Sample records for nasdaq omx phlx
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61590; File No. SR-Phlx-2009-113] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits February 25, 2010. On December 29, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-06
..../The 331 ESI ITT Educational Services Inc. 280 TSL Trina Solar Ltd. 332 NKE NIKE Inc. 282 EWW iShares...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed..., notice is hereby given that on July 22, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'') filed with...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71004; File No. SR-Phlx-2013-101] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program December 6, 2013. I. Introduction On October 3, 2013, NASDAQ OMX PHLX LLC...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63875; File No. SR-Phlx-2010-183] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding Its Short Term Option Program February 9, 2011. I. Introduction On December 15, 2010, NASDAQ OMX PHLX LLC...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63654; File No. SR-Phlx-2010-158] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Establishing a $5 Strike Price Program January 6, 2011. I. Introduction On November 12, 2010, NASDAQ OMX PHLX LLC...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65149; File No. SR-Phlx-2011-89] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Relating to Alpha Index Options August 17, 2011. I. Introduction On June 23, 2011, NASDAQ OMX PHLX LLC (the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62395; File No. SR-Phlx-2010-18] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services June 28, 2010. I. Introduction On January 29, 2010, NASDAQ OMX PHLX (``Phlx'' or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63132; File No. SR-Phlx-2010-118] Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Expand the $.50 Strike Price Program October 19, 2010. On August 25, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-01
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63777; File No. SR-Phlx-2010-157] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Complex Orders January 26, 2011. I. Introduction On November 29, 2010, NASDAQ OMX PHLX LLC (``Phlx'' or the ``Exchange'...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-09
...-cancelled orders. Phlx believes that this change will assist market participants in managing their orders...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67343; File No. SR-Phlx-2012-81] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of 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...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-19
...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX... Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items... proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64338; File No. SR-Phlx-62011-13] Self..., Rules, Advices and Regulations April 25, 2011. I. Introduction On February 16, 2011, NASDAQ OMX PHLX LLC... Regulations of the Exchange. \\5\\ To align itself with the terminology used by NASDAQ, the Exchange proposes to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68393; File No. SR-Phlx-2012-134] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposal with Respect to the Authority of the Exchange or Nasdaq Options Services LLC (``NOS'') To Cancel Options Orders when a Technical or System Issue Occurs...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-10
... Catastrophic Errors April 4, 2013. I. Introduction On January 31, 2013, NASDAQ OMX PHLX LLC (``PHLX'' or... process is shorter for specialists and Registered Options Traders than it is for other market participants...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65917; File No. SR-Phlx-2011-143] Self... Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security December 8, 2011. On October 24, 2011, NASDAQ OMX PHLX LLC (``Phlx'') filed with the Securities and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-05
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67294; File No. SR-PHLX-2012-68] Self.... Introduction On May 15, 2012, NASDAQ OMX PHLX LLC (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66208; File No. SR-Phlx-2012-06] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-Time Risk Management Fee and Other Clarifying Amendments January 20, 2012...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71177; File No. SR-Phlx-2013-106] Self... on Proposed Rule Change To Amend Rules 1064 and 1080 to More Specifically Address the Number and Size..., NASDAQ OMX PHLX LLC (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70874; File No. SR-Phlx-2013-111] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-21
... To Permit BX Options To Accept Inbound Options Orders From NASDAQ OMX PHLX LLC and NASDAQ Options... to permit the BX Options System to accept inbound options orders routed by Nasdaq Options Services LLC (``NOS'') from NASDAQ OMX PHLX LLC (``Phlx'') and The NASDAQ Stock Market LLC's NASDAQ Options...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69671; File No. SR-Phlx-2013-59] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Apply a Strategy Fee Cap to Jelly Rolls May 30, 2013. Correction In notice document 2013-13274...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62639; File No. SR-Phlx-2010-89] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing... proposed rule change to establish pricing for 10Gb direct circuit connections and codify pricing for 10Gb...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70879; File No. SR-Phlx-2013-108] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits November 14, 2013...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69344; File No. SR-Phlx-2013-29] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Accelerated Approval of a Proposed Rule Change... not be a true reflection of the value of the series being quoted. In response to these concerns, the...
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75 FR 501 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-05
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61258; File No. SR-Phlx-2009-107] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Change to the Exchange's Complex Order Program December 30, 2009. Pursuant to Section 19(b)(1) of the Securities...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68574; File No. SR-Phlx-2012-130] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Amend Performance Evaluations With Respect to Quote Submissions of Streaming Quote Traders and Remote Streaming Quote Traders...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-03
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Trading Information and Rule Clarity to Phlx Participants August 27, 2013.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-28
... Permit BX Options To Accept Inbound Options Orders From NASDAQ OMX PHLX LLC and NASDAQ Options Market... permanent approval of the Exchange's pilot program that permits the BX Options System to accept inbound orders routed by Nasdaq Options Services LLC (``NOS'') from the NASDAQ OMX PHLX LLC (``PHLX'') and The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69498; File No. SR-Phlx-2013-42] Self... Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby given that, on April 23, 2013, NASDAQ OMX PHLX LLC (the ``Exchange'' or ``Phlx'') filed with the Securities and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65869; File No. SR-Phlx-2011-161] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality December 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71169; File No. SR-PHLX-2013-127] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of ``System Securities'' in PSX Rule 3301(b) December 20, 2013. Pursuant to Section 19(b)(1) of the Securities...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65779; File No. SR-Phlx-2011-152] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality November 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-28
... Positions Off the Floor December 21, 2011. I. Introduction On October 20, 2011, NASDAQ OMX PHLX LLC... that would net against an existing offsetting short position could not be transferred), and each member...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-14
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule... solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization's... Exchange quotation, [[Page 49573
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70630; File No. SR-Phlx-2013-96] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table of Contents of the Pricing Schedule October 8, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (`...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-02
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change To Expand the Number of Components in the PHLX Gold/Silver Sector\\SM\\ Known as XAU\\SM\\, on Which Options Are Listed and... Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to expand the number of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67147; File No. SR-Phlx-2012-72] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee June 6, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (`...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63905; File No. SR-Phlx-2011-17] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and PSX Data Add-On February 14, 2011. Pursuant to Section 19(b)(1) of th...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68960; File No. SR-Phlx-2013-09] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Enhance the Functionality Offered on Its Options Floor Broker Management System (``FBMS'') by, Among Other Things, Automating Functions Currently Performed by Floor...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-26
...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... costs associated with system issues that are attributable to cancelled AON orders. A Professional order... organization in order for a member organization to be assessed the Cancellation Fee (``500 Threshold''). The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-26
...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... and then cancelled totals 500 orders or more in a particular calendar month (the ``500 Order Threshold''). The Exchange proposes to modify the calculation of the 500 Order Threshold by creating two separate...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62678; File No. SR-Phlx-2010-108] Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Proposed Price Improvement System, Price Improvement XL (PIXL\\SM\\) August 10, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63509; File No. SR-Phlx-2010-157] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders December 9, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-03
... Rule Change Relating to the Conversion of NASDAQ OMX PHLX, Inc. to a Limited Liability Company August... technical conforming changes to the formation documents to correspond with the LLC conversion. All... conversion. As such, this proposed rule change will merely effect a change in entity form of the Exchange and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-28
... Exchange House Accounts December 21, 2011. I. Introduction On October 19, 2011, NASDAQ OMX PHLX LLC... change to codify current Exchange policy with respect to the transfer of Exchange house accounts. The... transfers Exchange house accounts to another Exchange member or member organization. According to the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-13
...\\ may also be known as Gold/Silver Index. The text of the proposed rule change is available on the...-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand the Number of Components in the PHLX Gold/Silver Sector\\SM\\ Known as XAU\\SM\\, on Which Options Are Listed and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-27
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Client Information About Agency Orders of Floor Brokers August 21, 2012. Pursuant...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-26
...-party connectivity providers, including a range of extranets and service bureaus. All of the communications protocols will be publicly available to allow Participants and services bureaus to develop their... agreements with PHLX (including the NASDAQ OMX U.S. Services Agreement \\8\\); maintain membership in, or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-10
... Change To Modify Phlx's Fee Schedule Governing Order Execution on its NASDAQ OMX PSX Facility August 6...'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change as described... publishing this notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-10
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-15
...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to introduce the Minimum Life Order as new order... proposes, by amending its rules to add Rule 3301(f)(11), to introduce the Minimum Life Order as a new order...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change, as Modified...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-27
... (also known as origin code) refers to the participant types listed in Rule 1080.08(b) and Rule 1000(b..., and, therefore, is referring to the participant origin codes in Rule 1080.08(b) only. The proposed...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Which...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-22
... to handle the additional traffic associated with the listing and trading of $1 strikes where the...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Establish Strike... 1012 (Series of Options Open for Trading) to establish strike-price intervals for options on Index...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-28
... introduce a new order type--the Minimum Life Order--for use in the NASDAQ OMX PSX (``PSX'') system. PHLX... markets are characterized by high levels of automation and speed, both in the systems employed by... confidence. PSX was developed to provide an alternative to traditional price- time markets that reward market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-21
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to Its Schedule of... Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items... this notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-13
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt New Exchange... Exchange proposes to adopt a new Exchange Rule 1047(f)(iv) to provide for how the Exchange proposes to... 1. Purpose The Exchange proposes to adopt Exchange Rule 1047(f)(iv) \\3\\ to provide for how the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-09
... January 3, 2013. I. Introduction On October 31, 2012, NASDAQ OMX PHLX LLC (``Exchange'' or ``Phlx'') filed... traded data would provide statistical information on spreads and efficiency, which would allow the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-31
... Amendment of the By- Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. December 21, 2012. Pursuant... by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the ``Corporation... organizations owned by NASDAQ OMX--do not have disproportionate influence on its governance. In making the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-23
... on Nasdaq-100 Index[supreg] Tracking Stock (``QQQ SM '') \\5\\--to which, Phlx believes, SPY options...\\, Nasdaq-100[supreg], Nasdaq-100 Index[supreg], Nasdaq[supreg], and Nasdaq-100 Index Tracking Stock SM , are trademarks or service marks of The Nasdaq Stock Market, Inc. In particular, Phlx represents that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-14
... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket Nos. ER10-912-000; ER10-913-000; ER10-914-000] NASDAQ OMX Commodities Clearing--Contract Merchant LLC; NASDAQ OMX Commodities Clearing--Delivery LLC; NASDAQ OMX Commodities Clearing--Finance LLC; Notice of Filing May 6, 2010. Take notice that, on May 3, 2010, NASDAQ OMX Commoditie...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-03
... Stockholders' Agreement Between the NASDAQ OMX Group, Inc. and Investor AB January 27, 2011. Pursuant to... Investor AB, a corporation organized under the laws of Sweden (``Investor Stockholders' Agreement''). The... and Investor AB also entered into the Investor Stockholders' Agreement, relating to 8 million shares...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-14
... Change Regarding Anti-Internalization Functionality for NASDAQ OMX PSX October 6, 2010. Pursuant to...-internalization functionality on NASDAQ OMX PSX (``PSX''). The text of the proposed rule change is available from...- internalization function for the PSX System. Under the proposal, market participants entering orders under a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-01
... C2 Options Exchange, Inc. (``C2''). The text of the proposed rule change is available on the Exchange... Rules in order to recoup costs applicable to the C2 Options Exchange, Inc. (``C2'') that the Exchange... NASDAQ OMX PHLX LLC (``PHLX'') and NASDAQ OMX BX, Inc. (``BX Options'') and a $0.11 per contract fixed...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-18
...), NASDAQ-100(R) and NASDAQ-100 Index(R) are registered trademarks of The NASDAQ OMX Group, Inc. (which with... proposes to: (i) Increase the options transaction charge for Registered Options Traders (``ROTs'') and... 2000[supreg] is a trademark and service mark of the Frank Russell Company, used under license. Neither...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-19
... comments it received on the proposed rule change. The text of these statements may be examined at the... the by-laws with respect to the Executive Committee and the Nominating and Governance Committee, as... business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA. NASDAQ OMX and the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-14
... PHLX. BX, NASDAQ, PHLX and NES are affiliates. Accordingly, the affiliate relationship between PHLX and... conflicts of interest between an exchange's self-regulatory obligations and its commercial interests.\\7\\ \\7...). Recognizing that the Commission has previously expressed concern regarding the potential for conflicts of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-06
... LLC; Stock Clearing Corporation of Philadelphia; Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc. August 30, 2012. I. Introduction On June 20... amendment of the by-laws (the ``NASDAQ OMX By-Laws'') of The NASDAQ OMX Group, Inc. (``NASDAQ OMX''), the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-17
...) are registered trademarks of The NASDAQ OMX Group, Inc. (which with its affiliates are the... Registered Options Traders (on-floor) and Specialists; (ii) amending the current options transaction charge for Registered Options Traders (on-floor) and Specialists and applying that charge and the options...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-15
... Exchange incurs for routing and executing certain orders in equity options to away markets. The Exchange proposes to amend Routing Fees for the following away markets: BATS Exchange, Inc. (``BATS''), BOX Options... NASDAQ OMX PHLX LLC (``Phlx''). These away markets amended their transaction fees and the Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
... Short Term Option Series Program November 17, 2011. I. Introduction On September 28, 2011, NASDAQ OMX...,\\2\\ a proposed rule change to expand the Short Term Option Program (``Program'') to allow the Exchange to: (1) Select up to 30 option classes on which Short Term Option Series (``STO Series'') may be...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-28
..., NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance Committee... other compositional requirements of the Nominating & Governance Committee, including independence... modified authority to increase the size of the Nominating & Governance Committee to six directors, but will...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-05
... Options Market LLC (``NOM'') and NASDAQ OMX BX, Inc. (``BX Options'') and a $0.11 per contract \\4\\ fixed... Exchange.\\7\\ \\3\\ In a previous rule filing, the Exchange discussed the manner in which it analyzed costs..., 2012) (SR-OCC-2012-18). \\7\\ For example, if a Customer order is routed to BOX, and BOX offers a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-30
... expiration month and series for each class of approved stock index options, and that the Exchange may open... to the rules in place for the listing of expiration months and series in stock or exchange-traded-fund (``ETF'') options.\\4\\ \\4\\ See Phlx Rule 1012(a)(1)(A); see also Nasdaq Rules Chapter IV, Section 6...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-03
... book were $10.00 x $10.05, and a market participant entered a Post-Only Order to buy at $10.05, the.... Thus, if a sell order is on the book at $10 and a Post-Only Order to buy at $10.01 is entered, the... order's current behavior when crossing an existing order on the System. PHLX also notes that NASDAQ has...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-31
...: ``Immediate family member' means a person's spouse, parents, children and siblings, whether by blood, marriage... the By- Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. December 21, 2012. Pursuant to... by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the ``Corporation...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-14
