| IGDL |
Revised Facility Rulebook |
08/29/2014 |
Certified |
09/15/2014 |
|
2 |
| LATAM |
See Exhibit A of the Submission |
06/22/2015 |
Certified |
07/07/2015 |
|
2 |
| SWAPX |
SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| TRAD |
Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. |
12/12/2014 |
Certified |
12/29/2014 |
|
2 |
| BSEF |
Bloomberg SEF LLC hereby submits its self-certification of the BSEF Rulebook, to be effective on September 24, 2015. |
09/09/2015 |
Certified |
09/23/2015 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
05/10/2016 |
Certified |
05/24/2016 |
|
2 |
| ICE SEF |
EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. |
10/01/2014 |
Certified |
10/16/2014 |
|
2 |
| BSEF |
BSEF Compliance Manual |
02/21/2019 |
Certified |
03/07/2019 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
06/16/2020 |
Certified |
06/30/2020 |
|
2 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
11/02/2020 |
Certified |
11/17/2020 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
03/17/2021 |
Certified |
03/31/2021 |
|
2 |
| CBOESEF |
(1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. |
03/17/2022 |
Certified |
03/31/2022 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
01/16/2015 |
Certified |
02/02/2015 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby submits to the Commission certain rule amendment. |
08/01/2016 |
Certified |
08/15/2016 |
|
2 |
| IGDL |
Amendment to Confidential Chapter 9 Trading Protocols |
03/10/2017 |
Certified |
03/24/2017 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. |
01/16/2015 |
Certified |
02/02/2015 |
|
2 |
| IGDL |
IGDL has revised its Fee Schedule |
10/15/2015 |
Certified |
10/29/2015 |
|
2 |
| TPSEF |
Amendments to Exhibit Q to tpSEF's Form SEF. |
06/18/2020 |
Certified |
07/02/2020 |
|
2 |
| LGX |
Rulebook for LedgerX DCM |
06/24/2019 |
Certified |
07/09/2019 |
|
2 |
| NEXSEF |
Revisions to NEX SEF Limited Form SEF Exhibits to Reflect Changes to the Board of Directors and Officer Composition and, Administrative Amendments NEX/CME Group integration and minor edits to the Compliance Manual. |
05/04/2022 |
Certified |
05/18/2022 |
|
2 |
| BSEF |
BSEF Rulebook Amendment |
05/12/2016 |
Certified |
05/26/2016 |
|
2 |
| NEXSEF |
Amended Fee Program |
08/03/2018 |
Certified |
08/17/2018 |
|
2 |
| NEXSEF |
Extension of the NEX SEF African & Middle East NDFs Market Maker Program |
10/15/2021 |
Certified |
10/29/2021 |
|
2 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Error Trade Policy. |
11/21/2014 |
Certified |
12/08/2014 |
|
2 |
| NEXSEF |
Self certification of NEX SEF Market Regulation Advisory Notice for update of Quote Fill Ratio Thresholds. |
03/18/2020 |
Certified |
04/01/2020 |
|
2 |
| CBOESEF |
Bats Hotspot SEF has revised its rulebook in order to remove interest rate swaps, add non-deliverable forwards and reflect changes to governance and disciplinary processes resulting from ownership changes. |
04/21/2017 |
Certified |
05/05/2017 |
|
2 |
| NEXSEF |
Weekly Submission of Rule Amendments |
02/02/2018 |
Notified |
02/02/2018 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
09/11/2015 |
Certified |
09/25/2015 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has amended itsRulebook. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
| BSEF |
Pursuant to Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. |
05/18/2015 |
Certified |
06/02/2015 |
|
2 |
| CMSEF |
Rule Certification |
11/06/2020 |
Certified |
11/23/2020 |
|
2 |
| IGDL |
Revised Discount Structure Appendix |
03/17/2016 |
Certified |
03/31/2016 |
|
2 |
| BSEF |
Addendum to BSEF-NFA Regulatory Services Agreement |
09/22/2020 |
Certified |
10/06/2020 |
|
2 |
| 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 |
Amended Compliance Manual (BSEF-2018-R-08) |
11/01/2018 |
Certified |
11/16/2018 |
|
2 |
| MKAXSEF |
Amended MarketAxess application for registration as a SEF. (September 30, 2013) |
09/30/2013 |
Certified |
07/29/2014 |
|
2 |
| CMESEF |
Conforming Amendments to Various CME SEF Rules. |
12/14/2017 |
Certified |
12/29/2017 |
|
2 |
| CMESEF |
Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief |
07/18/2014 |
Certified |
08/01/2014 |
|
2 |
| NEXSEF |
Amended Fee Program |
07/17/2017 |
Certified |
07/31/2017 |
|
2 |
| TRAD |
Amendment to the tradition SEF fee schedule |
07/01/2015 |
Certified |
07/16/2015 |
|
2 |
| TRAD |
Amendments to the Tradition SEF Fee Schedule |
11/27/2017 |
Certified |
12/11/2017 |
|
2 |
| NEXSEF |
Fee Program Amendment |
12/15/2017 |
Certified |
01/02/2018 |
|
2 |
| TWSEF |
Weekly Notification of Rule Amendments for TW SEF - Week of September 30, 2019 |
10/07/2019 |
Notified |
10/07/2019 |
|
2 |
| NEXSEF |
Market Regulation Advisory Notice 2020-01 and related rulebook amendment |
12/18/2019 |
Certified |
01/03/2020 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. |
03/01/2019 |
Certified |
03/15/2019 |
|
2 |
| BSEF |
The Rulebook of Bloomberg SEF LLC ("Bloomberg SEF") has been amended in response to comments and questions received from the staff of the Commodity Futures Trading Commission, as well as potential users of Bloomberg SEF's swap execution facility. |
10/08/2014 |
Certified |
10/23/2014 |
|
2 |
| TRAD |
Amendments to Fee Schedule |
10/07/2019 |
Certified |
10/22/2019 |
|
2 |
| CBOESEF |
Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. |
12/09/2016 |
Certified |
12/23/2016 |
|
2 |
| TWSEF |
TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
