-Phlx-2014-76
Resubmission
Notice & Approval
A proposed rule change to adopt anti-internalization functionality for registered market makers on the PHLX Options Market. Approved Yes 12/29/2014 12/8/2014
SR-Phlx-2014-75
Notice & Approval
A proposal to amend the Pricing Schedule to conform certain terminology to Rule 507, "Application for Approval as an SQT, RSQT, RSQTO and Assignment in Options" as it relates to Remote Market Makers or "RMMs." The Exchange also proposes to make other clar Approved Yes 12/15/2014 11/24/2014
SR-Phlx-2014-74
Notice & Approval
A proposed rule change to make a minor clarifying change to Section VIII of the Pricing Schedule. Approved Yes 12/17/2014 11/26/2014
SR-Phlx-2014-73
Notice & Approval
Amend Section VII of the Exchange's Fee Schedule pertaining to the Active SQF Port Fee. Approved Yes 12/23/2014 12/2/2014
SR-Phlx-2014-72
Notice & Approval
A proposal to amend the Initiating Order Fee for PIXL Executions in SPY and PIXL Pricing for Initiating Order that is contra to a Customer PIXL order, to allow for volume discounts. The Exchange has designated that the amendments be operative on Novembe Approved Yes 12/9/2014 11/18/2014
SR-Phlx-2014-71
Notice & Approval
A proposal to extend the implementation rollout of its new Options Floor Broker Management System. Approved Yes 12/10/2014 11/19/2014
SR-Phlx-2014-70
Notice & Approval
Proposes to amend the Exchange's Pricing Schedule under Section VIII. Approved Yes 12/3/2014 11/12/2014
SR-Phlx-2014-69
Notice & Approval
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot program that eliminates minimum value sizes for FLEX index options and FLEX equity options. Approved Yes 11/26/2014 11/5/2014
SR-Phlx-2014-68
Resubmission
Notice & Approval
A proposal to amend Routing Fees, and to allow aggregation of Customer volume for calculating discount thresholds and receiving discounted routing fees. Approved Yes 12/4/2014 11/13/2014
SR-Phlx-2014-67
Resubmission
Notice & Approval
A proposed Rule Change to Correct Two Typographical Errors in Rule 3315. Approved Yes 12/4/2014 11/13/2014
SR-Phlx-2014-66
Notice
SEC Extension 1
OIP
Amendment 1
Amendment Withdrawal
Amendment 2
SEC Extension 2
Disapproval
A proposal to adopt new Exchange Rule 1081, Solicitation Mechanism, to introduce a new electronic solicitation mechanism. Disapproved Yes 11/21/2014 10/31/2014
SR-Phlx-2014-65
Notice & Approval
A proposal to correct errors in Rule 705 ("Fidelity Bonds"). Approved Yes 11/4/2014 10/14/2014
SR-Phlx-2014-64
Resubmission
Notice & Approval
A proposal to correct Options Floor Procedure Advice ("Advice") F-27, Options Exchange Official Rulings, by updating an obsolete reference. Approved Yes 11/6/2014 10/16/2014
SR-Phlx-2014-63
Notice & Approval
A proposal to correct an inconsistency in the Exchange's Rulebook related to Rule 60 entitled "Sanctions for Breach of Regulations." Approved Yes 10/29/2014 10/8/2014
SR-Phlx-2014-62
A proposed rule change to enable the Exchange to compete by revising the priority afforded to in-crowd participants respecting crossing, facilitation and solicited orders in open outcry trading. Rejected No
SR-Phlx-2014-61
Notice
Approval
A proposed rule change with respect to amendments of the Amended and Restated Certificate of Incorporation (the "Charter") and By-Laws (the "By-Laws") of its parent corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX" or the "Company"). Approved Yes 10/20/2014 9/29/2014
SR-Phlx-2014-60
Notice & Approval
A proposal to amend Pricing Schedule Section VIII, entitled NASDAQ OMX PSX FEES, with respect to execution and routing of orders in securities priced at 1 dollar or more per share. Approved Yes 10/14/2014 9/23/2014
SR-Phlx-2014-59
Resubmission 1
Resubmission 2
Notice & Approval
A proposal to extend the implementation rollout of the new Options Floor Broker Management System. Approved Yes 10/24/2014 10/3/2014
SR-Phlx-2014-58
Withdrawal
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or more per share. While changes to the Pricing Schedule pursuant to this pr Replaced by SR-Phlx-2014-60 No
SR-Phlx-2014-57
Notice & Approval
Proposed Rule Change Relating to Common Ownership. Approved Yes 9/30/2014 9/9/2014
SR-Phlx-2014-56
Notice & Approval
Proposed Rule Change Relating to Collection of Information Related to Aggregation of Activity of Affiliates. Approved Yes 9/30/2014 9/9/2014
SR-Phlx-2014-55
A proposal to adopt new Exchange Rule 1081, Solicitation Mechanism, to introduce a new electronic solicitation mechanism pursuant to which a member can electronically submit all-or-none orders of 500 contracts or more (or, in the case of mini options, 500 Replaced by SR-Phlx-2014-66 No
SR-Phlx-2014-54
Resubmission
Notice
Amendment 1
Approval
A proposal to amend Rule 1080.08(f)(iii) to add a new Complex Order process called Legging Orders. Approved Yes 10/16/2014 9/25/2014
SR-Phlx-2014-53
Notice & Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option Contracts) to conform Exchange rules pertaining to finer strike price intervals for standard expiration contracts in option classes that also have Short Ter Approved Yes 9/3/2014 8/13/2014
SR-Phlx-2014-52
Notice & Approval
A proposal to amend the Customer Rebate Program in Section B of the Pricing Schedule. Approved Yes 9/5/2014 8/15/2014
SR-Phlx-2014-51
Resubmission
Notice & Approval
A proposal to amend Section III of the Exchange's Pricing Schedule entitled "Singly Listed Options" to: (i) amend Options Transaction Charges; (ii) delete NASDAQ OMX Alpha Indexes, MSCI Index Options, and Treasury Securities pricing; (iii) adopt new pr Approved Yes 9/5/2014 8/15/2014
SR-Phlx-2014-50
Notice & Approval
A proposal to amend Simple Order pricing in Section I, entitled Rebates and Fees for Adding and Removing Liquidity in SPY. Approved Yes 9/4/2014 8/14/2014
SR-Phlx-2014-49
Notice & Approval
A proposal to disclose publicly the sources of data, whether from the network processors or from direct data feeds, that Phlx utilizes when performing (1) order handling and execution; (2) order routing; and (3) related compliance processes. Approved Yes 8/26/2014 8/5/2014
SR-Phlx-2014-48
Notice & Approval
A proposed rule change to to extend, through July 18, 2015, the PIXL Pilot concerning (i) the early conclusion of the PIXL Auction and (ii) permitting orders of fewer than 50 contracts into the PIXL Auction. Approved Yes 8/12/2014 7/22/2014
SR-Phlx-2014-47
Notice & Approval
A proposal to amend Section I of the Pricing Schedule which pertains to Rebates and Fees for Adding and Removing Liquidity in SPY and Section II of the Pricing Schedule which pertains to Multiply Listed Options fees. Approved Yes 8/12/2014 7/22/2014
SR-Phlx-2014-46
Amendment 1
Notice 1
Approval
A proposal to amend Commentary .05 to Rule 1012 (Series of Options Open for Trading) to allow $1 or greater strike price intervals for options on the SPDR® S&P 500® Exchange Traded Fund ("SPY") and the SPDR® Dow Jones® Industrial Average Exchange Traded F Approved Yes 8/20/2014 7/30/2014
SR-Phlx-2014-45
Resubmission
Notice & Approval
A proposal to amend Section VI entitled "Membership Fees" to remove the Permit Fee for not transacting business on the Exchange and add a Designated Examining Authority ("DEA") Fee. Approved Yes 9/3/2014 8/13/2014
SR-Phlx-2014-44
Notice & Approval
A proposal to delay the implementation of a recent proposal to assess joint back office ("JBO") participants pricing the same as Broker-Dealers and require JBO participants to utilize a new origin code to identify JBO orders. The Exchange proposes that Approved Yes 8/8/2014 7/18/2014
SR-Phlx-2014-43
Notice & Approval
Proposes to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 8/5/2014 7/15/2014
SR-Phlx-2014-42
Withdrawal
A proposal to amend Section I of the Pricing Schedule which pertains to Rebates and Fees for Adding and Removing Liquidity in SPY and Section II of the Pricing Schedule which pertains to Multiply Listed Options fees. While the changes proposed herein ar Replaced by SR-Phlx-2014-47 No
SR-Phlx-2014-41
Notice & Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option Contracts) regarding the Short Term Option Program to introduce finer strike price intervals for standard expiration contracts in option classes that also h Approved Yes 7/29/2014 7/8/2014
SR-Phlx-2014-40
Notice & Approval
A proposed rule change to eliminate the Midpoint Peg Post-Only Order and to modify the functioning of the Minimum Quantity Order on NASDAQ OMX PSX ("PSX"). Approved Yes 8/1/2014 7/11/2014
SR-Phlx-2014-39
Notice & Approval
A proposed rule change to amend Rule 1080.08. Approved Yes 7/7/2014 6/13/2014
SR-Phlx-2014-38
Notice & Approval
A proposal to amend Pricing Schedule Section II entitled "Multiply Listed Options" to: (1) amend Options Transaction Charges in Penny and Non-Penny Pilot Options; (ii) amend certain Complex Order fees; (iii) amend incentives related to achieving certain Approved Yes 7/11/2014 6/20/2014
SR-Phlx-2014-37
Notice & Approval
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through December 31, 2014, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"), and to change the date when delisted classes may be replaced in the Penny Approved Yes 6/20/2014 5/30/2014
SR-Phlx-2014-36
Notice & Approval
A proposal to amend fees for routing orders to away markets. Operative on June 2, 2014. Approved Yes 6/23/2014 6/2/2014
SR-Phlx-2014-35
Notice & Approval
A proposal to amend Rule 1022 ("Securities Accounts and Orders of Specialists and Registered Options Traders") to require firms to report all of the accounts for which they engage in trading activities or which they exercise investment discretion upon req Approved Yes 6/19/2014 5/29/2014
SR-Phlx-2014-34
Notice
Withdrawal
Notice of Withdrawal
A proposal to delete from Section IX of the Exchange's Options Fee Schedule the PHOTO Historical data product. Withdrawn Yes 6/19/2014 5/29/2014
SR-Phlx-2014-33
Notice & Approval
A proposal to extend the implementation rollout of the new Options Floor Broker Management System. Approved Yes 6/5/2014 5/15/2014