... the Nominating & Governance Committee; (ii) amend the NASDAQ OMX PHLX, Inc. reference to reflect a... Nominating Committee also conducts certain governance functions such as consulting with the Board and the... ``Nominating Committee'' in the By-Laws, to the ``Nominating & Governance Committee'' so that the title of the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-06
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To..., NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC... and regulatory requirements,\\7\\ which normally do not apply to other market participants. By...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-08
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To..., NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission... market comprised of eleven U.S. options exchanges in which sophisticated and knowledgeable market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69607; File No. SR-BX-2013-029] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Board of Director Qualifications May 20, 2013. On March 27, 2013, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') filed with the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-01
... DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Docket No. ER10-914-000] Nasdaq OMX Commodities Clearing--Finance, LLC; Supplemental Notice That Initial Market-Based Rate Filing Includes Request for Blanket Section 204 Authorization March 25, 2010. This is a supplemental notice in the above-referenced proceeding of Nasdaq OMX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62396; File No. SR-BX-2010-012] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services June 28, 2010. I. Introduction On January 29, 2010, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-19
... comments it received on the proposed rule change. The text of these statements may be examined at the... for in the by-laws with respect to the Executive Committee and the Nominating and Governance Committee... business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA. NASDAQ OMX and the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-02
... Options Rule 975NY(a)(2)(A); CBOE Rule 6.25(a)(1)(i); NASDAQ OMX PHLX Rule 1092(b)(i); ISE Rule 720(a)(3... OMX PHLX Rule 1092(e)(ii); ISE Rule 720(b)(2)(ii). 2. Statutory Basis The Exchange believes that its...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-19
... Options Exchange (``CBOE'') Rule 6.51(a) and NASDAQ OMX PHLX LLC (``PHLX'') Rule 1051(a).\\6\\ Both CBOE and.... \\6\\ See CBOE Rule 6.51(a); PHLX Rule 1051(a). PHLX rules also permit, but do not require the exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-19
... Options Exchange (``CBOE'') Rule 6.51(a) and NASDAQ OMX PHLX LLC (``PHLX'') Rule 1051(a).\\6\\ Both CBOE and.... \\6\\ See CBOE Rule 6.51(a); PHLX Rule 1051(a). PHLX rules also permit, but do not require the exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-08
... family member' means a person's spouse, parents, children and siblings, whether by blood, marriage or... OMX Group, Inc. (``NASDAQ OMX''), the parent company of the SROs. The proposed rule changes were... influence on its governance.\\16\\ Moreover, the SROs state that the change is warranted to ensure that the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-16
... Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC...''), NASDAQ OMX BX, Inc. (``BX''), Chicago Board Options Exchange, Incorporated (``CBOE''), Chicago Stock...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-02
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or... by the Exchange.\\7\\ \\3\\ In a previous rule filing, the Exchange discussed the manner in which it...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-07
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61812; File No. SR-Phlx-2010-49] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Establish $2.50 Strike Price Intervals for Options on the NASDAQ Internet Index \\SM\\ March 31, 2010. Pursuant to Section 19(b)(1) of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-25
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or... Act \\6\\ in general, and furthers the objectives of Section 6(b)(4) of the Act,\\7\\ in particular, in...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-14
... Modify Pricing for BX Members Using the NASDAQ OMX BX Equities System December 8, 2011. Pursuant to... of the Proposed Rule Change The Exchange proposes to modify pricing for BX Members using the NASDAQ... above $1. BX has a pricing model under which members are charged for the execution of quotes/orders...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64090; File No. SR-BX-2011-007] Self-Regulatory Organizations; NASDAQ OMX BX LLC; Order Approving a Proposed Rule Change Relating to Permanent Approval of the BX and NES Inbound Routing Relationship March 17, 2011. I. Introduction On January 28, 2011, NASDAQ...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68394; File No. SR-BX-2012-073] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change With Respect to the Authority of the Exchange or Nasdaq Options Services LLC (``NOS'') To Cancel Options Orders When a Technical or System Issu...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62730; File Nos. SR-BATS-2010-016; SR-BX-2010-040; SR- CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR- ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR- NYSEAmex-2010-60; SR-NYSEArca- 2010-58] Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62797; File Nos. SR-BATS-2010-016; SR-BX-2010-040; SR- CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR- ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07; SR-NYSE-2010-47; SR- NYSEAmex-2010-60; SR-NYSEArca-2010-58] Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-02
... the Number of Components in the PHLX Semiconductor Sector SM Known as SOX SM , on Which Options are... expand the number of components in the PHLX Semiconductor Sector\\SM\\ known as SOX\\SM\\, on which options... 240.19b-4. \\3\\ PHLX Semiconductor Sector\\SM\\ may also be known as PHLX Semiconductor Index or PHLX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67014; File No. SR-BX-2012-034] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of 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 and To Describe the Operation of an...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-17
... greater than $100) in premium in each of the front two expiration months and 80% of the time for series... previous trading day's last sale price was greater than $100) in premium across all expiration months in... by other exchanges employing similar pricing schemes. For example, NASDAQ OMX PHLX, Inc. (``PHLX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-09
...). Currently, Section 1(b) of the Fee Schedule, which relates to the marketing fee, states that an LMM will... Schedule, fn. 6; NASDAQ OMX Phlx, LLC (``Phlx'') Pricing Schedule, section on Payment for Order Flow Fee... encourage greater order flow to be sent to the Exchange. This increased order flow would benefit all market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63979; File No. SR-Phlx-2011-21] Self.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... ``Phlx XL II'' to ``PHLX XL'' for branding purposes. The text of the proposed rule change is available on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-26
... the Commission a proposal to amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to permit... Options may have expiration dates within five years. See Phlx Rule 1079. FLEX currency option contracts... Exchange proposes to amend Phlx Rule 1079 to allow certain FLEX Options, which are identical in all terms...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-09
... amend its fee schedule for the four direct data feed products. While changes to the Pricing Schedule... account, for the purpose of executing a particular investment strategy. See Exchange Rule 1080.08(a)(i... TOPO, PHLX Orders, or PHLX Depth of Market.\\7\\ \\7\\ PHLX proposes to move the definitions in the rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-29
... of PHLX FOREX Options may be added consistent with the timing described above for new series of index... prior to the expiration date. Under proposed Rule 1006C, the closing settlement value for PHLX FOREX Options and for the FLEX PHLX FOREX Options on the currencies listed in the rule shall be the spot market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62530; File No. SR-Phlx-2010-96] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trading Halts in Options During a Trading Pause in the Underlying Securities July 19, 2010. Pursuant to Section 19(b)(1) of th...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-21
... from ``Phlx XL II'' to ``PHLX XL'' for branding purposes. The text of the proposed rule change is..., for the purpose of executing a particular investment strategy. A Complex Order can also be a stock... set at 10%, and a PHLX XL participant submits a Complex Order with a strategy to buy Series A and buy...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-27
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... by the self-regulatory organization. The Commission is publishing this notice to solicit comments on...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63731; File No. SR-BX-2010-083] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to the Price Improvement... (``BOX'') to permit an Options Participant initiating a Price Improvement Period (``PIP'') to designate a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-09
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange... managing their orders in the event of symbol changes and changes in listing venue, by cancelling open...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62638; File No. SR-BX-2010-043] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing for Direct... establish pricing for 10Gb direct circuit connections and codify pricing for 1Gb direct circuit connections...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-18
... addresses BX Rule 3011 pertaining to anti-money laundering compliance programs. In SR-FINRA-2009-039,\\3... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69343; File No. SR-BX-2013-026] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt... not be a true reflection of the value of the series being quoted. In response to these concerns, the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61426; File No. SR-Phlx-2010-05] Self... Professional Orders January 26, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934... PHLX, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or...
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75 FR 8762 - NASDAQ OMX PHLX, Inc.; Order of Summary Abrogation
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-25
... other things, assess a transaction fee of $0.05 per contract on Phlx specialists, Streaming Quote Traders (``SQTs'') and Remote Streaming Quote Traders (``RSQTs'') \\2\\ for equity option orders directed to... assessed a transaction fee of $0.21 per contract when it trades with an order not directed to it. In SR...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-13
...-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Identify the Proprietary Data Feed of BOX Market Information That BOX Makes Available to Its...). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-27
... Latency Network Connections December 20, 2011. I. Introduction On October 31, 2011, NASDAQ OMX BX, Inc... establish a program for offering low latency network connections and to establish the initial fees for such connections. The Exchange also proposed administrative modifications to Exchange Rule 7034. The proposed rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-05
...-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members... Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposal to Amend Chapter VI... Exchange Commission (the ``Commission'') the proposed rule change as described in Items I and II below...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-01
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65203; File No. SR-Phlx-2011-120] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Change the Name of the PSX Ouch BBO Feed to the PSX MatchView Feed and To Modify Its Contents August 26, 2011. Pursuant to Section 19(b)...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67956; File No. SR-Phlx-2013-42] Self... PHLX LLC (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-31
...: ``Immediate family member' means a person's spouse, parents, children and siblings, whether by blood, marriage... to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. December 21... by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the ``Corporation...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68268; File No. SR-BX-2012-072] Self-Regulatory... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 15, 2012, NASDAQ OMX BX, Inc. (``BX'' or the ``Exchange'') filed with the Securities and Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63694; File No. SR-BX-2011-001] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Trading Rules Regarding Voluntary Withdrawal From Trading Options Classes in Which They Are Appointed January 11, 2011....
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-08
... Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Dissolve... dissolve the BOX Committee of the Board of Directors. The text of the proposed rule change is available at... Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to dissolve the BOX Committee of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-04
... Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New... adopt new Rule 4763 as a written policy or procedure to implement the amendments to Rules 200(g) and 201... Act Release No. 61595 (Feb. 26, 2010), 75 FR 11232 (Mar. 10, 2010) (``Adopting Release'') (amending...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71055; File No. SR-BX-2013-059] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 29, 2013...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-08
... business on the Exchange. The proposed change will have no effect on the assessment of fees for current BOX... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69232; File No. SR-BX-2013-013] Self-Regulatory.... Introduction On February 6, 2013, NASDAQ OMX BX, Inc. (``Exchange'' or ``BX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61261; File No. SR-BX-2009-086] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Minimum Trading Increments on the Boston Options Exchange Facility December 30, 2009. Pursuant to Section 19(b)(1) of the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-10
... Chapter XV, Section 2 entitled ``BX Options Market--Fees and Rebates'' to adopt rebates and fees relating... approval to operate a new options market.\\3\\ The new market, called NASDAQ OMX BX Options, or BX Options... rebates and fees for Customers, BX Options Market Makers \\4\\ and Non-Customers \\5\\ in various options \\6...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65867; File No. SR-BX-2011-080] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality December 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63416; File No. SR-BX-2010-083] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to The Price Improvement... Items I and II below, which Items have been prepared by the self-regulatory organization. The Commission...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-14
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... Exchange Commission (``Commission'') the proposed rule change as described in Items I, II and III below... comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71168; File No. SR-BX-2013-064] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of ``System Securities'' in BX Rule 4751(b) December 20, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65780; File No. SR-BX-2011-076] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality November 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-18
...] simultaneously trade different asset classes within a single strategy. Phlx also notes that cash equities and... asset classes, Phlx is introducing a pricing incentive to encourage market participants that are active... equitable allocation of reasonable dues, fees and other charges among members and issuers and other persons...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-17
... Exchange proposes to amend its Customer and Professional Routing Fees governing pricing for Exchange members using the Phlx XL II system,\\3\\ for routing standardized equity and index option Customer and...) (SR-Phlx-2009-32). The instant proposed fees will apply only to option orders entered into, and routed...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-20
... proposes to amend its Customer and Professional Routing Fees governing pricing for Exchange members using the Phlx XL II system,\\3\\ for routing standardized equity and index option Customer and Professional...-32). The instant proposed fees will apply only to option orders entered into, and routed by, the Phlx...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-27
... Rule Change To Make a Minor Modification To Pricing Incentive Programs September 23, 2013. Pursuant to... Substance of the Proposed Rule Change The Exchange proposes to make a minor modification to pricing.... Specifically, PHLX is proposing to exclude from volume-based pricing calculations any trading day on which PHLX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts... different treatment of orders of less than 50 contracts entered into Phlx's Price Improvement XL auction.... Description of the Proposal Phlx Rule 1080(n) provides a price improvement mechanism in which a member (an...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65447; File No. SR-BX-2011-067] Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Optional Functionality for a BOX Options Participant To Prevent Its Market Maker or Proprietary Broker-Dealer Orders Entered in BOX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-09
..., dated September 28, 2010; Michael R. Trocchio, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc... Listing Market on the Exchange March 3, 2011. On August 20, 2010, NASDAQ OMX BX, Inc. (the ``Exchange... change to create a listing market on the Exchange. The proposed rule change was published for comment in...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-09
... Change The Exchange proposes to amend Exchange Rule 1082, Firm Quotations, by modifying Exchange Rules 1017, Openings in Options, and 1082, Firm Quotations, to describe the manner in which the PHLX XL... Exchange Rule 1082(a)(ii)(B)(3). Rather than immediately executing at the next available price, the PHLX XL...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-07
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65226; File No. SR-BX-2011-059] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Name of the BX Ouch BBO Feed to the BX MatchView Feed and To Modify Its Contents August 30, 2011. Pursuant to Section 19(b)(1) of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-19
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating To Extend the Cut-Off Time... Deliveries) of the Rules of the Boston Options Exchange Group, LLC (``BOX'') to extend the cut-off time to... proposed rule change is to amend Chapter VII, Section 1 of the BOX Trading Rules to extend the cut-off time...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63907; File No. SR-BX-2011-008] Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and BX Data Add-On February 14, 2011. Pursuant to Section 19(b)(1) of the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-09
... Parameter (``ACE Parameter'') in Rule 1080.08(i), which is the price range outside of which a Complex Order.... Proposed new language is italicized; deleted text is in brackets. * * * * * Rule 1080. Phlx XL and Phlx XL...\\ See Rule 1080.08(a). Currently, the ACE Parameter is always a percentage, not less than 3 percent. The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-22
... Change to Amend Phlx Options Rule 1080(m) July 18, 2011. Pursuant to Section 19(b)(1) of the Securities... proposes a rule change to amend PHLX Options Rule 1080(m) to make certain changes consistent with the... Options Rule 1080(m) to describe the manner in which the Exchange's affiliated routing broker-dealer...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-18
... operate the BX Options market. BX's history dates back to the 1830s. For many years, the Boston Stock... OMX BX. BX re-launched an equities marketplace utilizing state of the art NASDAQ technology, having...). Consistent with that storied history as a long-time competitor in the U.S. markets, BX now proposes to launch...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-20
