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Libraries:   FAQs - Market Regulation
Filters:   All Years; PHLX Trading Floor;
 
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Frequently Asked Questions
  Who at Nasdaq should be contacted with respect to PHLX trading floor regulatory questions?
Identification Number 1554

Contact the Nasdaq Floor Surveillance team regarding PHLX trading floor regulatory questions at 215.496.5295 or email NasdaqUSoptions.Exchangeofficials@nasdaq.com.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1554
Frequently Asked Questions
  What are the Floor Procedure Advices?
Identification Number 1582

Refer to PHLX IM-9216 for a list of equity and option floor procedure advices. See PHLX Rule 9216(b).

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1582
Frequently Asked Questions
  What happens if the PHLX Regulation Department has reason to believe that I violated the Floor Procedure Advices other than regulations concerning violation of order, decorum, health, safety and welfare on the Exchange, and I do not dispute the violation?
Identification Number 1585

The PHLX Regulation Department may prepare and request that you execute a minor rule violation plan letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive your right to a hearing before a Hearing Panel or, if applicable, an Extended Hearing Panel, and any right of appeal to the Exchange Review Council, the Commission, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. See Rule 9216(b).

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1585
material_search_footer*The Publication Date reflects the date of first inclusion in the Reference Library, which was launched on July 31, 2012, or a subsequent update to the material. Material may have been previously available on a different Nasdaq web site.
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