SR-Phlx-2014-32
Notice & Approval
A proposal to amend Phlx Rule 1080 (Phlx XL and Phlx XL II) to change the limitation on Exchange members entering, or facilitating entry of, electronic limit orders in the same option series from off the floor of the Exchange, so that the limitation does Approved Yes 6/6/2014 5/16/2014
SR-Phlx-2014-31
Notice & Approval
A proposal to offer an additional rebate applicable to Qualified Contingent Cross orders. The Exchange has designated that the amendments be operative on May 1, 2014. Approved Yes 6/5/2014 5/15/2014
SR-Phlx-2014-30
Notice & Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) in order to modify the Quarterly Options Series ("QOS") Program to eliminate the cap on the number of additional series that may be listed per expiration month for each QOS in exchange-tra Approved Yes 5/28/2014 5/7/2014
SR-Phlx-2014-29
Resubmission
Notice & Approval
A proposal to amend its Pricing Schedule to replace the reference to "GOOG7" to "GOLG7" with respect to pricing for Mini Options. Approved Yes 5/30/2014 5/9/2014
SR-Phlx-2014-28
Resubmission 1
Resubmission 2
Resubmission 3
Notice & Approval
A proposal to assess joint back office ("JBO") participants pricing the same as Broker-Dealers and require JBO participants to utilize a new origin code to identify JBO orders. The Exchange proposes that the amendments become operative on July 1, 2014. Approved Yes 5/30/2014 5/9/2014
SR-Phlx-2014-27
Notice
Approval
A proposal to add new paragraphs h and I to Rule 3312, entitled "Clearly Erroneous Transactions". Approved Yes 5/27/2014 5/6/2014
SR-Phlx-2014-26
Resubmission
Notice & Approval
A proposal to change the reference to "GOOG" to "GOOGL." Approved Yes 6/2/2014 5/12/2014
SR-Phlx-2014-25
Notice & Approval
A proposal to amend Rules 1064 and 1080 to more specifically address the number and size of contra-parties to a Qualified Contingent Cross Order. Approved Yes 5/22/2014 5/1/2014
SR-Phlx-2014-24
Resubmission
Amendment 1
Notice
Approval
A proposed rule change to modify the order execution algorithm of Phlx's NASDAQ OMX PSX facility. Approved Yes 6/20/2014 5/30/2014
SR-Phlx-2014-23
Resubmission
Notice
SEC Extension
Amendment 1
OIP
Approval
A proposed rule change to revise the priority afforded to in-crowd participants respecting crossing, facilitation and solicited orders in open outcry trading. Approved Yes 6/3/2014 5/13/2014
SR-Phlx-2014-22
Notice & Approval
A proposal to clarify that Rule 1014 (Obligations and Restrictions Applicable to Specialists and Registered Options Traders) quoting obligations apply to a Market Maker's appointed issues collectively, rather than on an issue-by-issue basis. Approved Yes 5/19/2014 4/28/2014
SR-Phlx-2014-21
Notice & Approval
A proposed rule change to extend the pilot program regarding Exchange Rule 1047, which provides for how the Exchange treats obvious and catastrophic options errors in response to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Approved Yes 5/5/2014 4/14/2014
SR-Phlx-2014-20
Notice & Approval
A proposal to amend the manner in which it authorizes action in emergency and extraordinary market conditions. Approved Yes 5/5/2014 4/14/2014
SR-Phlx-2014-19
Notice & Approval
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot program that eliminates minimum value sizes for FLEX index options and FLEX equity options (together known as "FLEX Options"). Approved Yes 4/23/2014 4/2/2014
SR-Phlx-2014-18
Notice & Approval
A proposal to extend the pilot period of amendments to Rule 3312, governing clearly erroneous executions. Approved Yes 4/18/2014 3/28/2014
SR-Phlx-2014-17
Withdrawal
A proposal to amend Phlx Rule 1080 (Phlx XL and Phlx XL II) to change the limitation on Exchange members entering, or facilitating entry of, electronic limit orders in the same option series from off the floor of the Exchange, so that the limitation does Withdrawn No
SR-Phlx-2014-16
Notice & Approval
A proposed rule change to amend Rule 1080.08(e) to provide that market maker Complex Orders cannot initiate a Complex Order Live Auction. Approved Yes 4/14/2014 3/24/2014
SR-Phlx-2014-15
Notice & Approval
A proposal to amend Simple Order pricing in Section I. The Exchange has designated that the amendments be operative on March 3, 2014. Approved Yes 4/4/2014 3/14/2014
SR-Phlx-2014-14
Resubmission
Notice & Approval
A proposal to amend the Customer Rebate Program and amend Section II of the Pricing Schedule entitled "Multiply Listed Options Fees." Approved Yes 4/9/2014 3/19/2014
SR-Phlx-2014-13
Resubmission
Notice & Approval
A proposal to amend Section V of the Pricing Schedule entitled "Routing Fees." The Exchange has designated that the amendments be operative on March 3, 2014. Approved Yes 4/4/2014 3/14/2014
SR-Phlx-2014-12
Resubmission
Notice & Approval
A proposal to specify the frequency with which the Exchange may change the Options Regulatory Fee. The Exchange has designated that the amendments be operative on March 3, 2014. Approved Yes 3/18/2014 2/25/2014
SR-Phlx-2014-11
Notice & Approval
A proposed rule change to modify the optional anti-internalization functionality of Phlx's NASDAQ OMX PSX facility. Approved Yes 3/12/2014 2/19/2014
SR-Phlx-2014-10
Notice & Approval
A proposed rule change to add a risk management tool commonly known as a "Kill Switch" as set forth in proposed PHLX Rule 3316. Approved Yes 3/17/2014 2/24/2014
SR-Phlx-2014-09
Notice & Approval
Proposes to amend Section VIII of the Pricing Schedule entitled "NASDAQ OMX PSX Fees," with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 3/11/2014 2/18/2014
SR-Phlx-2014-08
Notice & Approval
Proposes to amend the fee caps applicable to certain strategies on Multiply Listed Options in Section II, entitled "Multiply Listed Options Fees. Approved Yes 3/12/2014 2/19/2014
SR-Phlx-2014-07
Notice & Approval
A proposal to permit an expedited application process for firms that are already approved members of NASDAQ or BX. Approved Yes 3/3/2014 2/10/2014
SR-Phlx-2014-06
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule to amend Simple Order pricing in Section I, entitled Rebates and Fees for Adding and Removing Liquidity in SPY. Approved Yes 3/4/2014 2/11/2014
SR-Phlx-2014-05
Notice & Approval
A proposal to permit the Exchange to receive inbound orders in options routed through Nasdaq Execution Services, LLC ("NES"). Approved Yes 2/24/2014 2/3/2014
SR-Phlx-2014-04
Notice & Approval
A proposal to use Nasdaq Execution Services, LLC ("NES") as opposed to Nasdaq Options Services LLC ("NOS") for outbound order routing. Approved Yes 2/24/2014 2/3/2014
SR-Phlx-2014-03
Notice & Approval
A proposal to amend the Customer Rebate Program in Section B of the Pricing Schedule. Approved Yes 2/4/2014 1/14/2014
SR-Phlx-2014-02
A proposal to permit the Exchange to receive inbound orders in options routed through Nasdaq Execution Services, LLC ("NES") from affiliated exchanges. Replaced by SR-Phlx-2014-05 No
SR-Phlx-2014-01
Notice & Approval
A proposal to clarify that the Exchange does not charge an extranet access fee ("Extranet Access Fee"). Approved Yes 1/31/2014 1/10/2014
rulebook-rulefilings-phlx-2013
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2013-132
A proposal to adopt new Exchange Rule 1081, Solicitation Mechanism, to introduce a new electronic solicitation mechanism pursuant to which a member can electronically submit all-or-none orders of 500 contracts or more the member represents as agent agains Replaced by SR-Phlx-2014-55 No
SR-Phlx-2013-131
A proposal to use Nasdaq Execution Services, LLC as opposed to Nasdaq Options Services LLC for outbound order routing, as explained further below. Replaced by SR-Phlx-2014-04 No
SR-Phlx-2013-130
Proposes to amend the Customer Rebate Program in Section B of the Pricing Schedule. Replaced by SR-Phlx-2014-03 No
SR-Phlx-2013-129
Notice & Approval
A proposal to delay the implementation of its new Options Floor Broker Management System. Approved Yes 1/28/2014 1/7/2014
SR-Phlx-2013-128
Notice & Approval
A proposed rule change to further describe the application of fees assessed pursuant to subparagraph d of Testing Facilities under Chapter VIII of the Exchange's Pricing Schedule. Approved Yes 1/29/2014 1/8/2014
SR-Phlx-2013-127
Notice & Approval
A proposed rule change to modify the definition of "System Securities" set forth in PSX Rule 3301(b) which governs the operation of the trading system of the NASDAQ OMX PSX equities market. Approved Yes 1/17/2014 12/27/2013
SR-Phlx-2013-126
A proposal to clarify that the Exchange does not charge an extranet access fee ("Extranet Access Fee"). Replaced by SR-Phlx-2014-01 No
SR-Phlx-2013-125
Notice & Approval
A proposal to amend the Routing Fees in Section V of the Pricing Schedule in order to continue to incentivize member to direct Customer orders to the Exchange. The Exchange has designated that the amendments be operative on January 2, 2014. Approved Yes 2/4/2014 1/14/2014
SR-Phlx-2013-124
Resubmission
Notice & Approval
A proposal to: (i) amend certain Options Transactions Charges with respect to Section II related to Multiply Listed Options Fees; (ii) eliminate the Electronic Firm Fee Discount in Section II; and (iii) eliminate outdated rule text in Section II related Approved Yes 2/4/2014 1/14/2014
SR-Phlx-2013-123
Notice & Approval
A proposal to amend Phlx Rule 1034 (Minimum Increments) to extend through June 30, 2014, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"), and to change the date when delisted classes may be replaced in the Penny Pil Approved Yes 1/13/2014 12/23/2013
SR-Phlx-2013-122
A proposed rule change to further describe the application of fees assessed pursuant to subparagraph (d) of "Testing Facilities" under Chapter VIII of the Exchange's Pricing Schedule. The Exchange is also eliminating outdated text relating to the applica Rejected No
SR-Phlx-2013-121
Notice & Approval
A proposal to amend two features of the Exchange's Complex Orders functionality. Approved Yes 1/13/2014 12/23/2013
SR-Phlx-2013-120
Notice & Approval