..., Secretary, Commission, from Michael R. Trocchio, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc... Rule Change To Create a Listing Market on the Exchange October 14, 2010. On August 20, 2010, NASDAQ OMX... thereunder,\\3\\ a proposed rule change to create a listing market, which will be called ``BX.'' The proposed...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-14
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3(d... proposes to adopt a new Chapter V, Section 3(d)(iii) to provide for how the Exchange proposes to treat... Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to adopt Chapter V, Section 3...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69229; File No. SR-Phlx-2013-15] Self... (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-19
... with the Commission, Phlx included statements concerning the purpose of and basis for the proposed rule... information advantages resulting from the affiliation between Phlx and NOS, as related to NOS's authority to... violated Exchange or Commission Rules; \\12\\ \\12\\ The Exchange, FINRA, and SEC staff may agree going forward...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-08
... of Exchange House Accounts November 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange...'' and insert this new Rule in its place. \\6\\ These accounts are Phlx member house accounts which are assigned by the Exchange's Membership Department. These Phlx house accounts are not customer accounts but...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-20
... nondiscriminatory fashion.\\14\\ \\14\\ See Phlx Rule 3315(d)(3). Phlx and NES will be required to assign all error... will be required to establish and enforce policies and procedures that are reasonably designed to... exchange be designed to prevent fraudulent and manipulative acts and practices, to promote just and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-24
... Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. To Adopt Rule 4120(a)(11) Concerning Individual Stock Trading Pauses and To Adopt Related IM-4120-3 May 19, 2010. Pursuant to Section... Change The Exchange is filing this proposed rule change to adopt Rule 4120(a)(11) concerning individual...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-07
... Relating to Permitting Concurrent Listing of $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1... (``Act''),\\1\\ and Rule 19b-4 \\2\\ thereunder, notice is hereby given that on March 30, 2010, NASDAQ OMX BX... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-05
... facilitation for purposes of Phlx Rule 1064.02, and corrects a technical error by revising the reference to... regarding the definition of ``professional'' for Phlx Rule 1064.02; and changes ``five days'' to ``five... synthetic options orders; and 1064.02, concerning facilitation orders and firm participation guarantees; \\7...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-25
...-growing (yet extremely volatile) semiconductor industry. When investors want information and investment... Number of Components in the PHLX Semiconductor Sector\\SM\\ Known as SOX\\SM\\, on Which Options Are Listed... Commission a proposal to expand the number of components in the PHLX Semiconductor Sector\\SM\\ known as SOX\\SM...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-05
... Amendment No. 1 Thereto by NASDAQ OMX PHLX LLC Relating to Active SQF Port Fee December 29, 2010. Pursuant... Exchange proposes to amend its Active Specialized Quote Feed (``SQF'') Port Fee to create a tiered schedule... the Active SQF Port Fees to establish a tiered schedule of fees.\\3\\ SQF is an interface that enables...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-17
... index composed of fifteen companies that provide oil drilling and production services, oil field... Number of Components in the PHLX Oil Service Sector\\SM\\ Known as OSX \\SM\\, on Which Options Are Listed... Commission a proposal to expand the number of components in the PHLX Oil Service Sector\\SM\\ (the ``Index'' or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-13
...\\ See Letter from Stephen Matthews, Senior Associate General Counsel, NASDAQ OMX, dated Jan. 15, 2013... from Jeffrey S. Davis, Vice President and Deputy General Counsel, NASDAQ OMX, dated Feb. 27, 2013. \\10.... O'Neill, Deputy Secretary. [FR Doc. 2013-13999 Filed 6-12-13; 8:45 am] BILLING CODE 8011-01-P ...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-03
... traditional SPDRs[supreg] ETF (SPDRs[supreg] Trust Series 1) holds a stake in the 500 stocks represented by... Stock (``QQQ \\SM\\''),\\6\\ the third most actively traded options, traded a total of 8,730,718 contracts...], Nasdaq[supreg], Nasdaq-100 Index Tracking Stock \\SM\\, and are trademarks or service marks of The Nasdaq...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-19
...) PIXL order for just a few contracts is more appropriate for exposure to aggressive price competition... other participants in PIXL. Accordingly, Phlx participants will be motivated to be more aggressive and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-18
... proposes to amend the Exchange's Pricing Schedule at Section VII, C to update FINRA fees to mirror the text... its Pricing Schedule at Section VII, C entitled ``FINRA Fees'' to mirror the rules of the NASDAQ Stock... in the Pricing Schedule with text similar to that of NASDAQ Stock Market Rule 7003(a)(1)--(5) \\3\\ and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-26
... To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities April 20... establish strike-price intervals for options on Index-Linked Securities and to establish trading hours for... exchange-traded notes (``ETN'')), Phlx has proposed to establish strike price intervals and trading hours...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-08
... Rotations, Halts and Suspensions'' and Rule 1047A, entitled ``Trading Rotations, Halts or Reopenings'' to... trading for technical issues on Phlx. \\3\\ See Rule 1. An ``Option Exchange Official'' is an Exchange staff...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-10
... system,\\3\\ for routing standardized equity and index option customer and professional orders to away... No. 59995 (May 28, 2009), 74 FR 26750 (June 3, 2009) (SR-Phlx-2009-32). The instant proposed fees... and executing customer and professional orders in equity and index options to away markets. In May...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-30
..., and (ii) terminate the opening process when away markets become crossed during the opening process. A new opening process for the affected series would commence at the time the Away Best Bid/Offer (``ABBO... PHLX XL system currently calculates the OQR without regard to away market(s) in the affected series...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-18
... the CoLo Console \\3\\ during the months of January and February of 2013, provided that such cabinets... exceed the Baseline Number. \\3\\ The ``CoLo Console'' is Phlx's web-based ordering tool, and it is the...
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75 FR 7534 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-19
..., 2009), 74 FR 26750 (June 3, 2009) (SR-Phlx-2009-32). The instant proposed fees will apply only to... believes that this fee would enable it to recoup costs associated with routing customer orders on behalf of..., and all written communications relating to the proposed rule change between the Commission and any...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-30
... II system,\\3\\ for routing standardized equity and index option customer orders to away markets for... 28, 2009), 74 FR 26750 (June 3, 2009) (SR-Phlx-2009-32). The instant proposed fees will apply only to... change is to recoup costs that the Exchange incurs for routing and executing customer orders in equity...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-29
... system \\3\\ disseminates quotations when (i) there is an opening imbalance in a particular series, and (ii... present in a particular series. \\3\\ This proposal refers to ``PHLX XL'' as the Exchange's automated... side of a quote as non-firm. The Exchange has approached OPRA to attempt to develop the capability to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-29
.... Description of the Proposal The purpose of the proposal is to amend two subsections of Exchange Rule 1080 to allow entry of day limit orders for the proprietary accounts of SQTs and RSQTs. Current Rule 1080 (Phlx....\\4\\ Rule 1080 states that it governs the orders, execution reports and administrative order messages...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-28
... Rule Change Relating to the Risk Management Interface May 24, 2010. Pursuant to Section 19(b)(1) of the... proposes to effect an information-related enhancement to the current Risk Management Feed Interface in Phlx... trade updates through a Risk Management Feed known as the ``RMP''.\\3\\ The updates include the members...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-24
...-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change To Amend The..., 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange... The NASDAQ Stock Market LLC proposes to amend the By-Laws of its parent corporation, The NASDAQ OMX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-30
... (Rule 1009A(f)), U.S. Dollar-Settled Foreign Currency option contracts (Rule 1057) and PHLX FOREX option... 1037, 1042(c) and (h), 1057, 1006A, 1009A(f), 1042A(b), 1101A(c), Rule 1101A, Commentary .01, 1006C(a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-14
... new Options Floor Broker Management System. II. Self-Regulatory Organization's Statement of the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70141; File No. SR-Phlx-2013-83] Self... Change To Delay the Implementation of the Options Floor Broker Management System Until the End of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-26
... Floor Broker Management System. II. Self-Regulatory Organization's Statement of the Purpose of, and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69811; File No. SR-Phlx-2013-67] Self... Change To Delay the Implementation of its New Options Floor Broker Management System June 20, 2013...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-04
..., impose significant competitive pressure on Phlx to act equitably, fairly, and reasonably in setting the... NYSE Arca Order, the Commission also stated that, ``when possible, reliance on competitive forces is....'' \\36\\ If an exchange ``was subject to significant competitive forces in setting the terms of a proposal...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-07
... facility or system which the Exchange operates or controls. The Exchange believes that the fee is... system, and, in general, protect investors and the public interest. The Exchange believes the proposed... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66284; File No. SR-Phlx-2012-04] Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-08
... amend Phlx Rule 1079 (FLEX Index, Equity and Currency Options) to extend a pilot program that eliminates...\\ \\3\\ In addition to FLEX Options, FLEX currency options are also traded on the Exchange. These flexible index, equity, and currency options provide investors the ability to customize basic option...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-02
... result in more active market making. In addition, Phlx states that excluding transactions where the contra-side is another ROT should encourage more regular and active market making. III. Discussion The... applicable to ROTs should encourage more active market making and thereby promote the provision of liquidity...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-03
... purpose of and basis for the proposed rule change and discussed any comments it received on the proposed... the Nominating Committee to the Nominating & Governance Committee; (ii) amended the PHLX reference to... governance functions such as consulting with the Board and the management to determine the characteristics...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67123; File No. SR-Phlx-2012-75] Self.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change...=PHLXfilings , at the principal office of the Exchange, and at the Commission's Public Reference Room. II. Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66754; File No. SR-Phlx-2012-41] Self.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change... XL'' for branding purposes. The text of the proposed rule change is available on the Exchange's Web...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-11
... competition and affords the opportunity for price improvement to more options contracts. B. Self-Regulatory... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65043; File No. SR-Phlx-2011-104] Self... Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL August 5, 2011...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-09
... of Substance of the Proposed Rule Change NASDAQ proposes to modify pricing for NASDAQ members using... its pricing schedule for routing and execution of quotes/orders through the NASDAQ Market Center of... entering Directed Orders sent to NASDAQ OMX PSX. The current charge of $0.0027 reflects a premium of $0...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-13
... rebate will apply throughout that month. \\6\\ Phlx is adding a footnote to the fee schedule defining... not designed to permit unfair discrimination between customers, issuers, brokers, or dealers. \\9\\ 15 U... tier of $0.0028 per share executed upon the satisfaction of stipulated requirements for volume and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-20
... Fee for members and member organizations transacting an options business; and (ii) amend the Inactive... require members and member organizations to transact business using an assigned Phlx house account. In... organizations who transact business on the Exchange and $7,500 for members and member organizations who do not...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-22
... prefer not to advertise their order but are willing to provide price improvement. 2. Statutory Basis The... in the interest of investors because it will expedite the introduction of new features to the PHLX... to delay their introduction at the Exchange. Therefore, the Commission designates the proposal to be...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68267; File No. SR-Phlx-2012-133] Self...) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby... Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-14
... system,\\3\\ for routing standardized equity and index option Customer and Professional orders to away... No. 59995 (May 28, 2009), 74 FR 26750 (June 3, 2009) (SR-Phlx-2009-32). The instant proposed fees... costs that the Exchange incurs for routing and executing Customer and Professional orders in equity and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-19
... them in sequence for entry into the System for execution. Each of Phlx's current connection offerings... connectivity and installation fees for a 10Gb Ultra low latency fiber connection option, and provide a waiver... bandwidth options for connectivity to the Exchange, including a 40Gb fiber connection, a 10Gb fiber...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-17
... switch port in the test environment. The test environment is designed to closely mirror the live equity... Change To Establish Fees Under the PHLX Pricing Schedule for Use of the Carteret Testing Facility Test... establish fees under the Pricing Schedule for use of the Testing Facility (``NTF'') test environment located...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-21
... the individual components, for the same account, for the purpose of executing a particular investment strategy. See Exchange Rule 1080.08(a)(i). \\5\\ See Exchange Rule 1080.08(e). The Exchange believes that... strategies. The Exchange believes that PHLX Orders is a valuable tool that subscribers can use to gain...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-17
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67399; File No. SR-Phlx-2012-94] Self... Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL July 11, 2012...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69989; File No. SR-Phlx-2013-74] Self... Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL July 16, 2013...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-09
... stocks on which option series may be listed at $1 strike price intervals. To be eligible for inclusion in..., 2003) (SR-Phlx-2002-55) (approval of pilot program). The Strike Program was then extended several times... option series with $1 strike price intervals for any class selected for the program, except as...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
..., 2009) (SR-Phlx-2009-32). The instant proposed fees will apply only to option orders entered into, and... includes Routing Fees for routing and executing Customer and Professional orders to away markets. The... assesses a Customer Routing Fee of $0.36 per contract for option orders that are routed to BATS. This fee...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-08
... routing certain equity and index option Customer orders to away markets for execution. \\3\\ For a complete..., 2009) (SR-Phlx-2009-32). The instant proposed fees will apply only to option orders entered into, and... and executing certain Customer orders in equity and index options to away markets. In May 2009, the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-03
...,\\3\\ for routing standardized equity and index option Customer and Professional orders to away markets.... 59995 (May 28, 2009), 74 FR 26750 (June 3, 2009) (SR-Phlx-2009-32). The instant proposed fees will apply... Customer and Professional orders in equity and index options to away markets. In May 2009, the Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64284; File No. SR-Phlx-2011-48] Self... Change To Update Provisions Regarding the Dress Code and Trade Verification April 8, 2011. Pursuant to.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-25
... contracts (Rule 1057) and PHLX FOREX option contracts (Rules 1000C-1009C). Standard expiration contracts... apply only to series of option contracts opened for trading after the effective date of the OCC rule... trading of options in order to change the expiration date for most option contracts to the third Friday of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-01
.... 59154 (December 23, 2008), 73 FR 80468 (December 31, 2008) (SR-BSE-2008-48). B. Market Making Phlx... PSX Market Maker or other entity approved by the Exchange to function in a market-making capacity.\\12... MarketWatch department promptly, the PSX Market Maker was not attempting to avoid its market making...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-23
..., and in fact may create investor confusion about the extent of trading interest in a stock. In extreme... orders at different price levels to move the price of a stock. While Phlx has an active program to detect... market manipulation. The fee will be imposed on market participant identifiers (``MPID'') that have...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-08
.... See Rule 1064(e). See also Securities Exchange Act Release No. 64688 (June 16, 2011) (SR-Phlx- 2011-56... permitted to enter Floor QCC Orders. See Exchange Rule 1064. Exchange Rule 1064(e)(2) prohibits Options... pursuant to Exchange Rule 1064 when such members are trading in their own proprietary account. Firms that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-27
... market and to protect investors (Rule 3100(a)(2)); a halt in a Derivative Securities Product (as defined... Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012). a trading halt in a Derivative Security... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69817; File No. SR-Phlx-2013-66] Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-09
... direct connection requires Phlx to provide cabinet space and middleware for those customers' third-party...). \\4\\ Id. at page 4 and page 8. \\5\\ Id. \\6\\ Id. \\7\\ See Exchange Fee Schedule, Section X(b... customers who are not co-located in the Exchange's data center, but require shared cabinet space and power...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68216; File No. SR-Phlx-2012-125] Self... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's...=PHLXRulefilings , at the principal office of the Exchange, and at the Commission's Public Reference Room. II. Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64061; File No. SR-Phlx-2011-30] Self... proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self... Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-15
... Change To Correct a Typographical Error in Exchange Rule 1080 August 9, 2011. Pursuant to Section 19(b)(1... Rule 1080 (Phlx XL and XL II) to correct a typographical error. The text of the proposed rule change is... in subsection (m)(iii)(D) of Rule 1080. On July 13, 2011, the Exchange filed an immediately effective...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-24
