| DWSEF |
Amended Fee Schedule |
06/15/2017 |
Certified |
06/29/2017 |
|
1 |
| TPSEF |
Amendment of tpSEF Inc. Terms of Use |
09/14/2017 |
Certified |
09/28/2017 |
|
1 |
| IGDL |
IGDL-2021-R-6 - 40.6(a) Rule Certification (7.7.21) |
07/07/2021 |
Certified |
07/21/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-03) |
05/20/2022 |
Certified |
06/06/2022 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification Delisting of Two (2) LIBOR-related Contracts (BSEF-2023-R-06). |
06/07/2023 |
Certified |
06/22/2023 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The date of intended implementation of the amended Rulebook is January 15, 2016. |
12/30/2015 |
Certified |
01/14/2016 |
|
1 |
| BGC |
We are submitting on behalf of our client, BGC Derivative Markets, LP ("BGC") new Rule 516, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. |
08/08/2016 |
Certified |
08/22/2016 |
|
1 |
| GFISEF |
We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. |
08/08/2016 |
Certified |
08/22/2016 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/20/2022 |
Notified |
05/20/2022 |
|
1 |
| CBOESEF |
Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
| CMESEF |
Adoption of CME SEF Recordkeeping and Reporting Policy |
01/28/2015 |
Certified |
02/11/2015 |
|
1 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF notifies the CFTC that it will release the attached Notice to Participants on June 23, 2016. The Notice relates to the guidance included in CFTC Letter 15-67 re: straight through processing. |
06/23/2016 |
Certified |
07/08/2016 |
|
1 |
| LGX |
Submission of revised fee schedule. |
02/13/2018 |
Certified |
02/28/2018 |
|
1 |
| CBOESEF |
Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC - Fee Schedule Amendment - Submission 14-14 |
05/02/2014 |
Certified |
05/17/2014 |
|
1 |
| 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 |
| TPSEF |
CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook being made in connection a request by the CFTC's Division of Market Oversight dated August 11, 2015. |
08/27/2015 |
Certified |
09/11/2015 |
|
1 |
| BGC |
BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) |
09/15/2022 |
Certified |
09/29/2022 |
|
1 |
| BSEF |
BSEF fee schedule amendment |
08/29/2023 |
Certified |
09/13/2023 |
|
1 |
| CBOESEF |
Javelin SEF Holiday Schedule for 2013 - 2014 |
11/21/2013 |
Certified |
12/07/2013 |
|
1 |
| CBOESEF |
Javelin SEF Amendments to its Rulebook: Rules 405, 512 and 520. Submission No. 14-03 Letter dated February 11, 2014 |
02/11/2014 |
Certified |
02/27/2014 |
|
1 |
| TPSEF |
tpSEF Inc. - Amending its Fee Schedule -- TPSEF Submission #14-02F |
06/12/2014 |
Certified |
06/27/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-06) |
07/09/2021 |
Certified |
07/23/2021 |
|
1 |
| TPSEF |
tpSEF, Inc. Rulebook Amendments to Rules 1000, 4003, 4011, 4016 and 8001. Letter dated February 14, 2014 |
02/18/2014 |
Certified |
03/05/2014 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(d) of the CFTC Regulations, tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B of the tpSEF Rulebook effective as of the date hereof. |
05/17/2016 |
Notified |
05/17/2016 |
|
1 |
| MKAXSEF |
MarketAxess SEF Update Rulebook to reflect recent developments and to provide clarity. (February 14, 2014) |
02/14/2014 |
Certified |
03/04/2014 |
|
1 |
| LGX |
Revised Enterprise Risk Management Plan |
05/31/2019 |
Certified |
06/14/2019 |
|
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 |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. |
09/21/2016 |
Certified |
10/05/2016 |
|
1 |
| SWAPX |
Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". |
06/03/2019 |
Certified |
06/17/2019 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/18/2020 |
Notified |
12/18/2020 |
|
1 |
| INFXSEF |
INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) |
12/17/2013 |
Certified |
01/03/2014 |
|
1 |
| GFISEF |
Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions |
01/04/2016 |
Certified |
01/19/2016 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on April 12, 2016. |
03/28/2016 |
Certified |
04/11/2016 |
|
1 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
12/18/2020 |
Certified |
01/05/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC Rulebook |
05/02/2019 |
Certified |
05/16/2019 |
|
1 |
| GFISEF |
GFI Swaps is publishing certain revisions to its fee schedule. GFISEF #14-0010 |
05/06/2014 |
Certified |
05/21/2014 |
|
1 |
| BGC |
We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed rule amendments. |
01/05/2016 |
Certified |
01/20/2016 |
|
1 |
| TDERIV |
Expansion of trading hours for IRS products |
02/16/2018 |
Notified |
02/16/2018 |
|
1 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. |
02/11/2021 |
Notified |
02/11/2021 |
|
1 |
| RF SEF |
Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 |
11/22/2013 |
Certified |
12/10/2013 |
|
1 |
| RADSEF |
TeraExchange response to Staff's supplemental 43 and 45 reporting questions. |
12/19/2014 |
Certified |
01/06/2015 |
|
1 |
| TPSEF |
Rulebook amendment |
12/04/2017 |
Certified |
12/18/2017 |
|
1 |
| TDERIV |
Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 |
12/31/2017 |
Certified |
01/16/2018 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook effective February 12, 2021. |
02/11/2021 |
Notified |
02/11/2021 |
|
1 |
| ICE SEF |
ICE Swap Trade - Rule Amendment - Amended Rulebook - Submission 14-10 March 25, 2014 |
03/25/2014 |
Certified |
04/09/2014 |
|
1 |
| LGX |
A routine update to reflect details of intermediated trading on LedgerX's exchange. |
12/04/2017 |
Certified |
12/18/2017 |
|
1 |
| GTX |
Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. |
02/16/2018 |
Certified |
03/05/2018 |
|
1 |
| CMESEF |
Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 |
09/22/2015 |
Certified |
10/06/2015 |
|
1 |