A proposed rule change to extend the pilot program in Rule 1059, Accommodation Transactions, to allow cabinet trading to take place below 1 dollar per option contract under specified circumstances. Approved Yes 1/13/2014 12/23/2013
SR-Phlx-2013-119
Notice & Approval
A proposal to amend fees and rebates applicable to Qualified Contingent Cross ("QCC") orders. Approved Yes 1/9/2014 12/19/2013
SR-Phlx-2013-118
Notice & Approval
A proposal to amend the Routing Fees in Section V of the Pricing Schedule in order to recoup costs the Exchange incurs for routing and executing certain orders in equity options to away markets. Approved Yes 1/7/2014 12/17/2013
SR-Phlx-2013-117
Notice & Approval
A proposal to amend the Pricing Schedule with respect to the Customer Rebate Program, Simple Order pricing, certain Multiply Listed Options Fees, Singly Listed Options, Other Transaction Fees and PIXL Pricing. The amendments will be operative on Dece Approved Yes 1/8/2014 12/18/2013
SR-Phlx-2013-116
Notice & Approval
A proposed rule change to establish fees under the PHLX Pricing Schedule for use of the carteret testing facility test environment. Approved Yes 1/7/2014 12/17/2013
SR-Phlx-2013-115
Notice
Approval
A proposed rule change with respect to amendments of the Restated Certificate of Incorporation (the "Charter") and By-Laws (the "By-Laws") of its parent corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX" or the "Company"). Approved Yes 1/2/2014 12/12/2013
SR-Phlx-2013-114
Notice & Approval
A proposal to increase certain Customer rebates in Section B of the Pricing Schedule to provide members an opportunity to receive higher Customer rebates. Approved Yes 12/30/2013 12/9/2013
SR-Phlx-2013-113
Notice & Approval
OIP
SEC Extension
Disapproval
SEC Order
A proposal to offer members the opportunity to increase the Customer rebates offered in Section B of the Pricing Schedule for transactions on Phlx if the aggregate volumes of Customer orders transacted by a member organization and its affiliates on Phlx, Disapproved Yes 12/10/2013 11/19/2013
SR-Phlx-2013-112
Notice & Approval
A proposal to amend the PIXL Auction Notification requirements under Rule 1080(n) by no longer including the stop price in the PAN. Approved Yes 12/10/2013 11/19/2013
SR-Phlx-2013-111
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule under Section VIII, entitled "NASDAQ OMX PSX FEES," with respect to execution and routing of orders in securities priced at $1 or more per share. Approved Yes 12/11/2013 11/20/2013
SR-Phlx-2013-110
Notice & Approval
A proposal to lower certain rebate tier percentage thresholds in the "Customer Rebate Program" in Section B of the Pricing Schedule to provide members a greater opportunity to receive Customer rebates. Approved Yes 12/6/2013 11/15/2013
SR-Phlx-2013-109
Notice & Approval
A proposal to adopt a strategy fee cap applicable to box spreads. Approved Yes 12/9/2013 11/18/2013
SR-Phlx-2013-108
Resubmission
Notice & Approval
A proposal to extend the pilot program to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund ("SPY ETF" or "SPY") for another fourteen (14) months. Approved Yes 12/11/2013 11/20/2013
SR-Phlx-2013-107
Withdrawal
A proposed rule change with respect to amendments of the Restated Certificate of Incorporation (the "Charter") and By-Laws (the "By-Laws") of its parent corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX" or the "Company"). Replaced by SR-Phlx-2013-115 No
SR-Phlx-2013-106
Notice
SEC Extension
Withdrawal
A proposal to amend Rules 1064 and 1080 to more specifically address the number and size of counterparties to a Qualified Contingent Cross Order. Replaced by SR-Phlx-2014-25 Yes 12/4/2013 11/13/2013
SR-Phlx-2013-105
Notice & Approval
A proposed rule change to establish for PHLX orders ("PHLX Orders") Managed Data Solution fees for non-display usage ("Non-Display Usage"), and to establish that Managed Data Solutions containing Top of PHLX Options (also known as "TOPO") are for non-disp Approved Yes 11/19/2013 10/29/2013
SR-Phlx-2013-104
Notice & Approval
A proposed rule change to amend certain procedural rules to implement the change in the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday. Approved Yes 11/19/2013 10/29/2013
SR-Phlx-2013-103
Withdrawal
A proposal to assess a Specialist Allocation Fee for certain options classes allocated to a specialist unit. Withdrawn No
SR-Phlx-2013-102
Withdrawal
A proposed rule change to establish for PHLX orders Managed Data Solution fees for non-display usage. Replaced by SR-PHLX-2013-105 No
SR-Phlx-2013-101
Notice
Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) to expand the Short Term Option Program ("STO Program" or "Program). Approved Yes 11/12/2013 10/22/2013
SR-Phlx-2013-100
Notice & Approval
A proposal to delay the implementation of its new Options Floor Broker Management System. Approved Yes 11/12/2013 10/22/2013
SR-Phlx-2013-99
Notice & Approval
A proposal to clarify that Rule 1014 (Obligations and Restrictions Applicable to Specialists and Registered Options Traders) quoting obligations remain in effect on a daily basis even though compliance with such obligations may be determined on a monthly Approved Yes 11/12/2013 10/22/2013
SR-Phlx-2013-98
A proposal to amend the manner in which it will calculate volume and pay rebates pursuant to the Customer Rebate Program in Section B of the Pricing Schedule. Rejected No
SR-Phlx-2013-97
Notice & Approval
Proposal to extend a pilot program related to Rule 3312, entitled Clearly Erroneous Transactions, and to remove certain references to individual stock trading pauses contained in Rule 3312(a)(2)(C)(4). Approved Yes 10/24/2013 10/3/2013
SR-Phlx-2013-96
Resubmission
Notice & Approval
A proposal to amend the Table of Contents to its Pricing Schedule to refer to FLEX fees which were inadvertently not added to the Table of Contents at the time the fees were adopted. Approved Yes 11/12/2013 10/22/2013
SR-Phlx-2013-95
Notice & Approval
A proposal to adopt a temporary rule to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday. Approved Yes 10/16/2013 9/25/2013
SR-Phlx-2013-94
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option Contracts) to expand the Short Term Option Program ("STO Program" or "Program"). Rejected No
SR-Phlx-2013-93
Notice & Approval
A proposal to make a minor modification to pricing incentive programs under PHLX's schedule of fees and credits applicable to options trading on PHLX. Approved Yes 10/18/2013 9/27/2013
SR-Phlx-2013-92
Notice & Approval
A proposal to waive the Broker-Dealer Floor Options Transaction Charge (including the Cabinet Options Transaction Charge) and the Broker-Dealer FLEX transaction fee in certain circumstances. Approved Yes 10/11/2013 9/20/2013
SR-Phlx-2013-90
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule with respect to certain pricing in Section II entitled "Multiply Listed Options Fees. Approved Yes 10/8/2013 9/17/2013
SR-Phlx-2013-89
Notice & Approval
A proposed rule change to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday, and to make other related administrative changes to ensure consistency in rule t Approved Yes 9/20/2013 8/30/2013
SR-Phlx-2013-88
Resubmission
Notice & Approval
A proposed rule change to amend Rule 1080.08(e) in three ways: (1) to include the price and side of the market of a Complex Order in the broadcast message to Phlx XL participants indicating that a Complex Order Live Auction ("COLA") has been initiated; ( Approved Yes 9/24/2013 9/3/2013
SR-Phlx-2013-87
Notice & Approval
A proposal to amend the Commentary to Rule 1080 to add a new PIXL ISO order type. Approved Yes 9/25/2013 9/4/2013
SR-Phlx-2013-86
Withdrawal
A proposed rule change to amend Rule 1080.08(e) in three ways: (1) to include the price and side of the market of a Complex Order in the broadcast message to Phlx XL participants indicating that a Complex Order Live Auction ("COLA") has been initiated; ( Replaced by SR-Phlx-2013-88 No
SR-Phlx-2013-85
Resubmission
Notice & Approval
A proposal to codify in Rule 640 the continuing education requirements that currently apply, to adopt a continuing education requirement for persons registered as Proprietary Traders and to adopt a fee for the new continuing education program. Approved Yes 10/2/2013 9/11/2013
SR-Phlx-2013-84
Resubmission
Notice & Approval
A proposal to amend rule 910 and related Phlx rules to allow the Membership Department to request information from member organizations seeking to become market makers. Approved Yes 9/24/2013 9/3/2013
SR-Phlx-2013-83
Notice & Approval
A proposal to delay the implementation of the new Options Floor Broker Management System. Approved Yes 9/4/2013 8/14/2013
SR-Phlx-2013-82
Notice & Approval
A proposed rule change to modify Phlx connectivity options and fees. Approved Yes 9/9/2013 8/19/2013
SR-Phlx-2013-81
Notice & Approval
A proposal to adopt Rule 1015 (Accommodations) which would create a limited set of exceptions to the Exchange's existing limitation of liability rules. Approved Yes 9/4/2013 8/14/2013
SR-Phlx-2013-80
Notice & Approval
Proposed changes to its Excess Order Fee under Section VIII of the Phlx Pricing Schedule. Approved Yes 8/30/2013 8/9/2013
SR-Phlx-2013-79
Notice & Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option Contracts) to provide for the ability to open up to five consecutive expirations under the Short Term Option Program ("STO Program" or "Program"). Approved Yes 8/30/2013 8/9/2013
SR-Phlx-2013-78
Notice & Approval
A proposal to amend rules 1047 and 1047A to expressly state that technical failures may be considered when determining whether to halt or suspend options trading. Approved Yes 8/29/2013 8/8/2013
SR-Phlx-2013-77
Notice & Approval
A proposed rule change to modify the rule governing modification of orders on NASDAQ OMX PSX in the event of an issuer corporate action related to a dividend, payment or distribution. Approved Yes 8/30/2013 8/9/2013
SR-Phlx-2013-76
Resubmission 1
Resubmission 2
Notice
Approval
A proposed rule change relating to the discontinuation of the differentiation of price improvement XL orders of less than 50 contracts. Approved Yes 9/17/2013 8/27/2013