... the book solely for the purpose of modifying the marking of a sell order as long, short, or short... not affect the priority of the order on the book. All other modifications of orders will result in the... size of the order) does not cause the order to lose priority on the PSX book. Phlx believes that it is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66755; File No. SR-Phlx-2012-42] Self... proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self...=PHLXfilings , at the principal office of the Exchange, and at the Commission's Public Reference Room. II. Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-19
.... B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe... furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68217; File No. SR-Phlx-2012-130] Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-21
... to ascertain other business relationships of an officer or director from disclosures made by members... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65745; File No. SR-Phlx-2011-149] Self.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-01
... collected, unless a Quote Exhaust has occurred, in which case the Quote Exhaust process in Rule 1082(a)(ii.... * * * * * Rule 1082 Firm Quotations (a)(i)-(ii)(B)(3)(g)(v) No change. (vi) If, after trading at the Phlx and/or... occurred, in which case the Quote Exhaust process in Rule 1082(a)(ii)(B)(3) will ensue,\\6\\ triggering a new...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-08
... Options, and 1082, Firm Quotations, to extend, through February 29, 2012, a pilot program (the ``pilot... 1082(a)(ii)(B)(3). Rather than immediately executing at the next available price, the PHLX XL system.... Currently, Exchange Rules 1082(a)(ii)(B)(3)(g)(iv)(A)(3), 1082(a)(ii)(B)(3)(g)(iv)(A)(4), 1082(a)(ii)(B)(3...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-14
..., Openings in Options, and 1082, Firm Quotations, to extend, through July 31, 2011, a pilot program (the... 1082(a)(ii)(B)(3). Rather than immediately executing at the next available price, the PHLX XL system.... Currently, Exchange Rules 1082(a)(ii)(B)(3)(g)(iv)(A)(3), 1082(a)(ii)(B)(3)(g)(iv)(A)(4), 1082(a)(ii)(B)(3...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-15
... integrated order display and execution system for all NMS stocks,\\4\\ as defined in SEC Rule 600(b)(47) under... (September 9, 2010), 75 FR 56633 (September 16, 2010) (SR-Phlx-2010-079). \\5\\ See 17 CFR 242.600(b)(47). \\6... Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 \\2\\ thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-07
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63027; File No. SR-Phlx-2010-108] Self... a Proposed Price Improvement System, Price Improvement XL October 1, 2010. I. Introduction On July...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to establish Price Improvement XL (``PIXL...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-23
... Forex Options can be found at Rule 1000C et seq. Rules applicable to Treasury security options are being... databases providing bond information, including information regarding the listing and/or trading location of... of options on foreign exchange (``forex'') currencies (``PHLX FOREX options'').\\15\\ In 2010 and 2011...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-22
... National Best Bid and Offer (``NBBO''); and (iv) be rejected if a Customer order is resting on the Exchange... exposure if no Customer Orders \\8\\ exist on the Exchange's order book at the same price. \\7\\ Phlx Rule 1080... time; (iv) the specific relationship between the component orders (e.g., the spread between the prices...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-15
...-Location Fee Schedule Regarding Low Latency Network Connections; Correction AGENCY: Securities And Exchange Commission. ACTION: Notice; correction. SUMMARY: The Securities and Exchange Commission published a document... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65689A; File No. SR-Phlx-2011-142] Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64276; File No. SR-Phlx-2011-13] Self... Agreement, By-Laws, Rules, Advices and Regulations April 8, 2011. I. Introduction On February 16, 2011..., By-Laws, Rules, Advices and Regulations to alter its governance process and to make other non...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-09
... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization... Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of... practices provided by the fee. B. Self-Regulatory Organization's Statement on Burden on Competition Phlx...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-26
... allocating the execution of incoming orders against orders resting on the PSX book.\\4\\ Phlx anticipated that... arrive on the book is executed first. (3) Non-Displayed Orders and the Reserve Portion of Quotes \\5\\ and... Orders, the first to arrive on the books is executed first. \\5\\ As discussed below, PSX will introduce...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63981; File No. SR-Phlx-2011-13] Self... Regulations February 25, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\\1... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-23
... settlement, adjust, retain priority for, or otherwise correctly process an order, Quote/Order, message, or... Directors of NASDAQ OMX an analysis of the total value of eligible claims. FINRA has provided the required analysis. The provision further requires that Nasdaq will file with the Commission a rule proposal setting...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-24
... assesses Non-Customers a flat rate of $0.95 per contract on all Non-Customer orders routed to any away market and the Exchange assesses Customer orders a fixed fee plus the actual transaction fee dependent on the away market. Specifically, the Exchange assesses Customer orders routed to NASDAQ Options Market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-19
... a Customer order is resting on the Exchange book at the same price. A QCC Order shall only be... unreasonably discriminatory.\\15\\ NASDAQ [sic] believes that the analytical framework adopted in the ArcaBook...), 73 FR 74770 (December 9, 2008) (SR-NYSEArca-2006-21) (``ArcaBook Order''), vacated on other grounds...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-03
... (March 26, 2013) (SR-Phlx-2013-28) (notice of filing and immediate effectiveness implementing MDS on PSX...) (notice of filing and immediate effectiveness implementing MDS on BX) (the ``BX MDS filing''). No other... effectiveness implementing MDS on NASDAQ) (the ``NASDAQ MDS filing''). Other markets have also implemented a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-16
... fee schedule by establishing fees for a direct data product, Top of Phlx Options Plus Orders (``TOPO Plus Orders''), which currently provides disseminated Exchange top-of- market data (including orders... instead offer TOPO Plus Orders to participants that wish to continue to receive the data currently...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-17
... 70857 (Nov. 27, 2012). \\7\\ See Letter from Stephen Matthews, Senior Associate General Counsel, NASDAQ.... 13, 2013. See Letter from Jeffrey S. Davis, Vice President and Deputy General Counsel, NASDAQ OMX.... O'Neill, Deputy Secretary . [FR Doc. 2013-08974 Filed 4-16-13; 8:45 am] BILLING CODE 8011-01-P ...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69141; File No. SR-Phlx-2013-29] Self... rule change as described in Items I, II and III below, which Items have been prepared by the self... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-24
... in options to which such RSQT has been assigned. The various market making requirements applicable to... 506. Accordingly, while Phlx's rules provide for remote market-making ROTs (i.e., RSQTs), they do not... classes the Remote Specialist will have the very same quoting (market making) requirements that are...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-15
..., thereby maintaining the $0.0002 markup that exists in the current fee schedule. \\4\\ SR-PHLX-2011-11... recent pricing changes by that venue, and allows NASDAQ to maintain the current markup of $0.0002 per...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-09
...: (i) Significantly affect the protection of investors or the public interest; (ii) impose any... Stockholders' Agreement Between The NASDAQ OMX Group, Inc. and Investor AB February 3, 2011. Pursuant to... parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX''), and Investor AB, a corporation organized...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-14
..., the Commission is not publishing it for comment.\\4\\ This order approves the proposed rule change, as... NASDAQ OMX Corporate Governance Guidelines, however, provide a different standard for uncontested... contained in the Corporate Governance Guidelines; contested elections would remain subject to the plurality...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-02
... member'' as follows: `` `Immediate family member' means a person's spouse, parents, children and siblings... Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc... the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-02
... family member' means a person's spouse, parents, children and siblings, whether by blood, marriage or... Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc... the amendment of the by-laws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-05
... transaction fees for Broker-Dealers and Firms. NASDAQ OMX BX, Inc., (``BX''), International Securities Exchange, LLC (``ISE'') and NYSE Arca, Inc. (``NYSE Arca'') also charge Broker-Dealer transactions at the... to the market and regulatory requirements\\7\\ which normally do not apply to other market participants...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-05
... purpose of and basis for the proposed rule change and discussed any comments it received on the proposed... Executive Committee and the Nominating and Governance Committee, as well as the full Board of Directors. \\3... Director'' means a Director who has no material business relationship with a broker or dealer, NASDAQ OMX...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-02
...'') and NASDAQ OMX BX, Inc. (``BX Options'') and a $0.11 per contract \\4\\ fixed Routing Fee to all other... fee assessed by the Exchange.\\7\\ \\3\\ In a previous rule filing, the Exchange discussed the manner in... Act Release No. 68025 (October 10, 2012), 77 FR 63398 (October 16, 2012) (SR-OCC-2012-18). \\7\\ For...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-24
... fee assessed by the away market. With respect to Customer orders that are routed to NASDAQ OMX BX, Inc..., to increase the fixed fee from $0.11 to $0.15 per contract.\\7\\ The Exchange currently does not recoup... per contract. \\7\\ The Exchange is not proposing to amend Non-Customer Routing Fees or Routing Fees for...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
...-regulatory organization consents, the Commission shall either approve the proposed rule change, disapprove...-NYSEAmex-2011-73; SR- NYSEArca-2011-68; SR-Phlx-2011-129] Self-Regulatory Organizations; BATS Exchange, Inc... PHLX LLC; Notice of a Designation of a Longer Period for Commission Action on Proposed Rule Changes...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-04
... Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC... Whether To Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market.... (``FINRA''), International Securities Exchange LLC (``ISE''), The NASDAQ Stock Market LLC (``Nasdaq...
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77 FR 38421 - Listing Standards for Compensation Committees
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-27
..., International Securities Exchange, NASDAQ OMX BX (formerly the Boston Stock Exchange), The NASDAQ Stock Market... hand, the NASDAQ Stock Market (``Nasdaq'') does not mandate that a listed issuer have a compensation... Markets Inc. (``Better Markets''), CFA, Georg Merkl (``Merkl''), National Association of Corporate...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... review functions focused on: (1) Manipulation patterns that monitor solely BX activity, including patterns that monitor the opening and closing crosses on The NASDAQ Stock Market LLC (``NASDAQ'') and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-04
... Stock Market, LLC To Amend the By-Laws of The NASDAQ OMX Group, Inc. April 27, 2010. Pursuant to Section... is hereby given that on April 9, 2010, The NASDAQ Stock Market LLC (the ``NASDAQ Exchange'') filed... By-Laws to make improvements in its governance. In SR-NASDAQ-2010-025, The NASDAQ Stock Market LLC...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-03
... Exchange or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs and To... the authority of BX or NASDAQ Execution Services (``NES'') to cancel orders when a technical or... issue may occur at BX, NES, or a routing destination that causes BX or NES to cancel orders, if BX or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-11
... execution, order or cancel information, which can be exported into a spreadsheet for review. TradeInfo.... This is the same fee assessed to NOM Participants and PHLX members for this service. Use of TradeInfo... allocate trades to the appropriate accounts and sub- accounts for clearing. The Options Clearing...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-03
... proposed rule change and discussed any comments it received on the proposed rule change. The text of these... the Nominating & Governance Committee; (ii) amended the Phlx reference to reflect a recent conversion... Article IV, Section 4.13(h), the Nominating Committee also conducts certain governance functions such as...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-10
... routing strategies \\4\\ (the same fee charged for routing to all venues other than the New York Stock Exchange (``NYSE'')), $0.0035 per share executed for orders that use the BMOP routing strategy (the same... charged by PSX for orders that use the BTFY or BCRT routing strategies. \\3\\ See SR-Phlx-2012-102 (July 31...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-15
... reflects a competitive pricing structure designed to incent market participants to direct their order flow... OMX BX fee schedule at: http://www.nasdaqtrader.com/Trader.aspx?id=bx_pricing . \\15\\ See BATS BYX fee... rest of the trading session. See NASDAQ Rule 4758 and NASDAQ Pricing List at: http://www.nasdaqtrader...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-31
... a trading halt. This proposal is based on and substantially similar to Rule 1092(c)(iv)(A) of NASDAQ... the trade agree to the nullification. The Exchange notes that the PHLX Rule 1092(c)(iv) also includes... been halted by the Exchange, and therefore is not proposing to adopt PHLX Rule 1092(c)(iv)(B)-(C...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-14
... on the Exchange's Internet Web site at http://www.directedge.com . \\3\\ A Member is any registered... Parallel D or Parallel 2D with the DRT (Dark routing technique) option on BZX. BZX charges $0.0020 per... the DRT (Dark routing technique) option on BZX or SCAN/STGY on Nasdaq OMX Exchange (``Nasdaq.'') BATS...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-05
... Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendments No... September 21, 2011, the Options Clearing Corporation (``OCC'') filed with the Securities and Exchange... OMX PHLX has proposed to trade options on indexes (``Alpha Index Options'') that measure the relative...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-24
... proposing to make available to members the Trading and Compliance Data Package under BX Rule 7021 (``Data Package''). The Data Package allows member firms to obtain via NasdaqTrader.com information regarding their own historical quoting and trading activity on BX. The Data Package will provide BX Participants...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-17
...., International Securities Exchange LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Amex LLC... Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process August 11... continue to operate in the same manner after changes to the single stock trading pause process are...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-09
... Permit Concurrent Listing of $2.50 and $1 Strikes on MNX Options September 2, 2010. Pursuant to Section... concurrently list $2.50 and $1 strikes on Mini- Nasdaq-100 Index (``MNX'') options, and that certain listing parameters only apply to $1 strikes on MNX options. The text of the proposed rule change is available from...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-25
... Non-Displayed Order would be cancelled by the NASDAQ system if the market moved through the price of... 4751(f)(7) Concerning the Processing of the Price To Comply Order May 18, 2012. Pursuant to Section 19... Change The Exchange proposes to clarify how the processing of a Price to Comply Order under Rule 4751(f...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-07
...-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX... the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as... publishing this notice to [[Page 6645
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-11
... OMX PHLX, Inc. To Amend the $1 Strike Program To Allow Low-Strike LEAPS January 4, 2010. Pursuant to... 1012 (Series of Options Open for Trading) to expand the Exchange's $1 Strike Price Program (``Program'' or ``$1 Strike Program'') \\3\\ to allow listing long-term option series (``LEAPS'') \\4\\ in $1 strike...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-16
.... However, as the Commission has made clear with respect to BX's affiliate, the NASDAQ Stock Exchange LLC...: Manipulation patterns that monitor solely BX activity, including patterns that monitor activity that might... the opposite side of the BX market at an improved price (often referred to as ``odd lot manipulation...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-28
..., NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance Committee... requirements of the Nominating & Governance Committee, including independence requirements. BSECC expects that... increase the size of the Nominating & Governance Committee to six directors, but will not modify the size...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-28
..., NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance Committee... requirements of the Nominating & Governance Committee, including independence requirements. SCCP expects that... increase the size of the Nominating & Governance Committee to six directors, but will not modify the size...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68536; File No. SR-SCCP-2012-02] Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-26
...'') \\5\\, NASDAQ OMX BX, Inc (``BX Options'') \\6\\, and BOX Options Exchange LLC (``BOX'') \\7\\ eliminated... (November 2, 2012) (SR-BX-2012-069). \\7\\ See Securities Exchange Act Release No. 68412 (December 12, 2012... competitive market comprised of eleven U.S. options exchanges in which sophisticated and knowledgeable market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-03
... Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To...-regulatory organization. The Exchange filed the proposed rule change pursuant to Section 19(b)(3)(A)(ii) of... purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-12
... yield Flag K would increase intermarket competition because it offers customers an alternative means to...) Increase the fee for orders yielding Flag K, which routes to NASDAQ OMX PSX (``PSX'') using ROUC or ROUE... for orders yielding Flag K, which routes to PSX using ROUC or ROUE routing strategies; and (ii...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-16
... mechanisms for two different prices.\\42\\ NASDAQ OMX then cites two of its own proposed rule changes and...-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, As Amended, To Offer...\\ thereunder, a proposed rule change to offer certain new Exchange data products to Exchange Members \\3\\ and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-27
... statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it... Nominating and Governance Committee, as well as the full Board of Directors. \\4\\ An ``Industry Director... has no material business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-09
.... Second, NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance... approve a proposed rule change of a self-regulatory organization if it finds that such proposed rule... are in the custody or control of such clearing agency or for which it is responsible, and to comply...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-09
.... Second, NASDAQ OMX is proposing to amend the compositional requirements of the Nominating & Governance... approve a proposed rule change of a self-regulatory organization if it finds that such proposed rule... are in the custody or control of such clearing agency or for which it is responsible, and to comply...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-17
... December 2012 added TCV; and (ii) has an ``added liquidity'' to ``added plus removed liquidity'' ratio of... lower; and (2) Have an ``added liquidity'' to ``added plus removed liquidity'' ratio of at least 85...) Remove Flag RS, which routes to NASDAQ OMX PSX (``PSX'') and adds liquidity; (ii) make a non-substantive...
