|
|
 |
NASDAQ OMX PHLX LLC (Phlx) Rulemaking
We encourage the public to submit comments on the following NASDAQ OMX PHLX LLC (Phlx) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Second Quarter | First Quarter
Phlx File Number List for 2012
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998
| Release No. |
Date |
Details |
| Second Quarter |
SR-Phlx-2012-70 |
| 34-67047 |
May 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Relating to Reversal and Conversion Strategies
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
 Submit comments on SR-Phlx-2012-70
|
SR-Phlx-2012-71 |
| 34-67053 |
May 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 616, Electronic Filing Requirements for Uniform Forms
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2012-71
|
SR-PHLX-2012-68 |
| 34-67026 |
May 18, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by NASDAQ OMX PHLX LLC to Accept Inbound Orders from NASDAQ OMX BX's New Options Market
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2012-68
|
SR-Phlx-2012-64 |
| 34-67004 |
May 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute an Excess Order Fee
Comments due: June 13, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-64
|
SR-Phlx-2012-63 |
| 34-66993 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Direct Market Data Product, PHLX Orders
Comments due: June 11, 2012
Submit comments on SR-Phlx-2012-63
|
SR-Phlx-2012-62 |
| 34-66992 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price to Comply Order
Comments due: June 11, 2012
Submit comments on SR-Phlx-2012-62
|
SR-Phlx-2012-61 |
| 34-66985 |
May 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees
Comments due: June 8, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-61
|
SR-Phlx-2012-57 |
| 34-66968 |
May 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols
Comments due: June 7, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-57
|
SR-Phlx-2012-60 |
| 34-66967 |
May 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the PHLX Depth of Market Data Product
Comments due: June 7, 2012
Submit comments on SR-Phlx-2012-60
|
SR-Phlx-2012-58 |
| 34-66935 |
May 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Pricing Schedule Regarding the Co-Location Super High Density Cabinet Monthly Fee
Comments due: June 1, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-58
|
SR-Phlx-2012-56 |
| 34-66926 |
May 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx's Fee Schedule Governing Routing from its NASDAQ OMX PSX Facility
Comments due: May 31, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-56
|
SR-Phlx-2012-53 |
| 34-66925 |
May 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: May 31, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-53
|
SR-Phlx-2012-54 |
| 34-66884 |
Apr. 30, 2012 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Rebuttal comments due: June 8, 2012
Additional File No.: SR-Phlx-2012-27
See also: Notice: Rel. No. 34-66883
Submit comments on SR-Phlx-2012-54
|
SR-Phlx-2012-27 |
| 34-66884 |
Apr. 30, 2012 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Rebuttal comments due: June 8, 2012
Additional File No.: SR-Phlx-2012-54
See also: Notice: Rel. No. 34-66551
Submit comments on SR-Phlx-2012-27
|
SR-Phlx-2012-54 |
| 34-66883 |
Apr. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols
Comments due: May 25, 2012
See also: Order: Rel. No. 34-66884
Submit comments on SR-Phlx-2012-54
|
SR-Phlx-2012-28 |
| 34-66861 |
Apr. 26, 2012 |
Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of MSCI EAFE Index Options
See also: Notice: Rel. No. 34-66569
|
SR-Phlx-2012-52 |
| 34-66859 |
Apr. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Account Fee
Comments due: May 22, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-52
|
SR-Phlx-2012-23 |
| 34-66840 |
Apr. 20, 2012 |
Order Approving Proposed Rule Change to Amend Registration, Qualification, and Continuing Education Requirements for Associated Persons
See also: Notice: Rel. No. 34-66497
|
SR-Phlx-2012-50 |
| 34-66838 |
Apr. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 17, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-50
|
SR-Phlx-2012-49 |
| 34-66806 |
Apr. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014
Comments due: May 10, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-Phlx-2012-49
|
SR-Phlx-2012-46 |
| 34-66805 |
Apr. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees
Comments due: May 10, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-46
|
SR-Phlx-2012-47 |
| 34-66800 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: May 10, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-47
|
SR-Phlx-2012-38 |
| 34-66799 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Fees
Comments due: May 9, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-38
|
SR-Phlx-2012-40 |
| 34-66767 |
Apr. 6, 2012 |
Notice of Filing of Proposed Rule Change Relating to Quarterly Trading Requirements Applicable to Registered Options Traders
Comments due: May 4, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-40
|
SR-Phlx-2012-45 |
| 34-66757 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates for Adding and Removing Liquidity in SPY
Comments due: May 3, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-45
|
SR-Phlx-2012-43 |
