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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

Publication Date*: 8/22/2019 Mailto Link Identification Number: 1554
Frequently Asked Questions
 What are the Minor Rule Violations?
Identification Number 1582

Refer to Options 11 – Minor Rule Plan Violations for a list of minor rule plan violations. Also see PHLX Minor Rule Violations – Options 8, Section 39.

Publication Date*: 4/30/2024 Mailto Link Identification Number: 1582
Frequently Asked Questions
 What happens if, after an investigation, 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 Phlx 9216(b).

Publication Date*: 4/28/2021 Mailto Link Identification Number: 1585
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