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17 CFR 242.103 - Nasdaq passive market making.
Code of Federal Regulations, 2014 CFR
2014-04-01
... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...
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17 CFR 242.103 - Nasdaq passive market making.
Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...
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17 CFR 242.103 - Nasdaq passive market making.
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...
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17 CFR 242.103 - Nasdaq passive market making.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of Section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...
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17 CFR 242.103 - Nasdaq passive market making.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of Section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-12
...) Increase the fee for orders yielding Flag K, which routes to NASDAQ OMX PSX (``PSX'') using ROUC or ROUE... for orders yielding Flag K, which routes to PSX using ROUC or ROUE routing strategies; and (ii) decrease the fee for orders yielding Flag RW, which routes to CBSX and adds liquidity. Flag K In securities...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-13
... Change To Permit OCC To Clear and Settle Spot Gold Futures, Which Are Proposed To Be Traded by NASDAQ OMX... Substance of the Proposed Rule Change The proposed rule change will permit OCC to clear and settle Spot Gold... change is to permit OCC to clear and settle Spot Gold Futures, which are proposed to be traded by NFX. A...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-22
... pursuant to an industry-wide initiative, under the auspices of the Intermarket Surveillance Group (``ISG... equivalent of the net delta'' of a hedged equity option position is subject to the position limits under... purposes of the Exemption. \\8\\ The term ``options contract equivalent of the net delta'' is defined in...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-04
...'') resulting from a Customer order that is (1) directed to it by an order flow provider, and (2) executed by it... rebates, which attracts additional Customer order flow to the Exchange and benefits all market... Customer Rebate for Adding Liquidity from $0.30 per contract to $0.32 per contract; (2) created a new...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-29
... categories of participants: Customers, broker-dealers, market makers (including specialists, Registered... respect to all-or-none orders, which will be treated like customer orders), 1033(e), 1064.02 (except professional orders will be considered customer orders subject to facilitation), and 1080.08 as well as Options...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-18
... Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice... Section 19(b)(3)(A)(ii) of the Act \\3\\ and Rule 19b-4(f)(2) thereunder,\\4\\ which renders the proposal... the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3...
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75 FR 1433 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-11
... all options series of SPY and IWM as eligible to quote in $0.01 increments, regardless of premium... Rule Change To Allow All SPY and IWM Option Series To Quote in Penny Increments January 4, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 \\2...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-14
... obligations in options and increased automation; specifically, the disseminated size is no longer an... for the trading floor community to keep handy, in lieu of the large, unwieldy rulebook; the Exchange... submit written data, views and arguments concerning the foregoing, including whether the proposed rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-07
.... The text of the proposed rule change is available on the Exchange's Web site at http://nasdaqtrader... and discussed any comments it received on the proposed rule change. The text of these statements may... Mining Corporation (``NEM''); Palm, Inc. (``PALM''); Pfizer, Inc. (``PFE''); ''); Potash Corp...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-31
... Rule Change Relating to Routing Fees, the Monthly Cap and Electronic Auctions August 25, 2010. Pursuant... Monthly Cap on equity option transaction fees; and (iii) clarify language relating to electronic auctions...-105. The Exchange also proposes to amend its Monthly Cap assessed on Registered Options Traders...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-24
... Change The Exchange proposes to clarify the definition of ``Directed Order'' in Rule 1080(l)(i)(A) by... ``Order Flow Provider'' is proposed to be made in Rule 1080(l)(i)(B). Second, amendments to Rule 1080(b)(i... opening orders to the list of eligible orders in Rule 1080(b)(i), as order types eligible for entry into...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-25
... prices. See Exchange Rule 1079. FLEX Options are a trademark of the Chicago Board Options Exchange. While... transactions executed pursuant to Exchange Rule 1079 (``FLEX equity options''). The Exchange believes that the... options transactions executed pursuant to Exchange Rule 1079. \\11\\ 15 U.S.C. 78f(b). \\12\\ 15 U.S.C. 78f(b...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-01
... prices. See Exchange Rule 1079. FLEX Options are a trademark of the Chicago Board Options Exchange. While... pursuant to Exchange Rule 1079 (``FLEX equity options''). The Exchange believes that the proposed fee... options transactions executed pursuant to Exchange Rule 1079. \\11\\ 15 U.S.C. 78f(b). \\12\\ 15 U.S.C. 78f(b...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-18
... Proposed Rule Change The Exchange proposes to amend Exchange Rule 1063, Responsibility of Floor Brokers... the trading crowd. The Exchange is proposing to amend Exchange Rule 1063 and Option Floor Procedure... was not previously available. The Exchange proposes this amendment to both Exchange Rule 1063 as well...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-23
... submit option quotations electronically through an electronic interface with AUTOM via an Exchange... quotations electronically through AUTOM in eligible options to which such RSQT has been assigned. An RSQT may...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-27
... generate and submit option quotations electronically through AUTOM in eligible options to which such SQT is... from the Exchange to generate and submit option quotations electronically through AUTOM in eligible...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-23
... additional complex order business, specifically by amending the equity options fees to pay a $0.05 rebate per... maximum of the Firm Related Equity Option Cap, will help defray the cost of paying the $0.05 per contract... proposes [sic] amend its Section II equity options fees to: (i) Pay a $0.05 per contract side rebate to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-12
... Order Entry Port from $250 to $500 and only charge per mnemonic instead of per mnemonic per port; (xii) amend the SQF Port Fee to assess a $500 per month per SQF port in lieu of the existing structure of $250 for the first five ports and $1000 for additional port thereafter and also rename the SQF Port Fee as...
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75 FR 2905 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-19
... Registration Fee from $50 to $100; (xi) increase the current Order Entry Port from $250 to $500 and only charge per mnemonic instead of per mnemonic per port; (xii) amend the SQF Port Fee to assess a $500 per month per SQF port in lieu of the current structure of $250 for the first five ports and $1000 for...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-09
... decrease the current $.0035 per contract fee to each member for all options transactions executed or... exceed costs. The ORF is imposed upon all such transactions executed by a member, even if such transactions do not take place on the Exchange.\\3\\ The ORF also includes options transactions that are not...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-30
... Rule Change Relating to U.S. Dollar-Settled Foreign Currency Options March 23, 2010. Pursuant to... Krone (``XDV'') to the U.S. Dollar-Settled Foreign Currency Options fees.\\3\\ While changes to the Fee... World Currency Options[supreg] (``WCOs''). The text of the proposed rule change is available on the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-17
... Rule Change Relating to One Cent Strike Price Intervals of Foreign Currency Options May 7, 2010... cent ($0.01) for each expiration month for U.S. dollar-settled foreign currency options (``FCOs'') opened for trading on the Exchange.\\3\\ \\3\\ FCOs are also known as World Currency Options (``WCOs...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-12
... system,\\3\\ for routing standardized equity and index option customer orders to away markets for execution... and index options to certain better-priced away markets. In May 2009, the Exchange adopted Rule 1080(m... the Exchange when orders are routed to these away markets. The Exchange is proposing a $.36...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-15
... Rule Change Relating to Trading Halts in Foreign Currency Options Under Rule 133 June 7, 2010. Pursuant... Substance of the Proposed Rule Change The Exchange proposes to amend Rule 133, Trading Halts Due to... 133 provides that trading in securities (other than FCOs) shall halt on the Exchange and shall not...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-15
... to this proposal are effective upon filing, the Exchange has designated these changes to be operative... be operative for transactions settling on or after July 1, 2010. 2. Statutory Basis The Exchange... to the market, which do not apply to Firms and Broker- Dealers.\\16\\ The concept of incenting market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-09
...''), American Express Company (``AXP''), Ciena Corp. (``CIEN''), Star Scientific, Inc. (``CIGX''), Dendreon Corp. (``DNDN''), eBay Inc. (``EBAY''), Corning Inc. (``GLW''), Halliburton Company (``HAL''), iShares Dow Jones US Real Estate (``IYR''), Motorola, Inc., (``MOT''), NVIDIA Corporation (``NVDA''), ON Semiconductor...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-01
... Rule Amendment to Rule 862 Relating to, Among Other Things, Eliminate Broker Discretionary Voting for All Elections of Directors, Except for Companies Registered Under the Investment Company Act of 1940 August 26, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and...
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75 FR 9989 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-04
... Exchanges to operate a stand-alone system or ``Linkage'' for sending order-flow between exchanges to limit trade-throughs.\\6\\ The Options Clearing Corporation (``OCC'') operated the Linkage system (the ``System.... options markets are linked together on a real-time basis through a network capable of transporting orders...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-09
... agent. See Exchange Rule 1088, Phase Out of Intermarket Linkage Rules. \\4\\ A Principal Order is an order for the principal account of an Eligible Market Maker and is not a P/A Order. See Exchange Rule 1088...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-23
... Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity April 16, 2010. Pursuant to... removing liquidity by establishing that professional orders will not be assessed a charge for electronic... proposed rule change is to amend the fees and rebates for adding and removing liquidity to clarify the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-30
... Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity April 22, 2010. Pursuant to... removing liquidity for options overlying various select symbols. While changes to the Fee Schedule pursuant... rebates for adding and removing liquidity by eliminating the fees for adding liquidity. Specifically, the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-22
... Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity March 12, 2010. Pursuant to... fees and rebates for adding and removing liquidity. While changes to the Fee Schedule pursuant to this... to the fees and rebates for adding and removing liquidity. Currently, single contra-side orders that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-10
... Rule Change Relating to Rebates for Adding and Fees for Removing Liquidity April 30, 2010. Pursuant to... adding, and fees for removing, liquidity. While changes to the Fee Schedule pursuant to this proposal are..., the Proposed Rule Change 1. Purpose The Exchange proposes to increase liquidity and to attract order...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-12
... Rule Change To Establish Procedures To Prevent Informational Advantages Resulting From the Affiliation... proposes a rule change to establish procedures designed to manage potential informational advantages... concerns about potential informational advantages and conflicts of interest between an exchange's self...
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75 FR 6233 - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate...