SR-Phlx-2013-75
A proposal to expand the Short Term Option Program ("STO Program") . Rejected No
SR-Phlx-2013-74
Resubmission
Notice & Approval
A proposed rule change relating to the extension of a the PIXL pilot program (price improvement XL). Approved Yes 8/12/2013 7/22/2013
SR-Phlx-2013-73
Notice & Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) to permit the Exchange to list additional strike prices until the close of trading on the second business day prior to the expiration of a monthly, or standard, option in the event of unus Approved Yes 7/30/2013 7/9/2013
SR-Phlx-2013-72
Resubmission
Notice & Approval
A proposal to amend the Acceptable Complex Execution Parameter ("ACE Parameter") in Rule 1080.08(i). Approved Yes 7/30/2013 7/9/2013
SR-Phlx-2013-71
Notice & Approval
The Exchange proposes to eliminate the current pricing in Section I of the Pricing Schedule which is applicable to Select Symbols. The Exchange has designated that the amendments be operative on July 1, 2013. Approved Yes 8/6/2013 7/16/2013
SR-Phlx-2013-70
Notice & Approval
Proposed changes to its schedule of fees and rebates for the execution of quotes and orders on NASDAQ OMX PSX Approved Yes 7/29/2013 7/8/2013
SR-Phlx-2013-69
Notice & Approval
A proposed rule change to establish an Acceptable Trade Range for orders and quotes on PHLX XL. The Acceptable Trade Range functionality is intended to dampen volatility when necessary in rare cases of unusual market conditions by allowing orders to exec Approved Yes 7/22/2013 7/1/2013
SR-Phlx-2013-68
Resubmission
Notice & Approval
A proposal to amend Section B of the Pricing Schedule to provide members and member organizations the ability to achieve greater Customer rebates by transacting PIXL Orders. Approved Yes 7/22/2013 7/1/2013
SR-Phlx-2013-67
Notice & Approval
A proposal to delay the implementation of its new Options Floor Broker Management System. Approved Yes 7/17/2013 6/26/2013
SR-Phlx-2013-66
Notice & Approval
A proposed rule change to amend Rule 3100 to adopt a modification in the process for initiating trading of a security that is the subject of a trading halt or pause on NASDAQ OMX PSX. Approved Yes 7/18/2013 6/27/2013
SR-Phlx-2013-65
Notice 2
SEC Extension
Correction
Withdrawal
A proposal to amend Rule 1080.08(e) to provide that the Exchange can determine, based on origin type, which Complex Orders can initiate a Complex Order Live Auction ("COLA"). Withdrawn Yes 7/18/2013 6/27/2013
SR-Phlx-2013-64
Notice & Approval
A proposal to amend Phlx Rule 1034 (Minimum Increments) to: extend through December 31, 2013, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"), and to change the date when delisted classes may be replaced in the Penn Approved Yes 7/15/2013 6/24/2013
SR-Phlx-2013-63
Notice & Approval
A proposed rule change to disseminate a spot price for its physically-settled options on certain U.S. Treasury notes and U.S. Treasury bonds. Approved Yes 7/8/2013 6/17/2013
SR-Phlx-2013-62
Amendment 1
Notice & Approval
A proposed rule change to introduce a Market Maker Peg Order for use on NASDAQ OMX PSX Approved Yes 7/10/2013 6/19/2013
SR-Phlx-2013-61
Notice & Approval
A proposal to (i) amend the Customer Rebate Program; (ii) adopt new pricing specific to options overlying Standard and Poor's Depositary Receipts/SPDRs; (iii) amend the Complex Order Fee for Removing Liquidity applicable to Specialists and Market Makers Approved Yes 7/11/2013 6/20/2013
SR-Phlx-2013-60
Notice & Approval
Proposed changes to its schedule of fees and rebates for the execution of quotes and orders on NASDAQ OMX PSX Approved Yes 7/5/2013 6/13/2013
SR-Phlx-2013-59
Notice & Approval
Correction
A proposal to adopt a strategy fee cap applicable to jelly rolls. The Exchange has designated the proposed amendment to be operative on May 22, 2013. Approved Yes 6/26/2013 6/5/2013
SR-Phlx-2013-58
Notice & Approval
A proposal to amend the Permit Fee and certain Options Trading Floor Fees, including a technical amendment to the Pricing Schedule. The Exchange has designated the proposed amendment to be operative on June 3, 2013. Approved Yes 6/26/2013 6/5/2013
SR-Phlx-2013-57
Notice & Approval
A proposal to correct a typographical error in the title of the Rule 1000D Series of Rules (Rules Applicable to the Trading of Options on Treasury Securities) and a typographical error in Rule 1004D (Reports Related to Position Limits and Liquidation of P Approved Yes 6/28/2013 6/7/2013
SR-Phlx-2013-56
Notice & Approval
A proposed rule change to adopt a rule governing cancellation of orders on NASDAQ OMX PSX in the event of an issuer corporate action related to a dividend, payment or distribution, and to make related clarifications to rule text. Approved Yes 6/20/2013 5/30/2013
SR-Phlx-2013-55
Resubmission
Notice & Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option Contracts) to give the Exchange the ability to initiate strike prices in more granular intervals for Short Term Options ("STOs") in the same manner as on ot Approved Yes 6/20/2013 5/30/2013
SR-Phlx-2013-54
Notice & Approval
A proposal to stipulate how PSX Participants may modify previously entered orders and to describe how modified orders are processed. Approved Yes 6/14/2013 5/24/2013
SR-Phlx-2013-53
Notice & Approval
A proposed rule change to extend the pilot program in Rule 1059, Accommodation Transactions, to allow cabinet trading to take place below $1 per option contract under specified circumstances. Approved Yes 6/12/2013 5/22/2013
SR-Phlx-2013-52
Amendment 1
Notice
Withdrawal
A proposal to establish a Lead Market Maker program on its NASDAQ OMX PSX market and to make related changes to its schedule of fees and rebates for execution of quotes and orders on PSX. Withdrawn Yes 6/18/2013 5/28/2013
SR-Phlx-2013-51
Notice & Approval
A proposed changes to the schedule of fees and rebates for execution of quotes and orders on NASDAQ OMX PSX. Approved Yes 6/11/2013 5/21/2013
SR-Phlx-2013-50
Notice & Approval
A proposal to amend Rule 1079 and OFPA F-28 to establish the same procedures for quoting and trading FLEX options as exist today on NYSE MKT LLC. Approved Yes 6/11/2013 5/21/2013
SR-Phlx-2013-49
Notice & Approval
A proposal (i) to amend Category A of the Customer Rebate Program to offer increased rebate opportunities for PIXL Orders greater than 999 contracts in Section II symbols; (ii) to amend Section II to increase the maximum QCC rebate that will be paid by th Approved Yes 6/5/2013 5/15/2013
SR-Phlx-2013-48
Notice & Approval
A proposal to amend fees and rebates applicable to Qualified Contingent Cross ("QCC") orders. Approved Yes 6/5/2013 5/15/2013
SR-Phlx-2013-47
Proposed changes to its schedule of fees and rebates for execution of quotes and orders on NASDAQ OMX PSX. Replaced by SR-Phlx-2013-51 No
SR-Phlx-2013-46
Amendment 1
Notice
Approval
A proposal to amend Rule 1080 (Phlx XL and Phlx XL II) to accommodate Complex Orders in PIXL. Approved Yes 6/5/2013 5/15/2013
SR-Phlx-2013-45
Notice & Approval
Proposes to amend Section A of the Exchange's Pricing Schedule entitled "Mini Options Fees". Approved Yes 6/6/2013 5/16/2013
SR-Phlx-2013-44
Notice & Approval
A proposal to amend the Pricing Schedule to reflect recent amendments to Exchange Rule 1014, to change references to the Remote Streaming Trader Fee, and to make technical amendments. Approved Yes 5/30/2013 5/9/2013
SR-Phlx-2013-43
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule to waive the Application and Initiation Fees, for a defined period of time, in order that certain market making firms may comply with new requirements imposed by the Exchange at no cost. Approved Yes 5/29/2013 5/8/2013
SR-Phlx-2013-42
Notice
Approval
A proposed rule change for the permanent approval of the Exchange's pilot program to permit the Exchange to accept inbound options orders routed by Nasdaq Options Services LLC ("NOS") from NASDAQ OMX BX, Inc. ("BX"). Approved Yes 5/29/2013 5/8/2013
SR-Phlx-2013-41
A proposal to amend Rule 1079 and OFPA F-28 to establish the same procedures for quoting and trading FLEX options as exist today on NYSE MKT LLC. Replaced by SR-Phlx-2013-50 No
SR-Phlx-2013-40
Notice & Approval
A proposal to amend Strategy Fee Caps. The Exchange has designated the proposed amendment to be operative on April 18, 2013. Approved Yes 5/23/2013 5/2/2013
SR-Phlx-2013-39
A proposal to amend Rule 1080 (Phlx XL and Phlx XL II) to accommodate Complex Orders in PIXL. Rejected No
SR-Phlx-2013-38
Notice & Approval
The purpose of this filing is to amend Routing Fees in Section V of the Pricing Schedule in order to recoup costs that the Exchange incurs for routing and executing orders in equity options to various away markets. The Exchange has designated the propose Approved Yes 5/15/2013 4/24/2013
SR-Phlx-2013-37
Notice & Approval
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot program that eliminates minimum value sizes for FLEX index options and FLEX equity options (together known as "FLEX Options"). Approved Yes 4/29/2013 4/8/2013
SR-Phlx-2013-36
Notice & Approval
A proposal to address the manner in which Mini Options will trade as a Complex Order, in a PIXL auction or as a Qualified Contingent Cross Order. Approved Yes 4/22/2013 4/1/2013
SR-Phlx-2013-35
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule by adding Section A, entitled "Mini Options Fees," and by redesignating existing Section A as Section B. Approved Yes 5/6/2013 4/15/2013
SR-Phlx-2013-34
Notice & Approval
REPLACES SR-Phlx-2013-33. A proposal to address the manner in which options contracts overlying 10 shares of a security ("Mini Options") will trade as a Complex Order. Approved Yes 4/12/2013 3/22/2013
SR-Phlx-2013-33
Withdrawal
A proposal to address the manner in which options contracts overlying 10 shares of a security ("Mini Options") will trade as a Complex Order. Replaced by SR-Phlx-2013-34 No
SR-Phlx-2013-32
Withdrawal
A proposal to address the manner in which Mini Options will trade as a Complex Order, in a PIXL auction or as a Qualified Contingent Cross Order. Replaced by SR-Phlx-2013-36 No
