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This document details a proposed rule change by NASDAQ OMX PHLX LLC regarding the Options Floor Broker Subsidy, including the elimination of a threshold requirement and amendments to subsidy calculations.

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How to fill out Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy

01

Begin by obtaining the official Notice of Filing form from the NASDAQ OMX PHLX LLC website or regulatory body.

02

Read the instructions carefully to understand the specific requirements for the form.

03

Fill in the header section with the name of the filing entity, which is NASDAQ OMX PHLX LLC.

04

Provide a concise title that reflects the purpose of the rule change regarding the Options Floor Broker Subsidy.

05

Include a detailed description of the proposed rule change, outlining the objectives and expected impact.

06

Specify the effective date of the proposed rule change and indicate if it is being filed for immediate effectiveness.

07

Ensure that all stakeholders' comments and feedback are incorporated if applicable.

08

Review the entire document for accuracy and completeness before submission.

09

Submit the completed form to the NASDAQ OMX PHLX LLC's designated regulatory authority as outlined in the instructions.

Who needs Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy?

01

Options floor brokers who are impacted by the subsidy need to be informed about the proposed rule change.

02

Regulatory compliance officers within trading firms who must ensure adherence to new rules.

03

Participants in the options trading market who require updates on subsidy-related matters.

04

Legal teams within brokerage firms that need to review and understand the implications of the rule change.

05

Other exchanges or market entities that might be affected by the operational changes introduced by the subsidy.

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What is Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy?

The Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC is a regulatory document that outlines modifications to existing rules regarding financial subsidies provided to options floor brokers, enabling them to enhance their operational efficiency and competitiveness.

Who is required to file Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy?

The filing is typically required by the NASDAQ OMX PHLX LLC itself, often initiated by its management or administrative body, especially when changes to the rules concerning subsidy programs for options floor brokers are proposed.

How to fill out Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy?

To fill out the Notice, the filing entity must provide detailed information about the proposed changes, including the rationale behind them, their expected impact, any relevant rule numbers, and comply with the format and submission requirements set forth by regulating authorities such as the SEC.

What is the purpose of Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy?

The purpose is to ensure transparency and regulatory compliance when changes to the subsidy program for options floor brokers are made, allowing stakeholders to understand the changes and provide input if necessary, enhancing market efficiency and fairness.

What information must be reported on Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy?

The report must include the details of the proposed rule change, its objectives, any relevant financial implications, the specific rules being amended, justification for the change, and a statement regarding immediate effectiveness and impact assessment.

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