| TPSEF |
tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. |
11/06/2013 |
Certified |
11/22/2013 |
|
0 |
| MKAXSEF |
MarketAxess SEF Corporation - Rulebook updated to reflect recent developments and to provide clarity. Letter dated November 5, 2013. Amended Rulebook will be effective November 21, 2013. |
11/05/2013 |
Certified |
11/21/2013 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| SWAPX |
SwapEX LLC - Amendment to Application for Registration as a Swap Execution Facility, letter dated November 4, 2013. (amendments from its July 30, 2013 application) |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| TPSEF |
tpSEF Inc. Emergency Rule Certification letter dated November 1, 2013. Amended its Rulebook in response to Commission Letter No. 13-66, regarding the resubmission of swaps rejected for clearing. |
11/04/2013 |
Certified |
11/20/2013 |
|
1 |
| BGC |
BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| GFISEF |
GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| DWSEF |
DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| TWSEF |
TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-04) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-05) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook, specifically the Definitions and Rules 204 and 312. (October 31, 2013) |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| TDERIV |
LCH trueEX Execution Venue Agreement |
10/30/2013 |
Certified |
11/15/2013 |
|
0 |
| BSEF |
Rulebook Amendments - Amending the October 17 Rulebook Certification to respond to comments from Commission staff. (2013R-6 10/29/13) |
10/29/2013 |
Certified |
11/14/2013 |
|
1 |
| SWAPX |
SwapEx, LLC amendment to its application for registration as a swap execution facility. (October 25, 2013) |
10/28/2013 |
Certified |
11/13/2013 |
|
0 |
| ICE SEF |
ICE Swap Trade, LLC Rule Amendment - Amended Rulebook Submission 13-07 The Rulebook will become effective on November 7, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| CBOESEF |
Javelin SEF, LLC Rule Amendment Submission 13-07 - Amending its Rulebook based upon comments received from participants and its experience since it began trading operations. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| INFXSEF |
INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| TPSEF |
tpSEF, Amendment to its Rulebook, as provided in Exhibit B (10-24-13) |
10/24/2013 |
Certified |
11/08/2013 |
|
1 |
| INFXSEF |
Amendments to Rulebook clarify the process of submitting an RFQ onto the INFX SEF RFQ Platform. (10-22-13) |
10/22/2013 |
Certified |
11/06/2013 |
|
1 |
| ICE SEF |
ICE Swap Trade Rule Amendment - Amended Rulebook, letter dated October 18, 2013 |
10/21/2013 |
Certified |
11/05/2013 |
|
1 |
| TWSEF |
TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| DWSEF |
DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| DWSEF |
Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| TWSEF |
TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| RF SEF |
Amendments to its application for TR SEF and request for Confidential Treatment. October 18, 2013 |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| SWAPX |
Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 |
10/18/2013 |
Certified |
11/02/2013 |
|
1 |
| INFXSEF |
Rulebook amendments in response to comments and questions received from Commission staff. |
10/18/2013 |
Certified |
11/02/2013 |
|
0 |
| BSEF |
Amended Rulebook in response to comments and questions received from Commission staff and potential users of BSEF's swap execution facility. |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| ICAPSEF |
Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| ICAPSEF |
Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| CBOESEF |
Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| GFISEF |
Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| SWAPX |
SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TPSEF |
Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| BGC |
Notice of BGC Derivative Markets, L.P. Claiming Relief Under CFTC Letter No. 13-62 October 8, 2013 (2013-01) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| 360T |
Amendments to 360T SEF Application for Registration and documents with request for confidential treatment. October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| GFISEF |
Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| MKAXSEF |
Amended MarketAxess application for registration as a SEF. (October 17, 2013) |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| MKAXSEF |
Updating the Rulebook to reflect recent developments and to provide clarity. (10-17-13) |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| RF SEF |
Thomas Reuters (SEF) amending its rulebook in response to comments and questions regarding TR SEF. Submission 13-03 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| BSEF |
Amending Bloomberg SEF Rulebook. - Rule 533. Cleared Swaps |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TRAD |
Emergency Rule Certification - amended to comply with the conditions for the time-limited no-action relief provided in CFTC Letter No. 13-58 TRAD #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| TRAD |
Representation in Connection with Notice of Intent to Rely on Time-Limited No-Action Relief provided by CFTC Letter No. 13-62 from requirement to comply with Commission Regulation 37.702(b) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| ICE SEF |
Listingof Commodity Swaps and Related Rule Amendments. ICE SEF #13-02 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