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-08
...'') on February 1, 2010.\\3\\ The Exchange is not proposing to amend any rule text, but simply administering or enforcing an existing rule.\\4\\ \\3\\ The Penny Pilot was established in January 2007 and in.... Inc. 218 BK Bank of New York 150 PEP PepsiCo Inc/NC. Mellon Corp/The. 194 BRCM Broadcom Corp. 141 PM...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-29
... things, both commenters believe that further scrutiny and public comment of the proposal is necessary... requiring, among other things, that an exchange's rules provide for the equitable allocation of reasonable... other things, ``remove impediments to and perfect the mechanism of a free and open market and a national...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-18
... Corporation (``MSFT''), Qualcomm, Inc. (``QCOM''), Research In Motion Ltd. (``RIMM''), Starbucks Corp. (``SBUX... volumes, the order types it uses, and the prices of its quotes and orders (i.e., its propensity to add or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-29
... Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols July... Removing Liquidity in Select Symbols in Section I of the Fee Schedule. While changes to the Fee Schedule... and Fees for Adding and Removing Liquidity in Select Symbols as well as removing three options...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-28
... Substance of the Proposed Rule Change NASDAQ proposes to modify Chapter XV, entitled ``Options Pricing,'' governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM''), NASDAQ's facility for... modify Chapter XV, entitled ``Options Pricing,'' at Section 3 entitled ``NASDAQ Options Market--Access...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-30
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of..., The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed with the Securities and Exchange..., including the Nasdaq Market Center, the FINRA/NASDAQ Trade Reporting Facility, and FINRA's OTCBB Service...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-08
... Service Sector (OSX) is a price-weighted index composed of fifteen companies that provide oil drilling and... on the PHLX Oil Service Sector\\SM\\ (OSX\\SM\\), the PHLX Semiconductor Sector\\SM\\ (SOX\\SM\\), and the..., and HGX). [[Page 34111
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-07
... to systems operated by NASDAQ, including the Nasdaq Market Center, the FINRA/NASDAQ Trade Reporting... front-end system for low volume users. NASDAQ proposes to increase the monthly fee assessed for greater... using any facility or system that NASDAQ operates or controls, and it does not unfairly discriminate...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-19
... Change NASDAQ proposes to modify pricing for NASDAQ members using the NASDAQ Market Center. NASDAQ will... Exchange (``NYSE''), NASDAQ is making minor modifications to its pricing schedule for the routing of orders... using the STGY, SCAN, SKNY, SKIP, or DOTI routing strategies to either add liquidity or execute at the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-14
...-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed... that on November 28, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the... equities business on the NASDAQ Stock Market LLC are not subject to the fees in Rule 7003(b...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Assume... Authority and Supervision September 30, 2013. On July 31, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or...) Manipulation patterns that monitor solely NASDAQ activity, including patterns that monitor the Exchange's...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-27
... 2, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68279; File No. SR-NASDAQ-2012-117] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-17
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Pilot Restrictions From NASDAQ's Qualified Market Maker and NBBO Setter...\\ thereunder, notice is hereby given that on May 1, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-09
... proposes to modify Chapter XV, Options Pricing, Section 2, of the Options Rules portion of the NASDAQ Rulebook governing pricing for NASDAQ members using The NASDAQ Options Market (``NOM''), NASDAQ's facility... certain Customer Routing Fees to recoup costs incurred by the Exchange in routing to away markets. While...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-11
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the NASDAQ Options Market Message Traffic Mitigation Rule June 5, 2012...\\ thereunder, notice is hereby given that, on May 29, 2012, The NASDAQ Stock Market LLC (``NASDAQ'') filed with...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-09
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a...,\\2\\ notice is hereby given that, on July 26, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or..., Section 6 (Series of Options Contracts Open for Trading) of the rules of the NASDAQ Options Market (``NOM...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-10
... of the Proposed Rule Change NASDAQ proposes to modify pricing for NASDAQ members using the NASDAQ... Statutory Basis for, the Proposed Rule Change 1. Purpose NASDAQ is making minor modifications to its pricing... the fee for members using the STGY, SCAN, SKNY, SKIP, or DOTI routing strategies.\\3\\ For orders using...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-15
... the Proposed Rule Change NASDAQ proposes to modify pricing for NASDAQ members using the NASDAQ Market... Statutory Basis for, the Proposed Rule Change 1. Purpose NASDAQ is making modifications to its pricing... for orders using the TFTY routing strategy that execute at the NYSE from $0.0017 per share executed to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-14
... systems operated by NASDAQ, including the Nasdaq Market Center, the FINRA/NASDAQ Trade Reporting Facility... using any facility or system which the Exchange operates or controls. All similarly situated members are...) for use of VTE terminals. A VTE terminal is a basic front- end user interface used by NASDAQ members...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69521; File No. SR-NASDAQ-2013-071] Self... Proposed Rule Change To Amend NASDAQ Rule 4763 May 6, 2013. Pursuant to Section 19(b)(1) of the Securities..., 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-01
... Nasdaq Short Sale Volume and Monthly Short Sale Transaction Service and Related Fees June 25, 2010. I. Introduction On April 26, 2010, The NASDAQ Stock Market LLC (``Nasdaq'') filed with the Securities and Exchange...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to establish the Nasdaq Short Sale Volume and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-03
... the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or Systems...'') to cancel orders when a technical or systems issue occurs and to describe the operation of an error... causes NASDAQ or NES to cancel orders, if NASDAQ or NES determines that such action is necessary to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-04
... Exchange proposes to clarify Nasdaq Rule 7023 to make clear that Historical ModelView information will be available via NasdaqTrader.com and that references to the Historical TotalView data product will be deleted... text of the proposed rule change is available from Nasdaq's Web site at http://nasdaq.cchwallstreet.com...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68395; File No. SR-NASDAQ-2012-134] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ Options Market (``NOM'') With Respect to the Authority of the Exchange or Nasdaq Options Services LLC (``NOS'') To...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-11
..., clearing, settling, processing information with respect to, and facilitating transactions in securities, to... modify the repricing behavior of its Post-Only Order, and added rule language to clarify the existing... repricing behavior of its Post-Only Order, it was assumed that a corresponding change to describe price...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-30
... Related to a Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Text May 23... distribution, and to make related clarifications to rule text. The text of the proposed rule change is... proposed rule change and discussed any comments it received on the proposed rule change. The text of these...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-09
... Change Relating to the Customer Rebate Program December 3, 2013. Pursuant to Section 19(b)(1) of the... The Exchange proposes to amend the Customer Rebate Program in Section B of the Pricing Schedule. The..., the Proposed Rule Change 1. Purpose The Exchange proposes to increase certain Customer rebates in the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-12
... Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to further incentivize Customers who transact Complex Orders in SPY. The Exchange currently pays a Customer Complex Order Rebate for Adding Liquidity of $0.32 per contract and a Customer Complex Order Rebate for Removing Liquidity of $0...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-03
... Change Relating to the Equity Options Fees and Singly Listed Option Fee March 28, 2012. Pursuant to... entitled ``Equity Options Fees'' to assess Professionals an Options Surcharge in certain Multiply Listed Options; (ii) amend Section III \\4\\ of the Fee Schedule entitled ``Singly Listed Options'' to specify...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-14
.... Moreover, because the fee charged to access liquidity funds the payment of a rebate to liquidity providers... reduced fees for accessing liquidity in securities listed on the New York Stock Exchange (``Tape A Securities''), along with correspondingly reduced rebates for liquidity provision in Tape A Securities.\\3...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-06
... replacing existing paragraph (a)(2)(C)(iv) of Rule 3312, entitled ``Numerical Guidelines Applicable to... Exchange to deviate from the Numerical Guidelines contained in paragraph (a)(2)(C)(i) when deciding which... Numerical Guidelines or Reference Prices in various ``Unusual Circumstances.'' The Exchange proposes to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-22
... customer bases of potential product users have indicated a preference that premium pricing for Mini Options... market participants clarity as to the minimum pricing increments for Mini Options, the filing would harmonize penny pricing between Mini Options and standard options on the same security. \\4\\ See Securities...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-08
... will not apply to such long-term options series until the time to expiration is less than nine months... trading on the Exchange, the Exchange shall from time to time open for trading series of options therein... not apply to options series until the time to expiration is less than nine months (that is, until such...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-11
... and exercise price of each series will be determined by the Exchange at the time that the series is... traded in the primary market at the time the series of options is first opened for trading. Settlement...-4 thereunder,\\2\\ a proposed rule change to adopt new rules in the Exchange's 1000D Series to permit...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-30
... of a pair of power receptacles (60 amps 208 volts), which would provide enough power for a high density cabinet. The proposed fee for installation of the pair of the 60 amp 208 volt power receptacles is... Exchange to earn a profit. In the case of the proposed fees for a pair of the 60 amp power receptacles and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-05
... Strike Price Intervals in the Short Term Options Program August 29, 2012. I. Introduction On July 2, 2012...-4 thereunder,\\2\\ a proposed rule change to indicate that the interval between strike prices on short term options series (``STOs'') listed in accordance with its Short Term Option Series Program (``STO...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-12
... dissuade investors from using SPY options when they can instead use an SPX option without the need for such... or for the account of a customer, shall report information as to whether such position is hedged, and... designed to address potential manipulative schemes and adverse market impact surrounding the use of options...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-01
... Change Relating to the Account Fee April 25, 2012. Pursuant to Section 19(b)(1) of the Securities... Exchange proposes to amend the Account Fee displayed in the Pricing Schedule at Section VI, A entitled... participant accounts. The proposed amendment would also encourage members to discontinue holding inactive...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-22
... debit or credit based on the relative prices of the individual components, for the same account, for the... market system and, in general, to protect investors and the public interest. \\6\\ 15 U.S.C. 78f. \\7\\ 15 U.S.C. 78f(b)(5). Specifically, the Exchange believes that investors and other market participants...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-24
... currencies, or options on currencies or currency futures or other currency derivatives or Currency Trust...) interest rate futures or options or derivatives on the foregoing in this subparagraph (b); (``Futures...; or (b) interest rate futures or options or derivatives on the foregoing in this subparagraph (b...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-01
... Exchange. The Exchange now proposes to terminate the revenue sharing relationship with Correlix due to the lack of customer interest in the measurement tools offered. It also proposes to delete from the rulebook the listing of fees for the service, so as to eliminate any confusion on the part of customers.\\4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-12
... reciprocity currently is permitted with the Exchange's $1 Strike Program, $.50 Strike Program and $2.50 Strike... interest because the proposed reciprocity provision is similar to reciprocity provisions in place for other... reciprocity provision). \\11\\ For purposes only of waiving the 30-day operative delay, the Commission has...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-29
... United States Court of Appeals for the District of Columbia Circuit in NetCoaliton v. SEC, 615 F.3d 525... with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-12
... evaluate the customer Cancellation Fee for non-Select Symbols as well to determine if the volume from... on BKX; (iv) delete the Cancellation Fee for electronically delivered customer orders from Section I... Exchange assesses a Cancellation Fee on electronically delivered customer and Professional AON orders that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-09
... of the Substance of the Proposed Rule Change The Exchange proposes to amend Exchange Rule 1082, Firm Quotations, by modifying Exchange Rule 1082(a)(ii)(B)(4), Market Exhaust, to reflect the Exchange's... submitted as a new order. \\12\\ See Exchange Rule 1082(a)(ii)(B)(4). Discontinuation of Market Exhaust The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-12
... The Exchange proposes to amend Section I, Part B of the Exchange's Pricing Schedule entitled ``Rebates... Order, to reinstate the Complex Order pricing differential that was suspended on April 30, 2012. In SR... amendments to Section I of its Pricing Schedule which amended certain fees and also the categories of market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-19
...; or (ii) a dividend,\\5\\ merger,\\6\\ short stock interest \\7\\ or reversal or conversion strategy \\8... Broker-Dealer \\13\\ are $0.20 per contract. \\5\\ A dividend strategy is defined as transactions done to achieve a dividend arbitrage involving the purchase, sale and exercise of in-the-money options of the same...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-07
... Change Relating to Reversal and Conversion Strategies August 30, 2011. Pursuant to Section 19(b)(1) of... reversals and conversion strategies. The text of the proposed rule change is available on the Exchange's Web... participants by capping option transaction fees related to reversal and conversion strategies to encourage...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-11
... Change Relating to Strategies June 5, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act...\\ short stock interest \\5\\ and reversals \\6\\ and conversion \\7\\ strategies. \\3\\ A dividend strategy is a transaction done to achieve a dividend arbitrage involving the purchase, sale and exercise of in- the-money...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-02
...-the-money options of the same class. The Exchange defines reversal and conversion strategies as... Change To Amend Strategy Fee Caps April 26, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange... Strategy Fee Caps. While changes to the Pricing Schedule pursuant to this proposal are effective upon...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-19
... stock interest \\7\\ strategies; and (v) firm facilitation transactions.\\8\\ The Subsidy applies to... dividend strategy is defined as transactions done to achieve a dividend arbitrage involving the purchase, sale and exercise of in-the-money options of the same class, executed the first business day prior to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-19
... short stock interest strategy \\13\\ and executions subject to the Reversal and Conversion Cap.\\14\\ \\5\\ A...). \\11\\ A dividend strategy is defined as transactions done to achieve a dividend arbitrage involving the purchase, sale and exercise of in-the-money options of the same class, executed the first business day...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-10
... Change Relating to Strategy Caps January 4, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange... Exchange proposes to amend rule text related to fee caps applicable to certain strategies on Multiply...\\ merger,\\5\\ short stock interest \\6\\ and reversal \\7\\ and conversion \\8\\ strategies in order to clarify...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-15
...-the-money options of the same class. \\30\\ Reversal and conversion strategies are transactions that... references to RUT and clarify the treatment of certain strategies. \\3\\ The term ``Customer'' applies to any... strategies and eliminate RUT from the Pricing Schedule. Finally, the Exchange proposes to amend its PIXL...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-20
... Change Relating to a Fee Cap on Dividend, Merger and Short Stock Interest Strategies January 12, 2011... equity option transaction charges on dividend,\\3\\ merger,\\4\\ and short stock interest \\5\\ strategies. \\3\\ For purposes of this proposal, the Exchange defines a ``dividend strategy'' as transactions done to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-23
... Change Relating to Strategy Executions and the Monthly Cap December 19, 2011. Pursuant to Section 19(b)(1...\\ short stock interest \\5\\ and reversal \\6\\ and conversion \\7\\ strategies (collectively ``Strategy Executions'') from the Monthly Firm Fee Cap \\8\\ and the Monthly Cap.\\9\\ \\3\\ A dividend strategy is defined as...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-31
... Change Relating to Reversal and Conversion Strategies May 23, 2012. Pursuant to Section 19(b)(1) of the... conversion \\4\\ strategies in Section II, entitled ``Equity Options Fees.'' \\5\\ The Exchange also proposes to... applicability of a fee cap relating to reversal and conversion strategies in Section II of the Pricing Schedule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-06
...). The Exchange currently has a tiered Active SQF Port Fee as follows: Cost per port Number of Active SQF... following Active SQF Port Fees: Cost per port Number of Active SQF Ports per month 0-4 $350 5-18 1,350 19... Change Relating to Active Specialized Quote Feed Port Fee November 30, 2011. Pursuant to Section 19(b)(1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-14
... because that index is no longer Multiply Listed and the license fee costs would be absorbed in the fees... index option, because the license costs, which are recouped by the Options Surcharge Fee, are absorbed... Change The Exchange proposes to amend the Exchange's Fee Schedule to discontinue assessing an Options...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-15
... Options Classes, Category A Category B excluding SPY Options (Monthly) Tier 1 0.00%-0.75% 0.00 0.00 Tier 2 Above 0.75%-1.60% 0.12 0.17 Tier 3 Above 1.60%-2.60% 0.14 0.17 Tier 4 Above 2.60% 0.15 0.17 The Exchange... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-22
... Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on April 14... on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I... only on the following Alpha Pairs: AAPL/SPY, AMZN/SPY, CSCO/SPY, F/SPY, GE/SPY, GOOG/SPY, HPQ/SPY, IBM...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-05
