Additional MarketWatch staff work on the NASDAQ PHLX trading floor providing similar coverage for electronic and floor based trading on NASDAQ PHLX. SR-PHLX-2020-41 Page 63 of 67 EXHIBIT 5 Deleted text is [bracketed]. NASDAQ PHLX Give Up Rule (SR-PHLX-2018-72) Summary. Audits shall be filed with the Exchange no more than 60 days of a broker dealers' fiscal year end. Nasdaq Subscriber Services at +1 212 231 5180 option 3; Nasdaq Market Regulation at +1 215 496 5545; Resources: SR-Phlx-2020-03; The Nasdaq PHLX recently filed a rule change to relocate its rules into a new Rulebook Structure that is pending publication by the SEC. Board of Directors Officers Standing Committees Nominating and Member Nominating Committee Governance Documents and … Philadelphia Stock Exchange (PHLX), now known as NASDAQ OMX PHLX, is the oldest stock exchange in the United States.It is now owned by Nasdaq Inc.Founded in 1790, the exchange was originally named the Board of Brokers of Philadelphia, also referred to as the Philadelphia Board of Brokers. The PHLX Semiconductor Sector Index SM (SOX SM) is a modified market capitalization-weighted index composed of companies primarily involved in the design, distribution, manufacture, and sale of semiconductors.. Index Resources Searchable library of data analysis, fact sheets, methodologies and research materials. Nasdaq BX, Inc. Nasdaq ISE, LLC. NASDAQ Supplementary Conduct Rules: Rule 6000: Other Systems and Programs: Rule 7000A: Order Audit Trail Series: Rule 8000: Investigations and Sanctions: Rule 9000: Code of Procedure: Rule 11000: Uniform Practice Code: ... Nasdaq PHLX Rules. For ease of reference in locating the rules of this market, below is a guide. Rules  →, Nasdaq Home > Nasdaq PHLX > Options 4A Options Index Rules. Index Directory Browse the complete list of Nasdaq indexes. New text is underlined. Nasdaq MRX, LLC. General 4 : Regulation. Regulatory Information. 1 Rules to a "member" shall be deemed to be references to a "member organization." Nasdaq PSX Features and Functionality. About Nasdaq PHLX Rules. Compliance with Regulation NMS Plan to Implement a Tick Size Pilot (a) through (d) No Change. Going Public - Listing on First North Growth Market, 5200. Manage regulatory programs including market surveillance for NASDAQ's six U.S. options markets, including the PHLX trading floor. Nasdaq Listing Information Access important information for your listing process. 2, Business Hours Click to open document in a browser The offices of the Corporation shall be open for the transaction of business for clearing members at 9:00 A.M. Unless otherwise specifically provided in the By-Laws or Rules of the Exchange or the context otherwise requires, the terms defined herein shall for all pur Minimum Increments (a) No change. The Nasdaq PHLX recently filed a rule change to relocate its rules into a new Rulebook Structure that is pending publication by the SEC. .14 Until [October 31, 2016]November 14, 2016, the treatment of Price to Comply Orders, Price to Display Orders, Non-Displayed Orders, and Post-Only Orders that are entered through the Proprietary Data Feed Fees * * * * * Intellicator Analytic Tool (a) The Intellicator Analytic Tool shall consist of the following components: (1) “Single-Factor Analytic Bundles,” which shall mean baskets of calculations of Limit Up-Limit Down Plan and Trading Halts on PSX (a) Authority to Initiate Trading Halts or Pauses In circumstances in which the Exchange deems it necessary to protect investors and the Source of Description Description based on online resource; title from contents screen of Securities - Federal & International practice area (Cheetah, viewed September 15, 2020). separate self-regulatory organization. Accordingly, the NFX has ceased operations as a futures exchange. General 3 : Membership and Access. Nasdaq Phlx Members shall comply with the General 7 Rules as though such rules were fully set forth herein. Applicability. Index Component Search Search by security name or symbol. SIFMA provides comments to the Securities and Exchange Commission (SEC) on on NASDAQ OMX PHLX LLC (Phlx) Rulemaking in response to the Notice of Filing of Proposed Rule Change to Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions (Release No. NASDAQ PHLX Rules * * * * * 3317. Position Limits (a) Except with the prior written approval of the Exchange in each instance, no member or member organization shall effect, for any account in which such member or member Nasdaq's US Listing Center is powered by ExACT. New text is underlined. Commentary: .01 – .13 No change. In 1875, the Board of Brokers changed its name to the Philadelphia Stock Exchange. FLEX® Equity Options. Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Phlx Series 8000 and 9000 Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq … Index Directory Browse the complete list of Nasdaq indexes. time (the “General 6 Rules”), are hereby incorporated by reference into this Nasdaq PHLX LLC General 6, and are thus Nasdaq PHLX Rules and thereby applicable to Nasdaq PHLX Members. Compliance with Regulation NMS Plan to Implement a Tick Size Pilot (a) through (d) No Change. Main | Rule Filings | Alerts | SEC Comments | NFX | BX | PHLX | ISE | GEMX | MRX | Help | Search: About the NASDAQ Rule Filings. Exchanges: The Nasdaq Stock Market Rules Nasdaq PHLX (Philadelphia Stock Exchange) Rules Nasdaq Futures (NFX) Rules Stock Clearing Corporation of Philadelphia (SCCP) Rules Nasdaq BX (Boston Stock Exchange) Rules Boston Stock Exchange Clearing Corporation Rules Nasdaq ISE Rules Nasdaq GEMX Rules Nasdaq MRX Rules SR-Phlx-2017-66 Page 54 of 56 . PHLX allows on the floor FLEX Options, or Flexible Exchange Offers with negotiable exercise style, strike price, expiration date, as well as other features and benefits. General 1 General 2 Rules  →, Options JPMorgan Chase Financial Company LLC Structured Investments. If approved by the SEC, the new listing rules would require all companies listed on Nasdaq… Change Rules That Are Incorporated by Reference in the BX Rules, Boston Stock Exchange Clearing Corporation  →, Stock Clearing Corporation of Philadelphia, Order Protection and Locked Cross Markets, Disruptive Quoting and Trading Activity Prohibited, Responsibilities to Other Brokers or Dealers, Responsibilities Relating to Associated Persons, Employees, and Others' Next. Registration, Qualification and Continuing Education. EXHIBIT 5. EXHIBIT 5 . Covers the By-Laws and Rules of Nasdaq Stock Market. The rules contained in The Nasdaq Stock Market LLC General 4, Section 1 as such rules may be in effect from time to time (the "General 4, Section 1 Rules"), are hereby incorporated by reference into this Nasdaq Phlx LLC General 4, Section 1, and are thus Nasdaq Phlx Rules and thereby applicable to Nasdaq Phlx Member Organizations. 2, Business Hours Click to open document in a browser The offices of the Corporation shall be open for the transaction of business for clearing members at 9:00 A.M. 2015 » 2014 » 2013 » 2012 » 2011 » 2010 » 2009 » 2008 opportunity trade... Provide retail and institutional traders with the opportunity to trade Options on seven major currencies... Nasdaq, Inc. nasdaq OMX Group, Inc Amendment of certificate of Designation of Series a Preferred. 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