SR-Phlx-2013-31
Notice & Approval
A proposal to amend certain Simple Order Fees for Removing Liquidity , to amend the Firm Options Transaction Charges in Penny and Non-Penny Pilot Options, and to waive the Firm Options Transaction Charge in certain circumstances. Approved Yes 4/17/2013 3/27/2013
SR-Phlx-2013-30
Notice & Approval
A proposal to change Rule 1012 (Series of Options Open for Trading) and Rule 1034 (Minimum Increments) to permit the minimum price variation for Mini Options contracts that deliver 10 shares to be the same as permitted for standard options that deliver 10 Approved Yes 4/12/2013 3/22/2013
SR-Phlx-2013-29
Notice
Approval
PILOT: Options Errors in Limit Up Limit Down. A proposal to provide for how the Exchange will treat obvious and catastrophic options errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility. Approved Yes 4/10/2013 3/20/2013
SR-Phlx-2013-28
Notice & Approval
A proposal to establish a program for Managed Data Solutions ("MDS"). Approved Yes 4/16/2013 3/26/2013
SR-Phlx-2013-27
Withdrawal
A proposed rule change in Section VIII (NASDAQ OMX PSX Fees) of the NASDAQ OMX PHLX Pricing Schedule, to establish a program for Managed Data Solutions ("MDS") in a new section entitled PSX Managed Data Solution Fees ("PSX MDS Fees"). Replaced by SR-Phlx-2013-28 No
SR-Phlx-2013-26
Notice & Approval
A proposal to amend Exchange Rule 3100 to establish rules to comply with the requirements of the Plan to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of Regulation NMS. Approved Yes 4/18/2013 3/28/2013
SR-Phlx-2013-25
Withdrawal
A proposal to provide for how the Exchange will treat obvious and catastrophic options errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility. Replaced by SR-Phlx-2013-29 No
SR-Phlx-2013-24
Amendment 1
Notice
Approval
A proposed rule change to modify certain aspects of the operation of NASDAQ OMX PSX Approved Yes 4/16/2013 3/26/2013
SR-Phlx-2013-23
Resubmission
Notice & Approval
A proposal to amend Section V of the Pricing Schedule entitled "Routing Fees" and to amend the Customer Rebate Program. The Exchange has designated the proposed amendment to be operative on April 1, 2013. Approved Yes 4/26/2013 4/5/2013
SR-Phlx-2013-22
A proposal to amend Rule 1080 (Phlx XL and Phlx XL II) to accommodate Complex Orders in PIXL. Rejected No
SR-Phlx-2013-21
Notice
Approval
PILOT: Options Market-Making Quoting Obligations in LULD. A proposed rule change to adopt a new Exchange Rule 1047(f)(iv) to provide for how the Exchange proposes to treat market-making quoting obligations, in response to the Regulation NMS Plan to Addre Approved Yes 4/3/2013 3/13/2013
SR-Phlx-2013-20
Resubmission
Notice & Approval
A proposed rule change: (i) to adopt new Exchange Rule 1047(f) to provide for how the Exchange proposes to treat orders in response to the Regulation NMS Plan to Address Extraordinary Market Volatility; and (ii) to adopt new Exchange Rule 1047(g) to codif Approved Yes 4/8/2013 3/18/2013
SR-Phlx-2013-19
Resubmission
Notice & Approval
Proposed changes to the fee schedule governing order routing for PSX. Approved Yes 4/4/2013 3/14/2013
SR-Phlx-2013-18
Notice & Approval
A proposal to amend Exchange Rule 1101A (Terms of Option Contracts) to clarify that long-term index options series must have a term of not less than nine months to expiration, and to reflect that certain rules will not apply to such long-term options ser Approved Yes 3/29/2013 3/8/2013
SR-Phlx-2013-17
Notice & Approval
A proposal to amend Routing Fees in Section V of the Pricing Schedule in order to recoup costs applicable to the C2 Options Exchange, Inc. that the Exchange incurs for routing and executing orders in equity options. Approved Yes 3/22/2013 3/1/2013
SR-Phlx-2013-16
Resubmission
Notice & Approval
A proposal to amend its Fee Schedule to create fees for options on Treasury securities. Approved Yes 3/27/2013 3/6/2013
SR-Phlx-2013-15
Notice
Approval
A proposed rule change for the permanent approval of a pilot program to permit PSX to accept inbound orders routed by NES from the BX Equities Market. Approved Yes 3/7/2013 2/14/2013
SR-Phlx-2013-14
Notice & Approval
A proposal to extend the trading pause pilot in certain individual NMS stocks. Approved Yes 3/13/2013 2/20/2013
SR-Phlx-2013-13
Notice & Approval
A proposal to amend the Customer Rebate Program to incentivize market participants to increase the amount of Customer order flow they transact on the Exchange. The Exchange also proposes to add certain rule text in the Pricing Schedule to provide additio Approved Yes 3/13/2013 2/20/2013
SR-Phlx-2013-12
Notice & Approval
A Proposed Rule Change Relating to extend a pilot program related to Rule 3312, entitled "Clearly Erroneous Transactions". Approved Yes 3/1/2013 2/8/2013
SR-Phlx-2013-11
Notice & Approval
A proposal to delay the operative date of a rule change to Exchange Rule 133, which provides for methodology for determining when to halt trading in all stocks due to extraordinary market volatility, from the date of February 4, 2013, until April 8, 2013. Approved Yes 3/4/2013 2/11/2013
SR-Phlx-2013-10
Notice & Approval
A proposal to amend Section II of the Pricing Schedule entitled "Multiply Listed Options Fees" to amend fees applicable to a Firm. The Exchange also proposes to make a technical amendment to Section VI entitled "Membership Fees." Approved Yes 3/7/2013 2/14/2013
SR-Phlx-2013-09
Resubmission
Notice
Extension
Approval
A proposal to enhance the functionality offered on the Options Floor Broker Management System ("FBMS"). Approved Yes 3/19/2013 2/26/2013
SR-Phlx-2013-08
Notice & Approval
A proposed rule change to add routing functionality to the NASDAQ OMX PSX Market Approved Yes 3/5/2013 2/12/2013
SR-Phlx-2013-07
Withdrawal
A proposal for the permanent approval of the Exchange's pilot program to permit the NASDAQ OMX PSX facility of PHLX ("System") to accept inbound orders routed by Nasdaq Execution Services LLC ("NES") from the NASDAQ OMX BX Equities Market of NASDAQ OMX B Replaced by SR-Phlx-2013-15 No
SR-Phlx-2013-06
Notice & Approval
A proposal to modify the Pricing Schedule by clarifying when an order or quote is adding or removing liquidity. Approved Yes 2/27/2013 2/6/2013
SR-Phlx-2013-05
Resubmission
Notice
Approval
A proposal to amend Rule 1092, Obvious Errors and Catastrophic Errors. Specifically, Phlx proposes to amend Rule 1092(f)(ii) to permit the nullification of trades involving catastrophic errors in certain situations. Approved Yes 3/12/2013 2/19/2013
SR-Phlx-2013-04
Notice & Approval
A proposal to amend its Routing Fees at Section V of the Pricing Schedule. While changes to the Pricing Schedule pursuant to this proposal are effective upon filing, the Exchange has designated the proposed amendment to be operative on February 1, 2013. Approved Yes 2/15/2013 1/25/2013
SR-Phlx-2013-03
Notice
Extension 1
Extension 2
Extension 3
Amendment 1
Approval
A proposal to amend Phlx Rules 507 (Application for Approval as an SQT or RSQT and Assignment in Options) and 1014 (Obligations and Restrictions Applicable to Specialists and Registered Options Traders) to establish that member organizations may qualify t Approved Yes 2/15/2013 1/25/2013
SR-Phlx-2013-02
Notice & Approval
A proposed rule change to reduce the fees assessed under Section X(a) of the PHLX Fee Schedule for certain co-location services. Approved Yes 2/8/2013 1/18/2013
SR-Phlx-2013-01
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule at Section A, entitled "Customer Rebate, " Section I entitled "Rebates and Fees for Adding and Removing Liquidity in Select Symbols," Section II entitled "Multiply Listed Options Fees" and at Section I Approved Yes 2/13/2013 1/23/2013
rulebook-rulefilings-phlx-2012
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-Phlx-2012-146
Notice & Approval
A proposal to amend the rule text related to certain fee caps applicable to certain strategies on Multiply Listed Options in Section II, entitled "Equity Options Fees." Approved Yes 1/31/2013 1/10/2013
SR-Phlx-2012-145
Notice & Approval
A proposal to amend its fee schedule for the following direct data feed products: Top of Phlx Options data feed, the Top of Phlx Options Plus Orders data feed, the PHLX Orders data feed and the PHLX Depth of Market data feed . Approved Yes 1/30/2013 1/9/2013
SR-Phlx-2012-144
A proposal to reduce the fees assessed under Section X(a) of the PHLX Fee Schedule for certain co-location services. Operative January 2, 2013. Replaced by SR-Phlx-2013-02 No
SR-Phlx-2012-143
Notice & Approval
A proposal to amend Phlx Rule 1034 (Minimum Increments) to: extend through June 30, 2013, the Penny Pilot Program in options classes in certain issues ("Penny Pilot" or "Pilot"), and to change the date when delisted classes may be replaced in the Penny Pi Approved Yes 1/22/2013 12/31/2012
SR-Phlx-2012-142
Notice
Approval
A proposed rule change with respect to the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Approved Yes 1/22/2013 12/31/2012
SR-Phlx-2012-141
Resubmission
Notice & Approval
A proposal to amend certain electronic Professional Options Transaction Charges in Section II of the Exchange's Pricing Schedule entitled "Multiply Listed Options." While changes to the Pricing Schedule pursuant to this proposal are effective upon filin Approved Yes 1/30/2013 1/9/2013
SR-Phlx-2012-140
Notice & Approval
A proposal to amend the Permit Fee and Order Entry Port Fee. Approved Yes 1/16/2013 12/26/2012
SR-Phlx-2012-139
Notice & Approval
A proposal to file Section I of the Exchange's Pricing Schedule entitled "Rebates and Fees for Adding and Removing Liquidity in Select Symbols" in order to preserve amendments to the Pricing Schedule that became effective after the suspension of certain f Approved Yes 1/2/2013 12/12/2012
SR-Phlx-2012-138
Notice & Approval
A proposal to amend the fee caps applicable to certain strategies on Multiply Listed Options in Section II, entitled "Equity Options Fees." The Exchange also proposes to apply the fee caps to transactions on certain reversals and conversion strategies Approved Yes 1/7/2013 12/17/2012