... adopt the new QView service. QView is a web-based, front-end application, which provides a subscribing... orders and executions provided in the QView dashboard interface. The dashboard also allows a QView... trading activity.\\5\\ \\4\\ TradeInfo PSX is a web-based tool that, among other things, allows users access...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... made; rather, the Exchange has been working to, generally, provide more useful interfaces for the ultimate user, the Floor Broker. \\3\\ Securities Exchange Act Release No. 69471 (April 29, 2013), 78 FR... implement the changes by the end of December 2013; the Exchange will announce the specific date in advance...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-30
... interested persons.\\3\\ \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Amendment No. 1. I. Self... has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of... amended for many years,\\5\\ covers many areas of the Exchange's rules. \\4\\ See Rules 620(a) and 901(c). See...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-27
... Change Relating to Active SQF Port Fee October 21, 2010. Pursuant to Section 19(b)(1) of the Securities... Change The Exchange proposes to amend fee calculations for the Active SQF Port Fee. The text of the... Proposed Rule Change 1. Purpose The purpose of the proposed rule change is to amend the Active SQF Port Fee...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-31
... Change Relating to the Active SQF Port Fee and the Order Entry Port Fee August 25, 2011. Pursuant to... that the Exchange will not assess a charge for the use of additional Active Specialized Quote Feed... proposed rule change is to allow member organizations to utilize additional Active SQF Ports and Order...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-04
... Change To Adopt New Rule 3303 To Implement the Amendments to Regulation SHO February 25, 2011. Pursuant...) of the Act \\3\\ and Rule 19b-4 \\4\\ thereunder, proposes to adopt new Rule 3303 as a written policy or... adopt a short sale price test restriction and ``short exempt'' marking requirement). See also Securities...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-12
... To Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations April 5, 2013. I. Introduction... 1934 (``Act''),\\2\\ and Rule 19b-4 thereunder,\\3\\ a proposed rule change to adopt new Exchange Rule 1047... In light of and in connection with the Limit Up-Limit Down Plan, the Exchange is adopting Rule 1047(f...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-11
... daily total return today, the previous trading day's closing market price for the component would be subtracted from today's closing market price for the component to determine a price difference (the ``Price Difference''). The Price Difference would be added to any declared dividend, if today were an ``ex-dividend...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-19
...)(iii).\\4\\ \\4\\ 17 CFR 240.19b-4(f)(6)(iii). The text of the proposed rule change is below. Proposed... term ``Order Type'' shall mean the unique processing prescribed for designated orders that are eligible... responsible single plan processor in order to comply with the quotation requirements for Market Makers set...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-18
...-wide trading halt due to extraordinary market volatility. The text of the proposed rule change is below... rule change and discussed any comments it received on the proposed rule change. The text of these... are calculated by the Processors.\\9\\ When the National Best Bid (Offer) is below (above) the Lower...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-17
... routing and executing certain orders in equity options to NOM, specifically, options on Facebook, Inc... Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-26
... includes the following Routing Fees for routing Customer, Professional, Firm, Broker-Dealer and Market... an operative date of April 27, 2012. Firm/broker- Exchange Customer Professional dealer/ market maker..., Professionals, Firms, Broker-Dealers, and Market Makers, but proposes to apply those fees solely to Penny...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-30
... Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series... amend Rule 1012 (Series of Options Open for Trading) and Rule 1101A (Terms of Option Contracts) to give... Term Option Series Program (referred to as a ``Related non-Short Term Option series''), for the Related...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-09
... Change Relating to the Firm Related Equity Option Cap December 5, 2011. Pursuant to Section 19(b)(1) of... ``Equity Options Fees'' to apply the Firm Related Equity Option Cap to certain proprietary orders of... Equity Option Cap to proprietary orders of certain affiliates of member organizations. Currently, Firms...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-02
... Change Relating to Firm Related Equity Option Cap, Active SQF Port Fees and Other Membership Fees January... Schedule to: (i) Allow Firms to cap their equity option transaction charges, per month, when such Firms are... Specialized Quote Feed (``SQF'') Port Fee and also extended the current $40,000 per month cap from March 31...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-05
... Change To Apply a Strategy Fee Cap to Jelly Rolls Pursuant to Section 19(b)(1) of the Securities Exchange... proposes to adopt a strategy fee cap applicable to jelly rolls. While changes to the Pricing Schedule... Proposed Rule Change 1. Purpose The purpose of this filing is to amend the strategy fee caps which are...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-17
... of Market is a data feed that will include full depth of quotes and orders, imbalance information and... Imbalance Message, as described below. The Imbalance Message includes the symbol, side of the market, size of matched contracts, size of the imbalance, and price of the affected series.\\3\\ The Imbalance...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-08
...(b) and (c), Rule 1034 and Rule 1038 do not apply to orders placed in the cabinet. Cabinet... June 1, 2012.\\10\\ On April 27, 2012, the Exchange filed for permanent approval of the temporary... limited to options classes traded in $0.05 or $0.10 standard increments. The $1 cabinet trading procedures...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-06
... this Rule. Also, the provisions of Rule 1033(b) and (c), Rule 1034 and Rule 1038 do not apply to orders... trading procedures were limited to options classes traded in $0.05 or $0.10 standard increments. The $1... is consistent with the provisions of Section 6 of the Act,\\10\\ in general, and with Section 6(b)(5...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-06
... and Rule 1038 do not apply to orders placed in the cabinet. Cabinet transactions are not reported on... limited to options classes traded in $0.05 or $0.10 standard increments. The $1 cabinet trading procedures... Section 6 of the Act,\\9\\ in general, and with Section 6(b)(5) of the Act,\\10\\ in particular, in that the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-16
... this Rule. Also, the provisions of Rule 1033(b) and (c), Rule 1034 and Rule 1038 do not apply to orders... effective proposal that extended the pilot program until December 1, 2012.\\10\\ The Exchange now proposes an... trading procedures were limited to options classes traded in $0.05 or $0.10 standard increments. The $1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-23
... (c), Rule 1034 and Rule 1038 do not apply to orders placed in the cabinet. Cabinet transactions are... Exchange filed an immediately effective proposal that extended the pilot program until December 1, 2012.\\10... procedures were limited to options classes traded in $0.05 or $0.10 standard increments. The $1 cabinet...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-16
... this Rule. Also, the provisions of Rule 1033(b) and (c), Rule 1034 and Rule 1038 do not apply to orders... effective proposal that extended the pilot program until December 1, 2012.\\10\\ The Exchange now proposes an... trading procedures were limited to options classes traded in $0.05 or $0.10 standard increments. The $1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-16
... Receipts/SPDRs (``SPY''); (ii) the PowerShares QQQ Trust (``QQQ'') [reg]; (iii) Apple, Inc. (``AAPL''); (iv... initially filed a proposed rule change \\6\\ to pay a different Customer Complex Order Rebate to Add Liquidity... the Exchange from continuing to increase its order flow. Currently, the Exchange pays a Customer...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-15
... & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price... & Poor's 500 Index, Russell 1000 Index, and specified Exchange Traded Products that experience a price...] Index and the Russell 1000 [supreg] Index, as well as a pilot list of Exchange Traded Products. (b)-(c...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-04
... Change To Amend the Commentary to Rule 1080 To Add a New PIXL ISO Order Type August 28, 2013. Pursuant to... 1080 to add a new PIXL ISO order type. The text of the proposed rule change is available on the... Exchange proposes to amend the Commentary to Rule 1080 to add a new PIXL ISO order type. PIXL The price...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-09
... represented by the Target Components as compared with the overall market performance represented by the... Professional,\\4\\ Market Maker,\\5\\ Firm and Broker-Dealer fees with respect to this index. Despite the increases... beneficial account(s) (hereinafter ``Professional''). \\5\\ The term ``Market Maker'' is utilized herein to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-17
... Change in Order To Disseminate a Spot Price for Treasury Options June 11, 2013. Pursuant to Section 19(b... Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items... notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-23
... cancels a Vertical Spread or a Time Spread rather than placing it on the CBOOK where a sell (buy) order would execute at a price outside of the SPP limit on the sell (buy) side. The Exchange proposes to... at a price outside of the SPP limit on the offer side, and similarly cancels a buy order that would...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-09
... equity trading system. The Exchange ceased operation of the technology used to operate XLE on October 24... cleaning, HVAC and general maintenance. All other floor members would be assessed the Floor Facility Fee of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-20
... Change To Eliminate the 100MB Connectivity Option and Fee March 14, 2012. Pursuant to Section 19(b)(1) of... Exchange proposes to eliminate 100MB connectivity between the Exchange and co-located servers, as well as..., Section X(b) to eliminate 100MB connectivity between the Exchange and co-located servers, as well as...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-19
... latency enhancements and regulatory systems. Specifically, the Exchange proposes to increase the... (``SQTs'') (see Rule 1014(b)(ii)(A)) and Remote Streaming Quote Traders (``RSQTs'') (see Rule 1014(b)(ii... for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-30
... options. Rights and warrants entitle owners to purchase shares of stock at predetermined prices subject to various timing and other conditions. Like options, the price of rights and warrants are affected by the... consequence, the prices of rights and warrants may move more dramatically than the prices of the underlying...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-13
... the time the Exchange proposed the ``one-sided non-firm'' quote condition, the Options Price Reporting... quotation are marked ``non-firm.'' OPRA did not disseminate a ``non-firm'' condition for one side of a... of one contract if the remaining size is a seller, or (ii) an offer price of $200,000, with a size of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-07
... offset amount will not be displayed,\\3\\ a change to improve system and inter-market price stability. The... Change To Delay the Implementation of Non-Display of Primary Pegged Orders With an Offset Amount August 1... Proposed Rule Change The Exchange proposes a rule change to delay the implementation date for its rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-09
... market conditions. The text of the proposed rule change is available on the Exchange's Web site at http... business day prior to a monthly expiration in the event of unusual market conditions. This is a competitive... expiration if unusual market conditions exist. NYSE MKT, NYSE Arca, and CBOE amended their rules to permit...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-02
.... The ORF is assessed to each member for all options transactions executed or cleared by the member that..., does not exceed regulatory costs. The ORF is imposed upon all transactions executed by a member, even if such transactions do not take place on the Exchange.\\3\\ The ORF also includes options transactions...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-12
... the ORF will not exceed costs. The ORF is assessed to each member for all options transactions...] transactions executed by a member, even if such transactions do not take place on the Exchange.\\3\\ The ORF also includes options transactions that are not executed by an Exchange member but are ultimately cleared by an...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-20
... Options Transaction Charge (including the Cabinet Options Transaction Charge) as well as the Broker-Dealer FLEX transaction fee, for members executing facilitation orders pursuant to Exchange Rule 1064 when... average daily volume (including both FLEX and non-FLEX transactions) exceeds 10,000 contracts per day in a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-16
... existing transaction fees for Non-Customers for both adding and removing liquidity. Additionally, the...: Specialist and Customer Professional market maker Broker-dealer Firm Mini Options Transaction Fee-- $0.00 $0.03 $0.02 $0.03 $0.03 Electronic Adding Liquidity.... Mini Options Transaction Fee-- 0.00 0.09 0.04 0...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-10
... options transactions executed or cleared by the member that are cleared by The Options Clearing... imposed upon all transactions executed by a member, even if such transactions do not take place on the Exchange.\\3\\ The ORF also includes options transactions that are not executed by an Exchange member but are...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-25
... members executing transactions on the Exchange. The proposed rule change is intended to adopt rules that... purposes. Current Rules Rule 1051(b) currently requires that all Exchange options transactions be reported at the time of execution to the Exchange for comparison of trade information at the specialist's post...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-05
... contracted directly with Correlix to use their RaceTeam latency measurement service for the Exchange's systems. The Exchange will not bill or contract with any Correlix RaceTeam customer directly. Pricing for the Correlix RaceTeam product for the Exchange varies depending on the number of unique MPIDs and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-03
... exercise limits for options on the iShares MSCI Emerging Markets Index Fund (``EEM'') to 500,000 contracts... exercise limits for EEM options to 500,000 contracts.\\3\\ There is precedent for establishing position...\\ \\3\\ By virtue of Rule 1002, which is not being amended by this filing, the exercise limit for EEM...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-24
...-Settled Foreign Currency Option Fees, in Section III of the Fee Schedule, with Singly Listed Options \\3...\\. The Exchange currently assesses fees for sector index options and U.S. Dollar-Settled foreign currency... U.S. Dollar-Settled Foreign Currency Option Fees.'' \\4\\ BKX represents the KBW Bank Index. \\5\\ RUT...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-06
... Index, Equity and Currency Options) to extend a pilot program that eliminates minimum value sizes for... FLEX Options, FLEX currency options are also traded on the Exchange. These flexible index, equity, and currency options provide investors the ability to customize basic option features including size...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-07
... Index, Equity and Currency Options) to extend a pilot program that eliminates minimum value sizes for... FLEX Options, FLEX currency options are also traded on the Exchange. These flexible index, equity, and currency options provide investors the ability to customize basic option features including size...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-17
.... \\3\\ In addition to FLEX Options, FLEX currency options are also traded on the Exchange. These flexible index, equity, and currency options provide investors the ability to customize basic option... expiration dates within five years. See Rule 1079. FLEX currency options traded on the Exchange are also...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-15
...-settled foreign currency options \\5\\ orders represented by Floor Brokers \\6\\ on the Exchange.\\7\\ The.... dollar-settled foreign currency options orders to the Exchange trading floor. \\5\\ U.S. dollar-settled foreign currency options traded on the Exchange are also known as World Currency Options (``WCO'') or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-11
... the calculation of the SQT Fees to incentivize trading in equity options, excluding currencies and... the Exchange's options floor and thereby provide liquidity for floor-brokered orders traded in-crowd... Fee based on the aggregate amount of equity options and index options traded by the SQTs in that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-14
... Section 6(b)(5) of the Act in particular,\\6\\ in that it is designed to promote just and equitable... comments on the Commission's Internet website ( http://www.sec.gov/rules/sro.shtml ). Copies of the... with the provisions of 5 U.S.C. 552, will be available for website viewing and printing in the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-07
... Index[reg]. The text of the proposed rule change is available on the Exchange's website at http... 6(b)(5) of the Act \\6\\ in particular, in that it is designed to promote just and equitable... provisions of 5 U.S.C. 552, will be available for website viewing and printing in the Commission's Public...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-20
... to Address Extraordinary Market Volatility or February 4, 2014. The text of the proposed rule change... Extraordinary Market Volatility or February 4, 2014[3]. During the pilot, the term ``Circuit Breaker Securities... periods of extraordinary market volatility in S&P 500 stocks.\\3\\ The rules require the Listing Markets \\4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-13
... date on which a limit up/limit down mechanism to address extraordinary market volatility, if adopted... down mechanism to address extraordinary market volatility, if adopted, applies [April 11, 2011]. If the... which a limit up/limit down mechanism to address extraordinary market volatility, if adopted, applies...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-08
..., 2011 or the date on which a limit up/limit down mechanism to address extraordinary market volatility..., 2011 or the date on which a limit up/limit down mechanism to address extraordinary market volatility... volatility in S&P 500 stocks.\\3\\ The rules require the Listing Markets \\4\\ to issue five-minute trading...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-03
... periods of extraordinary market volatility in S&P 500 stocks.\\3\\ The rules require the Listing Markets \\4... mechanism to address extraordinary market volatility, if adopted, applies.\\9\\ On June 23, 2011, the... to address extraordinary market volatility, and further extended the pilot period, so that the pilot...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-16
... market volatility, if adopted, applies]. During the pilot, the term ``Circuit Breaker Securities'' shall... volatility in S&P 500 stocks.\\3\\ The rules require the Listing Markets \\4\\ to issue five-minute trading... volatility, if adopted, applies.\\9\\ On June 23, 2011, the Commission approved the expansion of the pilot to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-27
... ``Exchanges''), to pause trading during periods of extraordinary market volatility in S&P 500 stocks.\\3\\ The... the date on which a limit up/limit down mechanism to address extraordinary market volatility, if... adoption of a limit up/limit down mechanism to address extraordinary market volatility, and further...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-03
... organization whose market making has not previously been approved by FINRA under the NASD Rule 1000 Series (or... Market Maker or other entity approved by the Exchange to function in a market-making capacity. Member... adopted rules to allow market making on PSX.\\3\\ Rule 910(f) provides that member organizations seeking to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-27
... Specialists and Registered Options Traders) to indicate that compliance with specified market making... indicate that compliance with specified market making obligations pursuant to the rule will be determined... the general market making obligations established in Rule 1014. These Rule 1014 market making...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-08