| 34-66756 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: May 3, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-43
|
SR-Phlx-2012-42 |
| 34-66755 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 3, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-42
|
SR-Phlx-2012-41 |
| 34-66754 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Non-Customer Orders
Comments due: May 3, 2012
Submit comments on SR-Phlx-2012-41
|
SR-Phlx-2012-34 |
| 34-66721 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: April 30, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-34
|
SR-Phlx-2012-44 |
| 34-66711 |
Apr. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the FLEX No Minimum Value Pilot Program
Comments due: April 27, 2012
Submit comments on SR-Phlx-2012-44
|
| First Quarter |
SR-Phlx-2012-39 |
| 34-66697 |
Mar. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders with an Offset Amount
Comments due: April 26, 2012
Submit comments on SR-Phlx-2012-39
|
SR-Phlx-2011-129 |
| 34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68
See also: Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65434
|
SR-Phlx-2012-35 |
| 34-66668 |
Mar. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Equity Options Fees and Singly Listed Option Fee
Comments due: April 24, 2012
|
SR-Phlx-2012-36 |
| 34-66664 |
Mar. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: April 23, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-37 |
| 34-66645 |
Mar. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Proprietary Traders Qualification Examination ("Series 56") Program
Comments due: April 19, 2012
|
SR-Phlx-2012-11 |
| 34-66616 |
Mar. 16, 2012 |
Order Granting Approval of Proposed Rule Change Regarding the Listing and Trading of PHLX FOREX OptionsTM
See also: Notice: Rel. No. 34-66257
|
SR-Phlx-2012-29 |
| 34-66610 |
Mar. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Certain Select Symbols from the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: April 12, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-31 |
| 34-66602 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptable Complex Execution ("ACE") Parameter Order Protection Feature
Comments due: April 11, 2012
|
SR-Phlx-2012-30 |
| 34-66593 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the 100MB Connectivity Option and Fee
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-26 |
| 34-66584 |
Mar. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Options Fees
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-32 |
| 34-66583 |
Mar. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Price Improvement XL ("PIXLSM")
Comments due: April 9, 2012
|
SR-Phlx-2012-28 |
| 34-66569 |
Mar. 9, 2012 |
Notice of Filing of Proposed Rule Change Relating to the MSCI EAFE Index
Comments due: April 5, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66861
|
SR-Phlx-2012-27 |
| 34-66551 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: April 5, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66884
|
SR-Phlx-2012-25 |
| 34-66543 |
Mar. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX
Comments due: April 4, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-23 |
| 34-66497 |
Mar. 1, 2012 |
Notice of Filing of Proposed Rule Change to Amend Registration and Qualification Requirements
Comments due: March 28, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66840
|
SR-Phlx-2012-22 |
| 34-66488 |
Feb. 29, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: March 27, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-24 |
| 34-66484 |
Feb. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Administrative Fee for the Payment For Order Flow Program
Comments due: March 26, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-19 |
| 34-66451 |
Feb. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: March 22, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-16 |
| 34-66438 |
Feb. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain External and Inter-Cabinet Connectivity Fees
Comments due: March 20, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-178 |
| 34-66430 |
Feb. 21, 2012 |
Order Approving Proposed Rule Change Relating to Stock Execution Clerks
See also: Notice: Rel. No. 34-66079
|
SR-Phlx-2012-20 |
| 34-66429 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Connectivity Options and Fees
Comments due: March 19, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-17 |
| 34-66426 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule to Define a Market Maker
Comments due: March 19, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-179 |
| 34-66420 |
Feb. 17, 2012 |
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of MSCI EM Index Options
See also: Notice: Rel. No. 34-66077
|
SR-Phlx-2012-21 |
| 34-66407 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Exchange Rule 705 (Fidelity Bonds)
Comments due: March 15, 2012
|
SR-Phlx-2012-15 |
| 34-66367 |
Feb. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: March 7, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-13 |
| 34-66362 |
Feb. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Rule 705 (Fidelity Bonds)
Comments due: March 7, 2012
|
SR-Phlx-2012-12 |
| 34-66315 |
Feb. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Disseminated Quotations
Comments due: February 29, 2012
Comments received are available for this proposal.
