| CMESEF |
Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 |
09/22/2015 |
Certified |
10/06/2015 |
|
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 and Risk Mitigation Procedures. |
10/30/2015 |
Certified |
11/16/2015 |
|
1 |
| NEXSEF |
Amendments to Rules 802(1) ("Fixed for Floating IRS") and 802(4) ("Non Deliverable Swaps") in Connection with the Implementation of the 2021 IDSA Interest Rate Derivatives Definitions. |
09/17/2021 |
Certified |
10/01/2021 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
02/25/2022 |
Notified |
02/25/2022 |
|
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. |
12/01/2015 |
Certified |
12/15/2015 |
|
1 |
| TPSEF |
Updates to the tpSEF Inc. Risk Mitigation Procedures |
12/17/2020 |
Certified |
01/04/2021 |
|
1 |
| RTX |
Weekly Notification of Rule Amendments |
08/31/2023 |
Notified |
08/31/2023 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC Submission #13-0011 (Letter dated December 18, 2013) Amendments to GFI Rules 101, 528, 529, 533, 903, and 914 |
12/19/2013 |
Certified |
01/07/2014 |
|
1 |
| TPSEF |
tpSEF Inc. - Rulebook Amendments - Effective May 23, 2014 TPSEF #14-01R |
05/12/2014 |
Certified |
05/27/2014 |
|
1 |
| BSEF |
Non-substantive amendment of rules to incorporate recent CFTC rule amendments which codified prior CFTC no-action relief |
02/16/2021 |
Notified |
02/16/2021 |
|
1 |
| SEED CX |
Certification of new Rule 203 to establish procedures for adding Directors to the Board. |
09/21/2016 |
Certified |
10/05/2016 |
|
1 |
| BGC |
BGC Derivative Markets, L.P. submits these rule amendments to reflect codification of CFTC No Action Letters. |
02/16/2021 |
Notified |
02/16/2021 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC Submission #13-0012 |
12/19/2013 |
Certified |
01/07/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants attached as Exhibit A to this certification on November 14, 2014. |
10/29/2014 |
Certified |
11/13/2014 |
|
1 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
09/22/2016 |
Certified |
10/06/2016 |
|
1 |
| LGX |
Revised SEF Exhibit B |
09/19/2017 |
Notified |
09/19/2017 |
|
1 |
| GFISEF |
Please find attached changes to certain rules to align more closely with the language of the Commission Rules and also amendments made in response to guidance of Commission staff. |
02/28/2022 |
Certified |
03/14/2022 |
|
1 |
| RF SEF |
Pursuant to the instructions in Form SEF regarding amendments to exhibits filed in connection with and approved order of registration, Refinitiv US SEF LLC ("RSEF") hereby submits an amended Exhibit B-1 to its SEF application |
04/11/2022 |
Certified |
04/25/2022 |
|
1 |
| 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 |
| 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 |
| TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of August 21, 2019. |
08/26/2019 |
Notified |
08/26/2019 |
|
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 |
| TDERIV |
Self-certification of rule amendments |
10/30/2014 |
Certified |
11/14/2014 |
|
1 |
| NEXSEF |
Update Chapter 8 to incorporate changes made to the terms of existing products (made in separately filed 40.2(a) filings) and make various substantive formatting and clean-up changes throughout the rule book. |
08/27/2019 |
Notified |
08/27/2019 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-04) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| BGC |
Amending the rulebook to include additional clearing organizations. |
03/31/2016 |
Certified |
04/14/2016 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/28/2021 |
Notified |
05/28/2021 |
|
1 |
| AEGIS |
Contract Position Accountability Levels Table |
08/30/2022 |
Certified |
09/14/2022 |
|
1 |
| ICE SEF |
Listingof Commodity Swaps and Related Rule Amendments. ICE SEF #13-02 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-05) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| 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 |
| 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 |
| TRAD |
Amendments to Tradition SEF Trad-X Platform Supplement. |
03/31/2016 |
Certified |
04/14/2016 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2019-R-10). |
11/01/2019 |
Certified |
11/18/2019 |
|
1 |
| GFISEF |
Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) |
02/19/2014 |
Certified |
03/06/2014 |
|
1 |
| TPSEF |
Deletion of Rules 4013(e) and (f) to reflect the expiration of the no-action relief granted in CFTC 14-121. |
03/11/2015 |
Certified |
03/25/2015 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2019-R-09). |
11/01/2019 |
Certified |
11/18/2019 |
|
1 |
| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
02/13/2020 |
Certified |
02/28/2020 |
|
1 |
| LGX |
LedgerX Revised Participant Agreement |
05/28/2021 |
Certified |
06/14/2021 |
|
1 |
| ICE SEF |
Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| GTX |
GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
| TDERIV |
self certification of fees on the SEF Trading System |
08/16/2016 |
Certified |
08/30/2016 |
|
1 |
| TWSEF |
New Fee Schedule for TW SEF |
06/16/2017 |
Certified |
06/30/2017 |
|
1 |
| BSEF |
BSEF Rulebook Amendment |
12/21/2018 |
Certified |
01/08/2019 |
|
1 |
| GFISEF |
GFI Swaps Exchange Withdrawal of GFI Rule 507(c) and Submission #14-0002. GFISEF #14-0003 |
02/19/2014 |
Certified |
03/06/2014 |
|
1 |
| 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 |
| TDERIV |
trueEX LLC Rule Amendments, Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-07S |
04/09/2014 |
Certified |
04/24/2014 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Updated its Rulebook to reflect recent developments and to provide clarity. Effective June 30, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| INFXSEF |
INFX SEF, Inc. - Amendments to Rulebook: incorporated requested changes by Commission staff - Notice 13-06(a) (Letter dated December 20, 2013) |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| GTX |
GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