SR-Phlx-2012-137
Notice & Approval
A proposal to amend Section I of the Exchange's Pricing Schedule entitled "Rebates and Fees for Adding and Removing Liquidity in Select Symbols" to reinstate certain fees for execution of Complex Orders by Directed Participants and Market Makers that were Approved Yes 1/7/2013 12/17/2012
SR-Phlx-2012-136
Resubmission
Notice & Approval
Proposal to amend Rule 1080(m) to provide for the distribution of auction messages for certain orders. Approved Yes 1/22/2013 12/31/2012
SR-Phlx-2012-135
Notice & Approval
Proposal to amend certain Singly Listed Options Transaction Charges in Section III of the Pricing Schedule. Approved Yes 1/2/2013 12/12/2012
SR-Phlx-2012-134
Notice & Approval
A proposal with respect to the authority of the Exchange or Nasdaq Options Services LLC to cancel options orders when a technical or system issue occurs and to describe the operation of an error account for NOS. Approved Yes 1/4/2013 12/14/2012
SR-Phlx-2012-133
Amendment 1
Notice & Approval
A proposed rule change to amend Rule 3218. Approved Yes 12/18/2012 11/27/2012
SR-Phlx-2012-132
Notice & Approval
A proposal to amend Rule 1001, titled "Position Limits" to increase the position and exercise limits for options on the iShares MSCI Emerging Markets Index Fund ("EEM") to 500,000 contracts. Approved Yes 12/24/2012 12/3/2012
SR-Phlx-2012-131
Notice & Approval
A proposal to extend the pilot program in Rule 1059, Accommodation Transactions, to allow cabinet trading to take place below $1 per option contract under specified circumstances. Approved Yes 12/7/2012 11/16/2012
SR-Phlx-2012-130
Notice
Approval
Correction
A proposal to amend Rule 510 titled "SQT and RSQT Performance Evaluation" to provide a different method for reviewing quote submissions in evaluating member organizations to determine whether they have fulfilled performance standards relating to the quali Approved Yes 12/10/2012 11/19/2012
SR-Phlx-2012-129
Notice & Approval
A proposal to adopt new routing fees which recoup costs incurred by the Exchange when routing to various away markets. The Exchange also proposes memorialize a fee currently assessed to members in its Pricing Schedule. The Exchange has designated the pro Approved Yes 12/10/2012 11/19/2012
SR-Phlx-2012-128
Notice & Approval
A proposed rule change to modify fees assessed under Section VII. C. of the PHLX Pricing Schedule relating to the Central Registration Depository, which are collected by FINRA. Approved Yes 12/6/2012 11/15/2012
SR-Phlx-2012-127
Proposes to enhance the functionality offered on its Options Floor Broker Management System ("FBMS") in a number of ways, described in detail below. As a result of these enhancements, Floor Brokers will no longer execute most trades on the Exchange's opt Replaced by SR-Phlx-2013-67 No
SR-Phlx-2012-126
Notice & Approval
A proposal to list and trade option contracts overlying 10 shares of a security ("Mini Options"). Approved Yes 11/28/2012 11/7/2012
SR-Phlx-2012-125
Resubmission
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule to clarify certain references to the Exchange's trading floor. Approved Yes 12/10/2012 11/19/2012
SR-Phlx-2012-124
Resubmission
Notice & Approval
Relating to reporting branch offices. A proposal to amend Rule 748 titled "Supervision" to require member organizations for which the Exchange is the Designated Examining Authority ("DEA") to file a list of their branch offices with the Exchange. Approved Yes 11/28/2012 11/7/2012
SR-Phlx-2012-123
Notice & Approval
A proposed rule change to assess a monthly subscription fee for the Qview service. Approved Yes 11/12/2012 10/22/2012
SR-Phlx-2012-122
Notice & Approval
A proposal to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund ("SPY ETF"), which list and trade under the symbol SPY. Approved Yes 11/2/2012 10/12/2012
SR-Phlx-2012-121
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule to: (i) clarify the Monthly Market Maker Cap in Section II titled "Multiply Listed Options Fees"; (iii) amend PIXL pricing in Section IV titled "Other Transaction Fees", Section A titled "PIXL Pricing"; Approved Yes 11/8/2012 10/18/2012
SR-Phlx-2012-120
Notice & Approval
A proposal to adopt certain Routing Fees to recoup costs incurred by the Exchange when routing to the NASDAQ Options Market LLC ("NOM"). Approved Yes 11/6/2012 10/16/2012
SR-Phlx-2012-119
Notice & Approval
A proposed rule change to modify Phlx's fee schedule governing order execution and routing on its NASDAQ OMX PSX ("PSX") facility. Approved Yes 11/8/2012 10/18/2012
SR-Phlx-2012-118
Notice & Approval
Six month extension of pilot program (expiring October 6) to receive equities orders inbound from BX through NES. Approved Yes 11/2/2012 10/12/2012
SR-Phlx-2012-117
Notice & Approval
A proposal to offer members and member organizations the ability to pay a regulatory fine pursuant to an installment plan, under certain conditions. Approved Yes 10/30/2012 10/9/2012
SR-Phlx-2012-116
Notice & Approval
A proposal to amend Rule 3315(a)(1)(A) to reflect a change in PHLX's routing functionality. Approved Yes 11/2/2012 10/12/2012
SR-Phlx-2012-115
Notice & Approval
The Exchange proposes to modify Rules 800-803 and 867.5 to clarify further that Phlx does not list securities pursuant to the Rule 800 Series. Approved Yes 11/5/2012 10/15/2012
SR-Phlx-2012-114
Notice & Approval
A proposed rule change to offer the Qview service. Approved Yes 10/26/2012 10/5/2012
SR-Phlx-2012-113
Notice & Approval
A proposal to amend the Electronic Firm Fee Discount in Section II of the Exchange's Pricing Schedule. Approved Yes 10/11/2012 9/20/2012
SR-Phlx-2012-112
Notice & Approval
A proposal to amend Section I of the Pricing Schedule to increase certain Simple Order Fees for Removing Liquidity and to make technical amendments. Approved Yes 10/9/2012 9/17/2012
SR-Phlx-2012-111
Notice & Approval
Amending pricing schedule to recoup costs for routing and executing options on Facebook, Google and Groupon to NOM. Approved Yes 10/9/2012 9/17/2012
SR-Phlx-2012-110
Notice & Approval
Proposes to remove a fee cap on equity options transactions on certain reversals and conversion strategies. Approved Yes 10/1/2012 9/10/2012
SR-Phlx-2012-109
A proposal to offer members the ability to pay a regulatory fine pursuant to an elective Installment Plan. Replaced by SR-Phlx-2012-117 No
SR-Phlx-2012-108
Notice & Approval
A proposal to amend Rule 1014 (Obligations and Restrictions Applicable to Specialists and Registered Options Traders) to indicate that compliance with specified market making obligations pursuant to the rule will be determined on a monthly basis. Approved Yes 9/17/2012 8/27/2012
SR-Phlx-2012-107
Notice & Approval
A proposed rule to make it possible for the staff of Phlx to require an immediate answer to their inquiries to floor brokers for client information about the agency orders those floor brokers handle. Approved Yes 9/17/2012 8/27/2012
SR-Phlx-2012-106
Notice 1
Withdrawal
Notice of Withdrawal
Notice 2
A proposal to modify Exchange Rule 3307 to institute a five millisecond delay in the execution time of marketable orders on NASDAQ OMX PSX. Withdrawn Yes 10/2/2012 9/11/2012
SR-Phlx-2012-105
Notice
Amendment 1
Approval
A proposal to implement twenty-five new rules in the 1000D Series of rules so that the Exchange may list options on Treasury securities and allow trading thereon. Approved Yes 9/13/2012 8/23/2012
SR-Phlx-2012-104
Notice & Approval
A Proposal to amend Section I of the Exchange's Pricing Schedule titled "Rebates and Fees for Adding and Removing Liquidity in Select Symbols," to amend various Select Symbols, increase certain Complex Order Rebates for Adding Liquidity, eliminate the C Approved Yes 9/5/2012 8/15/2012
SR-Phlx-2012-103
Withdrawal
A proposal to modify Exchange Rule 3307 to institute a five millisecond delay in the execution time of marketable orders on NASDAQ OMX PSX. Replaced by SR-Phlx-2012-106 No
SR-Phlx-2012-102
Notice & Approval
A proposed rule change to modify Phlx's fee schedule governing order execution on its NASDAQ OMX PSX facility. Approved Yes 8/31/2012 8/10/2012
SR-Phlx-2012-101
Notice & Approval
A proposal to adopt a new Rule 1046 entitled "Clearing Arrangements" to further clarify the text of Exchange Rule 911, entitled "Member and Member Organization Participation" with respect to the requirement to have a membership in or access arrangement wi Approved Yes 9/5/2012 8/15/2012
SR-Phlx-2012-100
Notice & Approval
A proposal to extend the pilot period of amendments to Rule 3312, governing clearly erroneous executions on the NASDAQ OMX PSX system, so that the pilot will now expire on February 4, 2013. Approved Yes 8/24/2012 8/3/2012
SR-Phlx-2012-99
Notice & Approval
A proposal to extend the trading pause pilot in certain individual NMS stocks when the price moves ten percent or more in the preceding five minute period, so that the pilot will now expire on February 4, 2013. Approved Yes 8/24/2012 8/3/2012
SR-Phlx-2012-98
Notice & Approval
A proposed rule to terminate a revenue sharing program with Correlix, Inc., and delete the associated fees set forth in NASDAQ OMX PHLX LLC Pricing Schedule, Section X(e). Approved Yes 8/22/2012 8/1/2012
SR-Phlx-2012-97
Resubmission
Notice & Approval
A proposed rule change to delay the implementation date of a change to Rule 3301(f)(4) to provide that Primary Pegged Orders with an offset amount will not be displayed. Approved Yes 8/28/2012 8/7/2012
SR-Phlx-2012-96
Notice & Approval
Phlx proposes to revise its floor qualification examination. Specifically, the Exchange proposes to delete obsolete questions, revise outdated questions and add several new questions. Approved Yes 8/23/2012 8/2/2012
SR-Phlx-2012-95
Notice
Approval
A proposed rule change with respect to the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. Approved Yes 8/9/2012 7/19/2012
SR-Phlx-2012-94
Notice & Approval