|
SR-Phlx-2011-175 |
| 34-66285 |
Feb. 1, 2012 |
Order Granting Approval of Proposed Rule Change Regarding Strike Price Intervals for SLV and USO Options
See also: Notice: Release No. 34-65986 |
SR-Phlx-2012-04 |
| 34-66284 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a New Product, TradeInfo PHLX, and amend the Fee Schedule to Add a Related Subscription Fee
Comments due: February 28, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-11 |
| 34-66257 |
Jan. 26, 2012 |
Notice of Filing of Proposed Rule Change Regarding Listing and Trading of PHLX FOREX OptionsTM
Comments due: February 22, 2012
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-66616
|
SR-Phlx-2012-10 |
| 34-66252 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: February 22, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-09 |
| 34-66251 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Document Removal Fee
Comments due: February 22, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-08 |
| 34-66224 |
Jan. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: February 21, 2012
|
SR-Phlx-2012-07 |
| 34-66216 |
Jan. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due: February 17, 2012
|
SR-Phlx-2012-02 |
| 34-66209 |
Jan. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reformatting the Fee Schedule
Comments due: February 16, 2012
|
SR-Phlx-2012-06 |
| 34-66208 |
Jan. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-time Risk Management Fee and Other Clarifying Amendments
Comments due: February 16, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-170 |
| 34-66178 |
Jan. 18, 2012 |
Order Approving A Proposed Rule Change Requesting Permanent Approval of the Pilot Program Permitting NASDAQ OMX PSX to Accept Inbound Orders that Nasdaq Execution Services, LLC Routes in its Capacity as a Facility of the NASDAQ Stock Market LLC
See also: Notice: Rel. No. 34-65934
|
SR-Phlx-2012-01 |
| 34-66155 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 10, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-189 |
| 34-66145 |
Jan. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: February 8, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-186 |
| 34-66122 |
Jan. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX
Comments due: February 7, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-187 |
| 34-66111 |
Jan. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive PSX Port Pair Fees for Certain Newly-Added Routable Port Pairs
Comments due: February 1, 2012
|
SR-Phlx-2011-185 |
| 34-66100 |
Jan. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: January 31, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-Phlx-2011-184 |
| 34-66099 |
Jan. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: January 31, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-149 |
| 34-66097 |
Jan. 4, 2012 |
Order Approving Proposed Rule Change to Delete Exchange Rule 795 "Member Officer or Director"
See also: Notice: Rel. No. 34-65745
|
SR-Phlx-2011-182 |
| 34-66087 |
Jan. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the PHLX Market Exhaust Functionality
Comments due: January 30, 2012
|
SR-Phlx-2011-181 |
| 34-66086 |
Jan. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Access Service Fees
Comments due: January 30, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-180 |
| 34-66085 |
Jan. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: January 30, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2011-178 |
| 34-66079 |
Jan. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to Stock Execution Clerks
Comments due: January 30, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66430
|
SR-Phlx-2011-179 |
| 34-66077 |
Jan. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to the MSCI EM Index
Comments due: January 27, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66420
|
| Phlx File Number List for 2012 |
| Release No. |
Date |
Details |
SR-Phlx-2012-71 |
| 34-67053 |
May 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 616, Electronic Filing Requirements for Uniform Forms
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2012-71
|
SR-Phlx-2012-70 |
| 34-67047 |
May 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Relating to Reversal and Conversion Strategies
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-70
|
SR-PHLX-2012-68 |
| 34-67026 |
May 18, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by NASDAQ OMX PHLX LLC to Accept Inbound Orders from NASDAQ OMX BX's New Options Market
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2012-68
|
SR-Phlx-2012-64 |
| 34-67004 |
May 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute an Excess Order Fee
Comments due: June 13, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-64
|
SR-Phlx-2012-63 |
| 34-66993 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Direct Market Data Product, PHLX Orders
Comments due: June 11, 2012
Submit comments on SR-Phlx-2012-63
|
SR-Phlx-2012-62 |
| 34-66992 |
