| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. |
09/28/2023 |
10 Day Review |
09/28/2023 |
|
1 |
| AEGIS |
Amendments to Rulebook and Market Participant Addendum |
09/08/2023 |
Certified |
09/22/2023 |
|
4 |
| BSEF |
BSEF fee schedule amendment |
08/29/2023 |
Certified |
09/13/2023 |
|
1 |
| TWSEF |
Notice to Participants- Cleared Error Swaps- procedures and requirements |
08/22/2023 |
Certified |
09/06/2023 |
|
2 |
| RTX |
Weekly Notification of Rule Amendments |
08/31/2023 |
Notified |
08/31/2023 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Rule 901 ("System Protocols") of the NEX SEF Rulebook (Form SEF Exhibit M) and the Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2023-01 |
08/15/2023 |
Certified |
08/29/2023 |
|
2 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). |
08/14/2023 |
Certified |
08/28/2023 |
|
1 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker |
08/01/2023 |
Certified |
08/15/2023 |
|
1 |
| TPSEF |
Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. |
07/31/2023 |
Certified |
08/14/2023 |
|
1 |
| IGDL |
Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook |
07/31/2023 |
Certified |
08/14/2023 |
|
1 |
| NEXSEF |
Amendments to Chapter 5 ("Rule Enforcement") and Rule 901 ("System Protocols") of the NEX SEF Limited Rulebook (Form SEF Exhibit M) and the Trade Practice Review Program of the NEX SEF Compliance Manual (Form SEF Exhibit O3) |
07/28/2023 |
Certified |
08/11/2023 |
|
4 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker |
07/25/2023 |
Certified |
08/08/2023 |
|
1 |
| TRAD |
CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. |
07/24/2023 |
Certified |
08/07/2023 |
|
3 |
| GFISEF |
CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA |
07/24/2023 |
Certified |
08/07/2023 |
|
1 |
| BGC |
BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. |
07/24/2023 |
Certified |
08/07/2023 |
|
3 |
| LGX |
Self-certification of revisions to LLC Operating Agreement |
07/07/2023 |
Certified |
07/21/2023 |
|
1 |
| ISBV |
Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. |
06/29/2023 |
Certified |
07/14/2023 |
|
11 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) |
06/28/2023 |
Certified |
07/13/2023 |
|
1 |
| TERAEXC |
Submission of TeraExchange LLC updated rulebook adding 3 swaps to the product terms and conditions that have been filed with the commission for certification and removing 7 instruments that reference LIBOR which have been delisted. |
06/21/2023 |
Certified |
07/06/2023 |
|
2 |
| BSEF |
Product-Related Amendments to the BSEF LLC Rulebook |
06/15/2023 |
Certified |
06/30/2023 |
|
1 |
| CBOESEF |
Corrected cross-reference in Rule 512(4) from 513(3) to 512(3). |
06/30/2023 |
Notified |
06/30/2023 |
|
1 |
| RF SEF |
Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. |
06/08/2023 |
Certified |
06/23/2023 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Certification Delisting of Two (2) LIBOR-related Contracts (BSEF-2023-R-06). |
06/07/2023 |
Certified |
06/22/2023 |
|
1 |
| CBOESEF |
Introduction of Order Operator ID and amendments to Authorized Trader registration. |
05/31/2023 |
Certified |
06/14/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. |
05/31/2023 |
Certified |
06/14/2023 |
|
1 |
| TRAD |
Updates to Tradition SEF Rulebook Appendix A and Appendix B to add CAD Overnight Repo Rate Average (CORRA) and Markitr iBoxx USD Liquid Investment Grade (IG Index) Credit Index. |
05/19/2023 |
Certified |
06/05/2023 |
|
5 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) |
05/10/2023 |
Certified |
05/24/2023 |
|
1 |
| CBOESEF |
Introduction of second SEF Trading System in LD4. |
05/02/2023 |
Certified |
05/16/2023 |
|
1 |
| LATAM |
40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 |
04/04/2023 |
Certified |
04/18/2023 |
|
1 |
| 360T |
terminology update |
03/24/2023 |
Certified |
04/07/2023 |
|
7 |
| TPSEF |
Amendments to the tpSEF Fee Schedule |
03/23/2023 |
Certified |
04/06/2023 |
|
2 |
| CBOESEF |
Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. |
03/23/2023 |
Certified |
04/06/2023 |
|
2 |
| CBOESEF |
The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. |
03/22/2023 |
Certified |
04/05/2023 |
|
2 |
| SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
03/20/2023 |
Certified |
04/03/2023 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program |
03/14/2023 |
Certified |
03/28/2023 |
|
2 |
| NEXSEF |
Amendments to NEX SEF Limited Rulebook and Compliance Manual |
03/13/2023 |
Certified |
03/27/2023 |
|
4 |
| AEGIS |
Amendments to Rulebook and Participant Agreement. |
03/07/2023 |
Certified |
03/21/2023 |
|
4 |
| SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
02/27/2023 |
Certified |
03/13/2023 |
|
1 |
| AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
02/24/2023 |
Certified |
03/10/2023 |
|
3 |
| TPSEF |
Amendments to the tpSEF Fee Schedule |
02/22/2023 |
Certified |
03/08/2023 |
|
2 |
| BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook |
01/30/2023 |
Certified |
02/13/2023 |
|
1 |
| TPSEF |
Amendments to the tpSEF Rulebook as provided in Exhibit A |
01/25/2023 |
Certified |
02/08/2023 |
|
1 |
| AEGIS |
Administrative changes to Participant Agreement and Market Participant Addendum. |
01/27/2023 |
Notified |
01/27/2023 |
|
2 |
| TERAEXC |
Inclusion of Product Terms and Conditions |
12/21/2022 |
Certified |
01/06/2023 |
|
4 |
| CBOESEF |
Update Fee Schedule |
12/15/2022 |
Certified |
12/30/2022 |
|
1 |
| RF SEF |
RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). |
12/12/2022 |
Certified |
12/27/2022 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) |
12/02/2022 |
Certified |
12/16/2022 |
|
1 |
| CBOESEF |
The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