... Application and Initiation Fees, for a defined period of time, in order that certain market making firms may... Exchange at the request of such traders, unless specifically exempted from such quoting (market-making... on market making firms. The Exchange operates in a highly competitive market, comprised of eleven...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... the existing daily market making obligations established in Rule 1014. These Rule 1014 market making... obligations. The daily market making obligations of market makers on the Exchange are set forth in Rule 1014... announce in advance.\\9\\ \\9\\ For all market making obligations, see Rule 1014(b)(ii)(D). As discussed...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-14
... open outcry market making. The Exchange therefore proposed to eliminate the 20% test and its associated... unwilling to invest the resources necessary for streaming quotes, and may exit open-outcry market making in... requirements for non-SQT ROTs accordingly to enable such non-SQT ROTs to continue making markets in open outcry...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-08
..., the ability for floor specialists to engage in remote market making. b. The Proposal The Exchange... benefit of traders on the Exchange, market participants, and the investing public. In making the proposed... more than four years ago and remains one of the principal market making classes on CBOE.\\23\\ The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-28
... Change Relating to Technical and Conforming Amendments to the Pricing Schedule June 22, 2012. Pursuant to... amendments to the Pricing Schedule to format pricing the same throughout the Pricing Schedule, correct a... Proposed Rule Change 1. Purpose The Exchange proposes to make clarifying amendments to the Pricing Schedule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-25
... costs that the Exchange incurs for routing and executing orders in equity options to various away... routing orders to away markets plus the away market's transaction fee. The Exchange assesses a $0.04 per... addition to the actual transaction fee or rebate paid by the away market. The fixed Routing Fee is based on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-17
... equity options to away markets. Today, the Exchange assesses a Non-Customer a $0.95 per contract Routing... transaction fee assessed. If the away market pays a rebate, the Routing Fee is $0.00 per contract.\\4\\ \\3... Fees, the transaction fee will continue to be based on the away market's actual transaction fee or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-19
... when routing to various away markets. The Exchange also proposes to amend Section VII, Section D to... orders in equity options to various away markets. The Exchange's Pricing Schedule at Section V currently... Maker \\4\\ and Specialist \\5\\ orders to away markets: \\3\\ The term ``professional'' means any person or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-01
... Exchange in routing to away markets. While changes to the Fee Schedule pursuant to this proposal are... orders to away markets. The Exchange currently assesses the following Routing Fees: Exchange Customer.... Each time NOS routes to away markets NOS is charged a $0.06 clearing fee and, in the case of certain...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-21
... price at which the Exchange will route opening orders to away markets in certain circumstances. Specifically, the Exchange will route orders on the open to away markets at prices other than the Exchange's opening price when such order's limit price is marketable against an away market but not marketable...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-10
... Rule Change Relating to the Elimination of a Reversal and Conversion Fee Cap September 4, 2012... options transactions on certain reversals and conversion strategies. The text of the proposed rule change... and conversion strategies. The fee cap was intended to incentivize market participants by capping...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-03
... National Market System Plan to Address Extraordinary Market Volatility \\7\\ (the ``Limit Up-Limit Down Plan... commencement of operations of the Limit Up- Limit Down Plan. The Exchange believes that continuing the pilot... further experience operating the Limit Up-Limit Down Plan. \\3\\ Securities Exchange Act Release No. 62886...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-18
... specifications (updated regarding components and weighting methodology).\\4\\ The only post- proposal difference in... practices, to promote just and equitable principles of trade, to remove impediments to and perfect the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-05
... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory... significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and... those listed in Section I of the Fee Schedule. B. Self-Regulatory Organization's Statement on Burden on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-17
.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the... significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-17
....55 NOM 0.54 0.54 0.55 NOM-MNX 0.56 0.56 0.55 NOM-NDX 0.11 0.81 0.81 \\13\\ These fees are applicable to...-030). \\5\\ See Securities Exchange Act Release No. 67339 (SR-BX-2012- 043). This filing will become...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-28
... proposes a pass-through reduction in the fees for connectivity to Toronto and Chicago venues as follows: (1... low latency telecommunication carriers. The Exchange is passing along the entire savings of the... passing on the reduction in low latency connectivity fees to the Toronto and Chicago venues to the members...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-05
... organizations that are not transacting business on the Exchange a Permit Fee of $7,500 per month. A member or member organization is assessed the $7,500 Permit Fee for not transacting business on the Exchange if... Fee, or Account Fee. See Securities Exchange Act Release No. 61863 (April 7, 2010), 75 FR 20021 (April...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-22
... number of series being out-of-the-money. For example, a market participant might have a long position in... mechanism of a free and open market and a national market system, and, in general, to protect investors and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-07
... allowing investors to intuitively grasp the option's value, i.e., option is in the money, at the money or out of the money. The Exchange believes that by not changing anything but the multiplier and the... equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-17
... ``Financial Instruments''), and money market instruments, including, but not limited to, U.S. government securities and repurchase agreements (the ``Money Market Instruments'') constituting or otherwise based on or representing an investment in an index or portfolio of securities and/or Financial Instruments and Money Market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-20
... Change Relating to the Electronic Firm Fee Discount September 14, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given... solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-25
... equity options transaction fees for members executing facilitation orders pursuant to Exchange Rule 1064... waiver to members executing facilitation orders pursuant to Exchange Rule 1064 to cabinet trade equity...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-18
... not be, for example, two 500- contract orders or two 500-contract legs. See Rule 1064(e). See also...), and Floor QCC Orders, as defined in 1064(e). The Exchange proposes to offer a tiered rebate structure... 1064 when such members are trading in their own proprietary account. QCC Transaction Fees are included...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-27
... stock execution clerk from the Exchange's rules. Exchange Rule 1090 currently defines a stock execution... Rule 1090, Commentary .01(a). The Exchange has represented that this registration capacity is outdated...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-21
..., but rather is displayed at the most aggressive price possible, one minimum price increment worse than... Order at an aggressive price that it anticipates will be at the NBBO. Often such an order is not... order price. In these cases, the member firm will typically submit additional aggressive orders, which...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-01
...)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is... Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II... solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-20
... comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4... proposes to increase this rebate to $0.07 per contract and apply the rebate to all Customer orders (simple..., or any other entity (``PIXL Order'') against principal interest or against any other order (except as...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-23
... on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I....'' Specifically, the Exchange proposes to amend the Customer Rebate Program, Select Symbols,\\5\\ Simple and Complex... Category D to the Customer Rebate Program relating to Customer Simple Orders in Select Symbols. The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-27
... solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR.... Purpose The purpose of the proposed rule change is to increase certain Simple Order Fees for Removing... market. Section I Amendments The Exchange proposes to amend the Simple Order fees in Section I, Part A of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-01
... public customer, broker-dealer, or any other entity (a ``PIXL Order'') against principal interest or... Auction for simple orders). \\5\\ A Complex Order is defined as ``an order involving the simultaneous... ``Complex Order PAN responses'') and trading interest at a price or prices that improve the stop price to a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-01
... Order in a Simple or Complex Order that executes against non-Initiating Order interest and will also pay... to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2... paid to members executing electronically- delivered Customer Simple Orders in Penny Pilot Options and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-18
... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's... ownership between the member organizations. All dividend, merger, short stock interest and reversal and...'') against principal interest or against any other order (except as provided in Rule 1080(n)(i)(E)) it...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1...) The Customer \\3\\ Rebate Program in Section B; (ii) Simple Order pricing in Section I entitled Rebates... Exchange proposes to amend the Simple Order Fees for Removing Liquidity in Section I which are applicable...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-01
... to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2... recently filed a rule change to amend its transaction fees and rebates for simple,\\6\\ non-complex orders.... \\6\\ C2 defines simple orders to exclude ETFs and indexes. \\7\\ See Securities Exchange Act Release No...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-11
... upon their business models. For example, vendors such as Bloomberg and Thomson Reuters that assess a... trading and generates sufficient commission revenue. Although the business models may differ, these... understand and respond to these varying business models and pricing disciplines in order to market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-16
... floor brokerage business has a different business model as compared to members conducting an electronic business.\\17\\ The Exchange believes that it is reasonable to pay a rebate for only eQCC Orders in an... QCC Orders is reasonable because of the different business models, described herein, that apply to a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-25
... upon their business models. For example, vendors such as Bloomberg and Thomson Reuters that assess a... if it promotes trading and generates sufficient commission revenue. Although the business models may... products must understand and respond to these varying business models and pricing disciplines in order to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-11
... Rule Change to [sic] Proposes To Delay the Operative Date of a Rule Change to Exchange Rule 133...] to delay the operative date of a rule change to Exchange Rule 133, which provides for methodology for... Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend Rule 133, which...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-17
... to the Exchange and that this new pricing will not impact trading in Penny Pilot Options on ETFs on... Change To Amend the Exchange's Pricing Schedule September 11, 2013. Pursuant to Section 19(b)(1) of the... The Exchange proposes to amend the Exchange's Pricing Schedule with respect to certain pricing in...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-15
... of Exchange Rule 911, entitled ``Member and Member Organization Participation'' with respect to the... that are conducting an options business on the Exchange. Exchange Rule 911 requires initial and continuing compliance with the provisions of Exchange Rule 911 to participate in the Exchange as a member or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-04
... Change Relating to the MSCI EAFE Index May 29, 2012. Pursuant to Section 19(b)(1) of the Securities... change the trading hours for options on the MSCI EAFE Index on the last trading day prior to expiration... (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-26
... history. If the free market should determine whether proprietary data is sold to broker-dealers at all, it... equitably allocated fees for market data. ``In fact, the legislative history indicates that the Congress... Subscribers will not purchase in sufficient numbers. Internet portals, such as Google, impose a discipline by...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-16
... Exchange Act of 1934 (``Act'') \\1\\, and Rule 19b-4 \\2\\ thereunder, notice is hereby given that, on October... comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4... the Exchange's Web site at http://www.nasdaqtrader.com/micro.aspx?id=PHLXfilings , at the principal...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-20
... Section I of the Pricing Schedule. The Exchange is proposing below to remove SPY from the definition of... Change To Amend Various Sections of the Exchange's Pricing Schedule June 14, 2013. Pursuant to Section 19... of the Proposed Rule Change The Exchange proposes to amend the Exchange's Pricing Schedule to: (i...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-06
... assessed different fees than other indexes.\\21\\ In addition, the concept of offering a volume discount to.... This volume discount on trading Options on Treasury Securities will serve to increase order flow, which... options transaction charge. It is also reasonable and equitable to offer a floor volume discount on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-18
... Change Regarding Box Spread Strategies November 12, 2013. Pursuant to Section 19(b)(1) of the Securities... Exchange proposes to adopt a strategy fee cap applicable to box spreads. While the changes proposed herein... rule change. The text of these statements may be examined at the places specified in Item IV below. The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-19
...\\ of the Fee Schedule. Currently, the Exchange pays a rebate of $0.05 per contract for all executed eQCC Orders. Today, the Exchange does not pay a rebate for Floor QCC Orders. The Exchange proposes to pay a rebate of $0.07 per contract for all executed eQCC Orders and Floor QCC Orders with some...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-26
... to cap fees and even with the added Service Fee, Firms should generally pay less once they reach the Cap because they will not pay the normally applicable transaction fees. This Service Fee would reduce the discrepancy that exists today between Firms and other market participants. For example, Firms who...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-11
... Change To Modify the Pricing Schedule Regarding the Co-Location Super High Density Cabinet Monthly Fee... super high-density cabinet monthly fee. The Exchange will implement the proposed change on May 1, 2012... Schedule at Section X(a) to reduce the co-location super high-density cabinet on-going monthly fee from $15...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-27
... cabinet sizes and power densities. The co-located customer may obtain a half cabinet, a low density cabinet, a medium density cabinet, a medium-high density cabinet and a high density cabinet. Each cabinet... obtain more power by choosing a combination of lower power density cabinets. However, the Exchange is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-22
... financial information for investment advisory services, fund administration, portfolio management, financial... the Exchange will be European-style exercise.\\17\\ Upon exercise, holders of options contracts would... Corporation (``OCC'').\\19\\ \\17\\ Unlike American style options, European style options may be exercised only on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-05
... investors the ability to more closely tailor investment strategies to the precise movement of the underlying... array of investment opportunities and the need to avoid unnecessary proliferation of options series and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-21
... currency, (2) type, size and crossing intention (3) in the case of FLEX index options and FLEX equity... available. If the Requesting Member has not indicated an intention to cross or act as principal with respect... reject the BBO(s). If the Requesting Member has indicated an intention to cross or act as principal with...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-17
... Change Relating to Rebates and Fees for Adding and Removing Liquidity December 11, 2012. Pursuant to... Schedule entitled ``Rebates and Fees for Adding and Removing Liquidity in Select Symbols'' in order to... Adding Liquidity from $0.30 to $0.32 per contract, (2) create a new Complex Order Rebate for Removing...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-15
... Change Relating to Rebates and Fees for Adding and Removing Liquidity October 8, 2010. Pursuant to... Removing Liquidity in Select Symbols to amend its current fees for removing liquidity and also add certain... amend its current Rebates and Fees for Adding and Removing Liquidity in Select [[Page 63527
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-31
... proposed rule change is to correct Rule 616 to correspond to amended Equity Floor Procedure Advice (``EFPA'') A-7 and Options Floor Procedure Advice (``OFPA'') F-34 (together, the ``Advices'').\\5\\ \\5\\ The... plans for the abbreviated reporting of minor disciplinary infractions. Any disciplinary action taken by...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-07
... member organizations for which the Exchange is the DEA do not have access to the Form BR filing process... the Uniform Branch Office Registration Form (Form BR). Specifically, the Exchange is proposing that... mechanism of a free and open market and a national market system and, in general, to protect investors and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-23
... Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot... 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 Pilot.\\3\\ \\3\\ The Penny...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-07
... Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues that Have Been Delisted November 30, 2010. Pursuant to Section 19(b)(1) of... 1034 (Minimum Increments) to: Extend through December 31, 2011, the Penny Pilot Program in options...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-24
... Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues... 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 Pilot.\\3\\ \\3\\ The Penny Pilot was...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-31
... Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues... filing with the Commission a proposal 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...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-21
... Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues... Increments) to: Extend through June 30, 2012, the Penny Pilot Program in options classes in certain issues (``Penny Pilot'' or ``Pilot''); and replace any Penny Pilot issues that have been delisted.\\3\\ \\3\\ The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-06
... Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues...) to: extend through December 31, 2012, the Penny Pilot Program in options classes in certain issues (``Penny Pilot'' or ``Pilot''); and provide for or allow replacement of any Penny Pilot issues that have...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-10
... rates. In effect, the Exchange is obtaining wholesale rates from the carriers and then charging a markup... a markup to allow the Exchange to cover its administrative costs and to earn a profit on its...