May 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price to Comply Order
Comments due: June 11, 2012
Submit comments on SR-Phlx-2012-62
|
SR-Phlx-2012-61 |
| 34-66985 |
May 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees
Comments due: June 8, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-61
|
SR-Phlx-2012-60 |
| 34-66967 |
May 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the PHLX Depth of Market Data Product
Comments due: June 7, 2012
Submit comments on SR-Phlx-2012-60
|
SR-Phlx-2012-58 |
| 34-66935 |
May 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Pricing Schedule Regarding the Co-Location Super High Density Cabinet Monthly Fee
Comments due: June 1, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-58
|
SR-Phlx-2012-57 |
| 34-66968 |
May 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols
Comments due: June 7, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-57
|
SR-Phlx-2012-56 |
| 34-66926 |
May 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Phlx's Fee Schedule Governing Routing from its NASDAQ OMX PSX Facility
Comments due: May 31, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-56
|
SR-Phlx-2012-54 |
| 34-66884 |
Apr. 30, 2012 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Rebuttal comments due: June 8, 2012
Additional File No.: SR-Phlx-2012-27
Submit comments on SR-Phlx-2012-54
|
| 34-66883 |
Apr. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Submit comments on SR-Phlx-2012-54
|
SR-Phlx-2012-53 |
| 34-66925 |
May 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule
Comments due: May 31, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-53
|
SR-Phlx-2012-52 |
| 34-66859 |
Apr. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Account Fee
Comments due: May 22, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-52
|
SR-Phlx-2012-50 |
| 34-66838 |
Apr. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 17, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-50
|
SR-Phlx-2012-49 |
| 34-66806 |
Apr. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1014
Comments due: May 10, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-Phlx-2012-49
|
SR-Phlx-2012-47 |
| 34-66800 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders
Comments due: May 10, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-47
|
SR-Phlx-2012-46 |
| 34-66805 |
Apr. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees
Comments due: May 10, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-46
|
SR-Phlx-2012-45 |
| 34-66757 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates for Adding and Removing Liquidity in SPY
Comments due: May 3, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-45
|
SR-Phlx-2012-44 |
| 34-66711 |
Apr. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the FLEX No Minimum Value Pilot Program
Comments due: April 27, 2012
Submit comments on SR-Phlx-2012-44
|
SR-Phlx-2012-43 |
| 34-66756 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: May 3, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-43
|
SR-Phlx-2012-42 |
| 34-66755 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 3, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-42
|
SR-Phlx-2012-41 |
| 34-66754 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Non-Customer Orders
Comments due: May 3, 2012
Submit comments on SR-Phlx-2012-41
|
SR-Phlx-2012-40 |
| 34-66767 |
Apr. 6, 2012 |
Notice of Filing of Proposed Rule Change Relating to Quarterly Trading Requirements Applicable to Registered Options Traders
Comments due: May 4, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-40
|
SR-Phlx-2012-39 |
| 34-66697 |
Mar. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders with an Offset Amount
Comments due: April 26, 2012
Submit comments on SR-Phlx-2012-39
|
SR-Phlx-2012-38 |
| 34-66799 |
Apr. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Fees
Comments due: May 9, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-38
|
SR-Phlx-2012-37 |
| 34-66645 |
Mar. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Proprietary Traders Qualification Examination ("Series 56") Program
Comments due: April 19, 2012
|
SR-Phlx-2012-36 |
| 34-66664 |
Mar. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: April 23, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-35 |
| 34-66668 |
Mar. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Equity Options Fees and Singly Listed Option Fee
Comments due: April 24, 2012
|
SR-Phlx-2012-34 |
| 34-66721 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Comments due: April 30, 2012
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2012-34
|
SR-Phlx-2012-32 |
| 34-66583 |
Mar. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Price Improvement XL ("PIXLSM")
Comments due: April 9, 2012
|
SR-Phlx-2012-31 |
| 34-66602 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptable Complex Execution ("ACE") Parameter Order Protection Feature
Comments due: April 11, 2012
|
SR-Phlx-2012-30 |
