BGC |
The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules are technical corrections, clarifications and adjustments to rule language based upon guidance received from the staff of the Commodity Futures Trading Commission ("CFTC"). |
11/03/2014 |
Certified |
11/18/2014 |
|
2 |
DWSEF |
DW SEF - Work-Up Protocol |
12/29/2014 |
Certified |
01/13/2015 |
|
2 |
TRAD |
Amendments to Tradition SEF Rulebook. |
01/11/2016 |
Certified |
01/26/2016 |
|
2 |
BSEF |
Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 22, 2015. |
12/07/2015 |
Certified |
12/21/2015 |
|
2 |
LGX |
Amendment to Participant Agreement |
08/04/2022 |
Certified |
08/18/2022 |
|
2 |
TRAD |
Tradition SEF, Inc. - Notification of Amendments to Tradition SEF, Inc. Rulebook TRAD #14-0002 |
04/15/2014 |
Certified |
04/30/2014 |
|
2 |
TWSEF |
Notice to All Participants of TW SEF LLC:RFQ1 Treatment for MAT Swap Leg of Specified Package Transactions |
02/04/2015 |
Certified |
02/19/2015 |
|
2 |
BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify Rules 604 and 704 with respect to Post-Trade Name Give-Up and to update various CFTC No Action Letters. |
11/24/2020 |
Certified |
12/09/2020 |
|
2 |
TRAD |
Amendments to Tradition SEF's Trad-X USD CME/LCH Auctions. |
06/03/2015 |
Certified |
06/17/2015 |
|
2 |
LGX |
Fee Schedule Amendmenet |
12/06/2019 |
Notified |
12/06/2019 |
|
2 |
CMSEF |
Rulebook Amendments |
01/11/2022 |
Certified |
01/26/2022 |
|
2 |
AEGIS |
Administrative changes to Participant Agreement and Market Participant Addendum. |
01/27/2023 |
Notified |
01/27/2023 |
|
2 |
CMESEF |
Amendments to CME/CBOT/NYMEX/COMEX and CME SEF Rule 537 |
07/29/2015 |
Certified |
08/12/2015 |
|
2 |
TRAD |
Amendments to Tradition SEF Trad-X, Volbroker and StreamGlobal Platform Supplements. |
01/12/2016 |
Certified |
01/27/2016 |
|
2 |
IGDL |
Market Regulation Advisory Notice |
05/19/2016 |
Certified |
06/03/2016 |
|
2 |
TPSEF |
Amendments to tpSEF Fee Schedule |
10/02/2017 |
Certified |
10/17/2017 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule |
07/17/2020 |
Certified |
07/31/2020 |
|
2 |
RADSEF |
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 |
TPSEF |
This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as morefully described in Exhibit B. |
08/13/2014 |
Certified |
08/27/2014 |
|
2 |
DWSEF |
Amendments to the DW SEF IRS Fee Schedule |
07/21/2020 |
Certified |
08/04/2020 |
|
2 |
TPSEF |
Amendments to Exhibit Q to tpSEF's Form SEF. |
08/30/2019 |
Certified |
09/16/2019 |
|
2 |
RTX |
Revision of the RTX Fintech & Research LLC Rulebook |
05/10/2024 |
10 Day Review |
05/10/2024 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is amending its Error Trade Policy. |
11/07/2014 |
Certified |
11/24/2014 |
|
2 |
GFISEF |
Various Rulebook Amendments |
09/30/2015 |
Certified |
10/15/2015 |
|
2 |
GFISEF |
Matching Session Description |
09/30/2015 |
Certified |
10/15/2015 |
|
2 |
TWSEF |
Updates to the TWSEF Compliance Manual |
04/13/2022 |
Certified |
04/27/2022 |
|
2 |
TPSEF |
Amendments to tpSEF Fee Schedule |
12/09/2019 |
Certified |
12/23/2019 |
|
2 |
SEED CX |
Seed SEF is amending various rules to clarify certain definitions and to make substantive revisions to Chapters 7 (Contract Settlement) and 9 (Arbitration) |
01/12/2018 |
Withdrawn |
01/16/2018 |
|
2 |
NEXSEF |
Revised Fee Program discount programs |
07/17/2018 |
Certified |
07/31/2018 |
|
2 |
LGX |
Submission of Revised fee schedule |
03/04/2020 |
Certified |
03/18/2020 |
|
2 |
TRAD |
Amendments to Tradition SEF Rulebook. |
07/15/2016 |
Certified |
07/29/2016 |
|
2 |
TRAD |
Revisions to the StreamGlobal Platform Supplement |
12/21/2016 |
Certified |
01/06/2017 |
|
2 |
TRAD |
Changes to fee schedule |
11/10/2014 |
Certified |
11/25/2014 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. |
09/16/2014 |
Certified |
09/30/2014 |
|
2 |
TWSEF |
Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). |
06/03/2020 |
Certified |
06/17/2020 |
|
2 |
NEXSEF |
Amendments to the NEX SEF Limited Governance Policy and Adoption of the Board of Directors Terms of Reference |
04/26/2021 |
Certified |
05/10/2021 |
|
2 |
TRAD |
Amendments to Tradition SEF Rulebook. |
08/04/2015 |
Certified |
08/18/2015 |
|
2 |
BSEF |
Amended schedule |
09/17/2020 |
Certified |
10/01/2020 |
|
2 |
NEXSEF |
Amended Fee Program |
07/18/2019 |
Certified |
08/01/2019 |
|
2 |
GFISEF |
40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
IGDL |
Amendments to IDGL's Fee Schedule. |
07/23/2021 |
Certified |
08/06/2021 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS On-SEF UK/US Crossover Market Maker Program |
08/17/2022 |
Certified |
08/31/2022 |
|
2 |
CBOESEF |
Rule amendments regarding (a) CFTC No Action Letter 15-24, (b) changes to voice trading procedures, and (c) record retention. |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
TPSEF |
Amendments to tpSEF's Rulebook and Compliance Manual. |
04/29/2020 |
Certified |
05/13/2020 |
|
2 |
IGDL |
Non-substantive revisions to the IGDL Rulebook and IGDL Compliance Manual, both effective as of November 1, 2020. |
10/29/2020 |
Notified |
10/29/2020 |
|
2 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-11) |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
BSEF |
Emergency Rule Certification |
02/05/2019 |
Certified |
02/20/2019 |
|
2 |
IGDL |
Non-substantive revisions to the IGDL Rulebook and Fee schedule, both effective as of July 1, 2022. |
07/01/2022 |
Notified |
07/01/2022 |
|
2 |
DWSEF |
DW SEF Market Regulation Advisory Notice re STP and Affirmation |
05/31/2016 |
Certified |
06/14/2016 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Exhibit T to Form SEF in order to to affect certain administrative/clerical revisions. |
07/19/2016 |
Certified |
08/02/2016 |
|
2 |