Proposes to amend Exchange Rule 1080(n), Price Improvement XL ("PIXLSM") to extend, through July 18, 2013, a pilot program (the "pilot") concerning (i) the early conclusion of the PIXL Auction (as described below), and (ii) permitting orders of fewer tha Approved Yes 8/7/2012 7/17/2012
SR-Phlx-2012-93
Notice & Approval
A proposal to establish a Managed Data Solution for Phlx Top of Options. Approved Yes 8/15/2012 7/25/2012
SR-Phlx-2012-92
Notice & Approval
A proposal to amend Exchange Rules 1014, Obligations and Restrictions Applicable to Specialists and Registered Options Traders, and 1051 Approved Yes 8/15/2012 7/25/2012
SR-Phlx-2012-91
Notice & Approval
A proposed rule change to modify how the processing of a Price to Comply Order under PSX Rule 3301(f)(8) operates based on the method of entry. The Exchange will provide public notice five business days prior to the implementation date of the change, and Approved Yes 8/7/2012 7/17/2012
SR-Phlx-2012-90
Notice & Approval
A proposal to amend the Select Symbols and fees in Sections I and amend a fee and adopt a Customer Rebate Program in Section II of the Pricing Schedule. The Exchange also proposes to make a minor amendment to Section I. Approved Yes 8/9/2012 7/19/2012
SR-Phlx-2012-88
Notice & Approval
A proposal to adopt certain Routing Fees to recoup costs incurred by the Exchange when routing to NASDAQ OMX BX, Inc. ("BX Options"). While the changes proposed herein are effective upon filing, the Exchange has designated these changes to be operative on Approved Yes 8/7/2012 7/17/2012
SR-Phlx-2012-87
Notice & Approval
A proposed rule change to modify Phlx's fee schedule governing order execution on its NASDAQ OMX PSX facility. Approved Yes 8/6/2012 7/16/2012
SR-Phlx-2012-86
Notice & Approval
A proposal to extend through December 31, 2012, the Penny Pilot Program in options classes in certain issues and provide for or allow replacement of any Penny Pilot issues that have been delisted. Approved Yes 7/27/2012 7/6/2012
SR-Phlx-2012-85
Notice & Approval
A proposed rule change to modify its Excess Order Fee. Approved Yes 7/24/2012 7/3/2012
SR-Phlx-2012-84
Notice & Approval
A proposed rule change to clarify the functioning of the Post-Only Order in NASDAQ OMX PSX Approved Yes 8/1/2012 7/11/2012
SR-Phlx-2012-83
Notice & Approval
A proposal to establish distributor fees for two related options market data products, PHLX Depth of Market and PHLX Orders. Approved Yes 8/1/2012 7/11/2012
SR-Phlx-2012-82
A proposal to implement twenty-five new rules in the 1000D Series of rules so that the Exchange may list options on Treasury securities and allow trading thereon. Replaced by SR-Phlx-2012-105 No
SR-Phlx-2012-81
Resubmission
Notice
Approval
A proposed rule change with respect to the authority of the Exchange or NASDAQ Execution Services to cancel orders when a technical or system issue occurs on the Exchange's NASDAQ OMX PSX facility and to describe the operation of an error account for NES. Approved Yes 7/31/2012 7/10/2012
SR-Phlx-2012-80
Notice & Approval
A proposal to make various technical amendments to the Pricing Schedule to format pricing the same throughout the Pricing Schedule, correct a reference to Section IV fees and add the term "Specialist" to Section V. Approved Yes 7/19/2012 6/28/2012
SR-Phlx-2012-79
a proposal to delay the implementation of certain clarifications of the Price to Comply Order under PSX Rule 3301(f)(8). Rejected No
SR-Phlx-2012-78
Resubmission 1
Resubmission 2
Notice
Approval
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option Contracts) to modify the Short Term Option Program ("STO Program" or "Program") to indicate that the interval between strike prices on STOs will be $0.50 o Approved Yes 8/10/2012 7/20/2012
SR-Phlx-2012-77
Notice & Approval
A proposal to: (i) amend certain definitions in the Preface Section, including certain categories of market participants; (ii) delete certain fees and rebates in Section I; (iii) amend Section II fees; and (iv) make other technical modifications to the Pr Approved Yes 7/9/2012 6/18/2012
SR-Phlx-2012-76
Notice & Approval
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot program that eliminates minimum value sizes for FLEX index options and FLEX equity options (together known as "FLEX Options"). Approved Yes 6/28/2012 6/7/2012
SR-Phlx-2012-75
Notice & Approval
A proposal to amend certain Routing Fees to recoup costs incurred by the Exchange in routing to The NASDAQ Options Market LLC ("NOM"). Approved Yes 7/3/2012 6/12/2012
SR-Phlx-2012-74
Notice & Approval
A Proposed Rule Change Extending the Pilot Period to Allow Cabinet Trading to Take Place Below $1 Per Option Contract. Approved Yes 6/29/2012 6/8/2012
SR-Phlx-2012-73
Notice & Approval
A proposal to clarify the necessary information that is required by the Exchange when executing dividend, merger and short stock interest strategies and reversals and conversion strategies. The Exchange has designated these changes to be operative on Approved Yes 7/2/2012 6/11/2012
SR-Phlx-2012-72
Notice & Approval
A proposed rule change to delay the implementation date for its Excess Order Fee. There is no proposed rule language. Approved Yes 7/3/2012 6/12/2012
SR-Phlx-2012-71
Notice & Approval
A proposal to amend Rule 616, Electronic Filing Requirements for Uniform Forms. Approved Yes 6/21/2012 5/31/2012
SR-Phlx-2012-70
Notice & Approval
A proposal to amend a fee cap on equity options transactions on certain reversals and conversion strategies. The Exchange also proposes to make technical amendments to the Pricing Schedule. REPLACES SR-Phlx-2012-69. Approved Yes 6/21/2012 5/31/2012
SR-Phlx-2012-69
Withdrawal
Relating to Reversal and Conversion Strategies. Replaced by SR-Phlx-2012-70 No
SR-Phlx-2012-68
Amendment 1
Notice
Approval
A proposal for PHLX to accept inbound orders routed by NASDAQ Options Services LLC ("NOS") from NASDAQ OMX BX's new options market (with the attendant obligations and conditions), as described further below, on a one year pilot basis. Approved Yes 6/14/2012 5/24/2012
SR-Phlx-2012-67
Notice & Approval
A proposal to amend the trading hours for options on the MSCI EAFE Index. Approved Yes 6/25/2012 6/4/2012
SR-Phlx-2012-66 1
SR-Phlx-2012-66 2
A proposal to modify Exchange Rule 1092, Obvious Errors and Catastrophic Errors. Rejected No
SR-Phlx-2012-65
Withdrawal
A Proposal to modify Exchange Rule 1092, Obvious Errors and Catastrophic Errors. Replaced by SR-Phlx-2012-66 No
SR-Phlx-2012-64
Notice & Approval 1
a proposed rule change to institute an Excess Order Fee. Approved Yes 6/13/2012 5/23/2012
SR-Phlx-2012-63
Notice & Approval
A proposal to establish a direct market data product, PHLX Orders. PHLX Orders is a data feed that will include full depth of orders on the limit order book for all series of options listed on PHLX. Approved Yes 6/11/2012 5/21/2012
SR-Phlx-2012-62
Notice & Approval
A proposed rule change to clarify how the processing of a Price to Comply Order under PSX Rule 3301(f)(8) operates based on the method of entry. Approved Yes 6/11/2012 5/21/2012
SR-Phlx-2012-61
Notice & Approval
Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees Approved Yes 6/8/2012 5/18/2012
SR-Phlx-2012-60
Notice & Approval
A proposed rule change relating to the PHLX Depth of Market data product. PHLX Depth of Market is a data feed that will include full depth of quotes and orders, imbalance information and last sale data for options listed on PHLX. Approved Yes 6/7/2012 5/17/2012
SR-Phlx-2012-59
A proposed rule change to make permanent a pilot program to allow cabinet trading to take place below $1 per option contract under specified circumstances (the "pilot program"). Rejected No
SR-Phlx-2012-58
Notice & Approval
A proposal to modify Phlx's Pricing Schedule at Section X(a), entitled "Co-Location Services" regarding the Exchange's co-location super high-density cabinet monthly fee. The Exchange will implement the proposed change on May 1, 2012. Approved Yes 6/1/2012 5/11/2012
SR-Phlx-2012-57
Notice & Approval
Complex Order rebates and fees Approved Yes 6/7/2012 5/17/2012
SR-Phlx-2012-56
Notice & Approval
A proposed rule change to modify Phlx's fee schedule governing routing from its NASDAQ OMX PSX facility. Approved Yes 5/31/2012 5/10/2012
SR-Phlx-2012-55
Withdrawal
A proposed rule change to modify Phlx's fee schedule governing routing from its NASDAQ OMX PSX facility. Replaced by SR-Phlx-2012-56 No
SR-Phlx-2012-54
Notice & Approval
Suspension
SEC Extension
Amendment 1
Approval
A proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Complex Order Fees for Removing Liquidity in Select Symbols Approved Yes 5/25/2012 5/4/2012
SR-Phlx-2012-53
Resubmission
Notice & Approval
A proposal relating to the remote specialist fee. A proposal to increase the Remote Specialist Fee from $50 per option allocation per month to $200 per option allocation for month. While fee changes pursuant to this proposal are effective upon filing, th Approved Yes 5/31/2012 5/10/2012
SR-Phlx-2012-52
Notice & Approval
A proposal to amend the Account Fee displayed in the Pricing Schedule at Section VI, A. Approved Yes 5/22/2012 5/1/2012
SR-Phlx-2012-51
A proposed rule change to clarify how the processing of a Price to Comply Order under PSX Rule 3301(f)(8) operates based on the method of entry. Rejected No
SR-Phlx-2012-50
Notice & Approval
A proposal to amend certain Routing Fees to recoup costs incurred by the Exchange in routing to BATS. The Exchange intends for these amendments to be effective upon filing, except with respect to the amendments related to the Firm/Broker-Dealer/Market Ma Approved Yes 5/17/2012 4/26/2012
SR-Phlx-2012-49
Notice & Approval
A proposal pertaining to the minimum size requirement for quotations. Approved Yes 5/10/2012 4/19/2012
SR-Phlx-2012-48
Withdrawal
A proposal to amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option Contracts) to modify the Short Term Option Program ("STO Program" or "Program"). Withdrawn No
SR-Phlx-2012-47
Notice & Approval
A proposal to amend the Pricing Schedule to increase the rebate for Qualified Contingent Cross orders. Approved Yes 5/10/2012 4/19/2012