| 34-66593 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the 100MB Connectivity Option and Fee
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-29 |
| 34-66610 |
Mar. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Certain Select Symbols from the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: April 12, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-28 |
| 34-66861 |
Apr. 26, 2012 |
Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of MSCI EAFE Index Options
|
| 34-66569 |
Mar. 9, 2012 |
Notice of Filing of Proposed Rule Change Relating to the MSCI EAFE Index
Comments due: April 5, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-27 |
| 34-66884 |
Apr. 30, 2012 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: May 25, 2012
Rebuttal comments due: June 8, 2012
Additional File No.: SR-Phlx-2012-54
Submit comments on SR-Phlx-2012-27
|
| 34-66551 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: April 5, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-26 |
| 34-66584 |
Mar. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Options Fees
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-25 |
| 34-66543 |
Mar. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX
Comments due: April 4, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-24 |
| 34-66484 |
Feb. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Administrative Fee for the Payment For Order Flow Program
Comments due: March 26, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-23 |
| 34-66840 |
Apr. 20, 2012 |
Order Approving Proposed Rule Change to Amend Registration, Qualification, and Continuing Education Requirements for Associated Persons
|
| 34-66497 |
Mar. 1, 2012 |
Notice of Filing of Proposed Rule Change to Amend Registration and Qualification Requirements
Comments due: March 28, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-22 |
| 34-66488 |
Feb. 29, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Comments due: March 27, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-21 |
| 34-66407 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Exchange Rule 705 (Fidelity Bonds)
Comments due: March 15, 2012
|
SR-Phlx-2012-20 |
| 34-66429 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Connectivity Options and Fees
Comments due: March 19, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-19 |
| 34-66451 |
Feb. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: March 22, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-17 |
| 34-66426 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule to Define a Market Maker
Comments due: March 19, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-16 |
| 34-66438 |
Feb. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain External and Inter-Cabinet Connectivity Fees
Comments due: March 20, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-15 |
| 34-66367 |
Feb. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: March 7, 2012
|
SR-Phlx-2012-13 |
| 34-66362 |
Feb. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Rule 705 (Fidelity Bonds)
Comments due: March 7, 2012
|
SR-Phlx-2012-12 |
| 34-66315 |
Feb. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Disseminated Quotations
Comments due: February 29, 2012
Comments received are available for this proposal.
|
SR-Phlx-2012-11 |
| 34-66616 |
Mar. 16, 2012 |
Order Granting Approval of Proposed Rule Change Regarding the Listing and Trading of PHLX FOREX OptionsTM
|
| 34-66257 |
Jan. 26, 2012 |
Notice of Filing of Proposed Rule Change Regarding Listing and Trading of PHLX FOREX OptionsTM
Comments due: February 22, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-10 |
| 34-66252 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Comments due: February 22, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-09 |
| 34-66251 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Document Removal Fee
Comments due: February 22, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-08 |
| 34-66224 |
Jan. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: February 21, 2012>
|
SR-Phlx-2012-07 |
| 34-66216 |
Jan. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due: February 17, 2012
|
SR-Phlx-2012-06 |
| 34-66208 |
Jan. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-time Risk Management Fee and Other Clarifying Amendments
Comments due: February 16, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-04 |
| 34-66284 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a New Product, TradeInfo PHLX, and amend the Fee Schedule to Add a Related Subscription Fee
Comments due: February 28, 2012
Additional Materials: Exhibit 5
|
SR-Phlx-2012-02 |
| 34-66209 |
Jan. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reformatting the Fee Schedule
Comments due: February 16, 2012
|
SR-Phlx-2012-01 |
| 34-66155 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 10, 2012
Additional Materials: Exhibit 5
|
http://www.sec.gov/rules/sro/phlx.shtml
|
