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NASDAQ OMX PHLX, Inc. (Phlx) Rulemaking
The Philadelphia Stock Exchange, Inc. has changed its name to NASDAQ OMX PHLX, Inc. All filings by NASDAQ OMX PHLX, Inc., as well as filings by the Philadelphia Stock Exchange made before the name change, will be posted to this page. |
We encourage the public to submit comments on the following NASDAQ OMX PHLX, Inc. (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 2009
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998
| Release No. |
Date |
Details |
| Second Quarter |
SR-Phlx-2009-41 |
| 34-59857 |
May 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of Options Transaction Charge for Customer Executions in Options on RUT, RMN, MNX and NDX
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-Phlx-2009-41
|
SR-Phlx-2009-39 |
| 34-59852 |
Apr. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trading Post/Booth and Registration Fees
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2009-39
|
SR-Phlx-2009-37 |
| 34-59842 |
Apr. 29, 2009 |
Notice of Filing of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2009-37
|
SR-Phlx-2009-38 |
| 34-59841 |
Apr. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2009-38
|
SR-Phlx-2009-17 |
| 34-59794 |
Apr. 20, 2009 |
Order Approving Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor
See also: Notice: Rel. No. 34-59538
|
SR-Phlx-2009-32 |
| 34-59779 |
Apr. 16, 2009 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: May 14, 2009
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-59721
Submit comments on SR-Phlx-2009-32
|
SR-Phlx-2009-31 |
| 34-59773 |
Apr. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: May 13, 2009
Additional File Nos.: SR-BX-2009-019, SR-NASDAQ-2009-032
Submit comments on SR-Phlx-2009-31
|
SR-Phlx-2009-32 |
| 34-59721 |
Apr. 7, 2009 |
Notice of Filing of Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: May 5, 2009
See also: Notice: Rel. No. 34-59779
Submit comments on SR-Phlx-2009-32
|
SR-Phlx-2009-28 |
| 34-59705 |
Apr. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker
Comments due: May 4, 2009
Submit comments on SR-Phlx-2009-28
|
SR-Phlx-2009-30 |
| 34-59704 |
Apr. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Options Transactions Charge for Customer Executions and to Remove the Per Trade Per Side Fee Cap in U.S. Dollar-Settled Foreign Currency Options
Comments due: May 1, 2009
Submit comments on SR-Phlx-2009-30
|
SR-Phlx-2009-23 |
| 34-59697 |
Apr. 2, 2009 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Amend the By-Laws, Rules and Option Floor Procedure Advices of NASDAQ OMX PHLX, Inc.
Comments due: April 30, 2009
Submit comments on SR-Phlx-2009-23
|
SR-Phlx-2009-24 |
| 34-59669 |
Apr. 1, 2009 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Increasing Linkage Inbound Principal Orders and Principal Acting as Agent Orders
Comments due: April 29, 2009
Submit comments on SR-Phlx-2009-24
|
| First Quarter |
SR-Phlx-2009-26 |
| 34-59641 |
Mar. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permit Fees
Comments due: April 23, 2009
Submit comments on SR-Phlx-2009-26
|
SR-Phlx-2009-25 |
| 34-59631 |
Mar. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program
Comments due: April 23, 2009
Submit comments on SR-Phlx-2009-25
|
SR-Phlx-2009-22 |
| 34-59611 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Administration of Certain Rules In Respect Of Index Data Dissemination
Comments due: April 17, 2009
Submit comments on SR-Phlx-2009-22
|
SR-Phlx-2009-21 |
| 34-59590 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Related To the $1 Strike Price Program
Comments due: April 14, 2009
Submit comments on SR-Phlx-2009-021
|
SR-Phlx-2009-18 |
| 34-59566 |
Mar. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Caps on Equity Option Transaction Charges on Dividend, Merger and Short Stock Interest Strategies
Comments due: April 9, 2009
Submit comments on SR-Phlx-2009-18
|
SR-Phlx-2009-20 |
| 34-59545 |
Mar. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Elimination of Sector Index Options from Monthly Firm Cap
Comments due: April 6, 2009
Submit comments on SR-Phlx-2009-20
|
SR-Phlx-2009-17 |
| 34-59538 |
Mar. 9, 2009 |
Notice of Filing of a Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor
Comments due: April 6, 2009
See also: Order: Rel. No. 34-59794
|
SR-Phlx-2009-19 |
| 34-59537 |
Mar. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. to Amend the Exchange’s Fee Schedule Relating to the Market Access Provider Subsidy
Comments due: April 6, 2009
Submit comments on SR-Phlx-2009-19
|
SR-Phlx-2009-14 |
| 34-59460 |
Feb. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: March 27, 2009
Additional File Nos.: SR-NASDAQ-2009-010, SR-BX-2009-009
|
SR-Phlx-2009-08 |
| 34-59402 |
Feb. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Reformatting its Fee Schedule
Comments due: March 16, 2009
|
SR-Phlx-2009-12 |
| 34-59393 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Fee Schedule
Comments due: March 12, 2009
|
SR-Phlx-2009-10 |
| 34-59362 |
Feb. 5, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Sponsored Access
Comments due: March 4, 2009
|
SR-Phlx-2009-07 |
| 34-59346 |
Feb. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the $3 Price Requirement for Continued Approval For An Underlying Security And Listing Additional Series Of Options
Comments due: March 3, 2009
|
SR-Phlx-2009-03 |
| 34-59322 |
Jan. 30, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx Rule 1092, Obvious Errors and Catastrophic Errors
Comments due: March 3, 2009
|