SR-Phlx-2012-46
Notice & Approval
The Exchange proposes to amend Section II of the Exchange's Pricing Schedule to: (1) increase the Professional Options Transaction Charges for both Penny Pilot options and non-Penny Pilot options; and (ii) amend the non-Penny Pilot Broker-Dealer electroni Approved Yes 5/10/2012 4/19/2012
SR-Phlx-2012-45
Notice & Approval
A proposal to amend Section I of the Pricing Schedule to further incentivize market participants to transact SPDR S&P 500 options. Approved Yes 5/3/2012 4/12/2012
SR-Phlx-2012-44
Notice & Approval
A proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot program that eliminates minimum value sizes for FLEX index options and FLEX equity options (together known as "FLEX Options"). Approved Yes 4/27/2012 4/6/2012
SR-Phlx-2012-43
Notice & Approval
A proposal to amend Section I of the Exchange's Pricing Schedule entitled "Rebates and Fees for Adding and Removing Liquidity in Select Symbols," specifically to remove various Select Symbols. Approved Yes 5/3/2012 4/12/2012
SR-Phlx-2012-42
Notice & Approval
A proposal to amend certain Customer Routing Fees to recoup costs incurred by the Exchange in routing to away markets and also create a new category of Routing Fees entitled "Firm/Broker-Dealer/Market Maker" fees. Operative Apr. 2, 2012 (ISE Select Symbol Approved Yes 5/3/2012 4/12/2012
SR-Phlx-2012-41
Notice & Approval
Proposed rule change relating to routing of non-customer orders. A proposal to expand the routing capabilities of certain options orders that are eligible for electronic routing to other market centers by PHLX XL. Under the proposal, non-customer FIND or Approved Yes 5/3/2012 4/12/2012
SR-Phlx-2012-40
Notice
Extension 1
Extension 2
Amendment 1
Approval 1
A proposal to change trading requirements applicable to certain Registered Options Traders trading electronically. Approved Yes 5/4/2012 4/13/2012
SR-Phlx-2012-39
Notice & Approval
A proposed rule change to amend Rule 3301(f)(4) to provide that Primary Pegged Orders with an offset amount will not be displayed. Approved Yes 4/26/2012 4/5/2012
SR-Phlx-2012-38
Resubmission
Notice & Approval
The Exchange proposes to amend its Pricing Schedule at Section VII, C relating to FINRA fees. Approved Yes 5/9/2012 4/18/2012
SR-Phlx-2012-37
Notice & Approval
Relating to the Proprietary Traders Qualification Examination ("Series 56"). Approved Yes 4/19/2012 3/29/2012
SR-Phlx-2012-36
Notice & Approval
Options Regulatory Fee Approved Yes 4/23/2012 4/2/2012
SR-Phlx-2012-35
Notice & Approval
Relating to Equity Options Fee and Singly Listed Option Fee. Approved Yes 4/24/2012 4/3/2012
SR-Phlx-2012-34
Resubmission
Notice & Approval
A proposal to amend Section III of the Exchange's Fee Schedule entitled "Singly Listed Options." The Exchange also proposes to amend Section II of the Fee Schedule entitled "Equity Options Fees" to clarify text concerning rebates. Approved Yes 4/30/2012 4/9/2012
SR-Phlx-2012-33
A proposed rule change relating to the allocation of Directed Orders. A proposal to amend rule 1014, Obligations and Restrictions Applicable to Specialists and Registered Options Traders, to state that, after customer limit orders resting on the limit or Rejected No
SR-Phlx-2012-32
Notice & Approval
A proposal pertaining to PIXL Orders for the account of a public customer with a size of less than 50 contracts. The amended rule would reflect the correct price at which an Initiating Member must guarantee the execution of a PIXL Order that the Initiati Approved Yes 4/9/2012 3/19/2012
SR-Phlx-2012-31
Notice & Approval
A proposal to establish an Acceptable Complex Execution Parameter ("ACE Parameter"), a price range outside of which a Complex Order will not be executed by the PHLX XL® automated options trading system following a Complex Order Live Auction ("COLA"). Approved Yes 4/11/2012 3/21/2012
SR-Phlx-2012-30
Notice & Approval
A proposed rule change to eliminate 100MB connectivity between the Exchange and co-located servers, as well as associated fees, as set forth in the Phlx Fee Schedule, Section X(b). Approved Yes 4/10/2012 3/20/2012
SR-Phlx-2012-29
Notice & Approval
A proposal to amend the list of Select Symbols in Section I of the Exchange's Fee Schedule in order to remove certain delisted symbols. Approved Yes 4/12/2012 3/22/2012
SR-Phlx-2012-28
Notice
Approval
Relating to MSCI EAFE Approved Yes 4/5/2012 3/15/2012
SR-Phlx-2012-27
Notice & Approval
Suspension
SEC Extension
Amendment 1
Approval
This filing relates to Complex Orders Rebates and Fees for Adding and Removing Liquidity in Select Symbols. Approved Yes 5/25/2012 3/15/2012
SR-Phlx-2012-26
Notice & Approval
Relating to Equity Options Fees. Approved Yes 4/10/2012 3/20/2012
SR-Phlx-2012-25
Notice & Approval
A proposed rule change to modify Phlx's transaction execution fee and credit schedule governing transactions on its NASDAQ OMX PSX ("PSX") facility. Approved No
SR-Phlx-2012-24
Notice & Approval
A proposal to amend the payment for order flow program. Approved No
SR-Phlx-2012-23
Notice
Approval
A proposal to delete Rule 604 and amend and adopt rules governing the registration and qualification of members and persons associated with member organizations. Approved No
SR-Phlx-2012-22
Notice & Approval
A proposal to amend the list of select symbols and amend the transaction fees for single contra-side orders. Approved Yes 3/27/2012 3/6/2012
SR-Phlx-2012-21
Notice & Approval
Correction to Exchange Rule 705 Approved No
SR-Phlx-2012-20
Resubmission
Notice & Approval
A proposal to modify the Phlx Fee Schedule, Section X(b) regarding Exchange connectivity options and fees. Approved No
SR-Phlx-2012-19
Notice & Approval
A proposal to amend the Customer and Professional Routing Fees to recoup costs incurred by the Exchange in routing to away markets. The Exchange has designated these changes to be operative on March 1, 2012. Approved No
SR-Phlx-2012-18
A proposal to amend Rule 1079 to enhance, clarify, and streamline FLEX option rules and procedures and eliminate unnecessary and obsolete language; to amend Rule 1034 regarding FLEX option trading increments; and amend OFPA F-28 to conform it to the propo Rejected No
SR-Phlx-2012-17
Notice & Approval
A proposal to amend the preface to the fee schedule to add a definition for a "Market Maker" and to delete outdated language. Approved No
SR-Phlx-2012-16
Resubmission 1
Resubmission 2
Notice & Approval
A proposed rule change to modify certain external and inter-cabinet connectivity fees. Approved No
SR-Phlx-2012-15
Notice & Approval
A proposal to amend the customer fee for removing liquidity for single contra-side orders. Approved Yes 3/7/2012 2/15/2012
SR-Phlx-2012-14
A proposal to correct a typographical error in rule 1080(n). Rejected No
SR-Phlx-2012-13
Notice & Approval
A proposal to create new requirements regarding fidelity bonds. The changes will be operative on April 2, 2012. Approved Yes 3/7/2012 2/15/2012
SR-Phlx-2012-12
Notice & Approval
A proposal relating to disseminated quotations. A proposal to describe the manner in which the PHLX XL® automated options trading system will disseminate quotations when (i) there is an "Opening Imbalance" in a particular series, and (ii) there is a "Quo Approved No
SR-Phlx-2012-11
Notice
Approval
A proposal regarding the listing and trading of PHLX FOREX options. Approved Yes 2/1/2012
SR-Phlx-2012-10
Notice & Approval
A proposal to amend the list of Select Symbols in Section I of the Exchange's fee schedule, entitled "Rebates and Fees for Adding and Removing Liquidity in Select Symbols". The Exchange has designated these changes to be operative on February 1, 2012. Approved No
SR-Phlx-2012-09
Notice & Approval
A proposal to adopt a $250 fee per box to ship documents stored by members or member organizations on the trading floor to the member or member organization's address of record. The Exchange has designated these changes to be operative on February 1, 2012 Approved No
SR-Phlx-2012-08
Notice & Approval
A proposed rule change to extend the pilot period of amendments to Rule 3312, governing clearly erroneous executions on the NASDAQ OMX PSX system ("PSX"), so that the pilot will now expire on July 31, 2012. Approved No
SR-Phlx-2012-07
Notice & Approval
A proposed rule change to extend the trading pause pilot in certain individual NMS stocks when the price moves ten percent or more in the preceding five minute period, so that the pilot will now expire on July 31, 2012. Approved No
SR-Phlx-2012-06
Notice & Approval
Correction
A proposal to amend the Real-Time Risk Management fee to further clarify the application of the fee and to relocate the FLEX and Cabinet Options Transaction Fees within Section II of the Exchange's Fee Schedule and add clarifying text. Approved Yes 2/16/2012 1/26/2012
SR-Phlx-2012-05
Resubmission
Proposes to amend the Exchange's Fee Schedule and Exchange Rule 1092 to establish a processing fee for members who file more than fifty unsuccessful obvious error submissions during a calendar month. Rejected No
SR-Phlx-2012-04
Resubmission 1
Resubmission 2
Notice & Approval
A proposal to establish the new TradeInfo PHLX product and amend the fee schedule to add a related subscription fee. Approved Yes 2/28/2012 2/7/2012
SR-Phlx-2012-03
Withdrawal
A proposal to implement new Phlx Rules 1000C (Applicability of Rule 1000C Series - FX Options); Rule 1001C (Definitions - FX Options); Rule 1002C (Series of FX Options Open for Trading); Rule 1003C (Obligations and Quote Spread Parameters Applicable to FX Replaced by SR-Phlx-2012-11 No
SR-Phlx-2012-02
Notice & Approval
A proposal to reformat the NASDAQ OMX PHLX Fee Schedule. Approved Yes 2/16/2012 1/26/2012
SR-Phlx-2012-01
Notice & Approval
A proposal to amend the Customer and Professional Routing Fees governing pricing for Exchange members using the Phlx XL II system for routing standardized equity and index option Customer and Professional orders to the BATS Exchange, Inc. ("BATS") for ex Approved Yes 2/10/2012 1/20/2012
 
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