SR-Phlx-2009-01 |
| 34-59283 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Requirements for Foreign Currency Options
Comments due: February 20, 2009
|
SR-Phlx-2008-87 |
| 34-59247 |
Jan. 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Phlx Fee Schedule
Comments due: February 12, 2009
|
SR-Phlx-2008-86 |
| 34-59243 |
Jan. 13, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Phlx Fee Schedule
Comments due: February 13, 2009
|
| Phlx File Number List for 2009 |
| Release No. |
Date |
Details |
SR-Phlx-2009-41 |
| 34-59857 |
May 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of Options Transaction Charge for Customer Executions in Options on RUT, RMN, MNX and NDX
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2009-41
|
SR-Phlx-2009-39 |
| 34-59852 |
Apr. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trading Post/Booth and Registration Fees
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2009-39
|
SR-Phlx-2009-38 |
| 34-59841 |
Apr. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2009-38
|
SR-Phlx-2009-37 |
| 34-59842 |
Apr. 29, 2009 |
Notice of Filing of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-Phlx-2009-37
|
SR-Phlx-2009-32 |
| 34-59779 |
Apr. 16, 2009 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: May 14, 2009
Additional Materials: Exhibit 5
Submit comments on SR-Phlx-2009-32
|
| 34-59721 |
Apr. 7, 2009 |
Notice of Filing of Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II
Comments due: May 5, 2009
Submit comments on SR-Phlx-2009-32
|
SR-Phlx-2009-31 |
| 34-59773 |
Apr. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: May 13, 2009
Additional File Nos.: SR-BX-2009-019, SR-NASDAQ-2009-032
Submit comments on SR-Phlx-2009-31
|
SR-Phlx-2009-30 |
| 34-59704 |
Apr. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Options Transactions Charge for Customer Executions and to Remove the Per Trade Per Side Fee Cap in U.S. Dollar-Settled Foreign Currency Options
Comments due: May 1, 2009
Submit comments on SR-Phlx-2009-30
|
SR-Phlx-2009-28 |
| 34-59705 |
Apr. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker
Comments due: May 4, 2009
Submit comments on SR-Phlx-2009-28
|
SR-Phlx-2009-26 |
| 34-59641 |
Mar. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permit Fees
Comments due: April 23, 2009
Submit comments on SR-Phlx-2009-26
|
SR-Phlx-2009-25 |
| 34-59631 |
Mar. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program
Comments due: April 23, 2009
Submit comments on SR-Phlx-2009-25
|
SR-Phlx-2009-24 |
| 34-59669 |
Apr. 1, 2009 |
Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Increasing Linkage Inbound Principal Orders and Principal Acting as Agent Orders
Comments due: April 29, 2009
Submit comments on SR-Phlx-2009-24
|
SR-Phlx-2009-23 |
| 34-59697 |
Apr. 2, 2009 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Amend the By-Laws, Rules and Option Floor Procedure Advices of NASDAQ OMX PHLX, Inc.
Comments due: April 30, 2009
Submit comments on SR-Phlx-2009-23
|
SR-Phlx-2009-22 |
| 34-59611 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Administration of Certain Rules In Respect Of Index Data Dissemination
Comments due: April 17, 2009
Submit comments on SR-Phlx-2009-22
|
SR-Phlx-2009-21 |
| 34-59590 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Related To the $1 Strike Price Program
Comments due: April 14, 2009
Submit comments on SR-Phlx-2009-021
|
SR-Phlx-2009-20 |
| 34-59545 |
Mar. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Elimination of Sector Index Options from Monthly Firm Cap
Comments due: April 6, 2009
Submit comments on SR-Phlx-2009-20
|
SR-Phlx-2009-19 |
| 34-59537 |
Mar. 9, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. to Amend the Exchange’s Fee Schedule Relating to the Market Access Provider Subsidy
Comments due: April 6, 2009
Submit comments on SR-Phlx-2009-19
|
SR-Phlx-2009-18 |
| 34-59566 |
Mar. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Caps on Equity Option Transaction Charges on Dividend, Merger and Short Stock Interest Strategies
Comments due: April 9, 2009
Submit comments on SR-Phlx-2009-18
|
SR-Phlx-2009-17 |
| 34-59794 |
Apr. 20, 2009 |
Order Approving Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor
|
| 34-59538 |
Mar. 9, 2009 |
Notice of Filing of a Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor
Comments due: April 6, 2009
|
SR-Phlx-2009-14 |
| 34-59460 |
Feb. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: March 27, 2009
Additional File Nos.: SR-NASDAQ-2009-010, SR-BX-2009-009
|
SR-Phlx-2009-12 |
| 34-59393 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Fee Schedule
Comments due: March 12, 2009
|
SR-Phlx-2009-10 |
| 34-59362 |
Feb. 5, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Sponsored Access
Comments due: March 4, 2009
|
SR-Phlx-2009-08 |
| 34-59402 |
Feb. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Reformatting its Fee Schedule
Comments due: March 16, 2009
|
SR-Phlx-2009-07 |
| 34-59346 |
Feb. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the $3 Price Requirement for Continued Approval For An Underlying Security And Listing Additional Series Of Options
Comments due: March 3, 2009
|
SR-Phlx-2009-03 |
| 34-59322 |
Jan. 30, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Phlx Rule 1092, Obvious Errors and Catastrophic Errors
Comments due: March 3, 2009
|
SR-Phlx-2009-01 |
| 34-59283 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Requirements for Foreign Currency Options
Comments due: February 20, 2009
|
http://www.sec.gov/rules/sro/phlx.shtml
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