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 |
TDERIV |
Amendment to Rule 524, will promote trading on trueEX SEF by permitting limited pre-execution communication in respect of orders for Permitted Transactions. TRUSEF #2014-08S |
04/24/2014 |
Certified |
05/09/2014 |
|
1 |
IGDL |
Fee Schedule |
03/17/2015 |
Certified |
03/31/2015 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-04) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) |
11/18/2022 |
Certified |
12/05/2022 |
|
1 |
TDERIV |
Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. |
10/05/2015 |
Certified |
10/20/2015 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-04) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
TRAD |
Tradition SEF Rulebook and Form SEF Exhibits Q and V Amendments, letter dated January 3, 2014 Trad #14-0001 |
01/03/2014 |
Certified |
01/18/2014 |
|
1 |
TDERIV |
Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
BSEF |
Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-05) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule amendment - Amended Rulebook, (letter dated November 8, 2013) : Exhibit A, Exhibit B, Exhibit C, Cover Sheet 2013-R-7 |
11/12/2013 |
Certified |
07/29/2014 |
|
1 |
BGC |
More detail regarding the Voice Work-Up trading process |
01/15/2016 |
Certified |
02/01/2016 |
|
1 |
360T |
360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 |
02/25/2014 |
Certified |
03/12/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-09) |
09/18/2020 |
Certified |
10/02/2020 |
|
1 |
MKAXSEF |
MarketAxess SEF Corporation - Rulebook Amendments - Rules 214, 311, 407 to become effective March 26, 2014 |
02/27/2014 |
Certified |
03/14/2014 |
|
1 |
BSEF |
Notice to Participants |
06/28/2017 |
Certified |
07/13/2017 |
|
1 |
NEXSEF |
Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. |
11/17/2021 |
Certified |
12/02/2021 |
|
1 |
GFISEF |
Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 |
12/05/2013 |
Certified |
12/20/2013 |
|
1 |
BGC |
The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
BSEF |
Rulebook Amendment |
06/28/2017 |
Certified |
07/13/2017 |
|
1 |
TRAD |
Amendment to Rule 412(a), (b), (d) and (e) to permit confirmation to e directed to Broker Firm Participants. Amendment to Rule 508 to permit a work-up process to commence upon execution via a Request for Continuous Stream. |
04/30/2020 |
Certified |
05/14/2020 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the CEA and CFTC Regulations 37.3(b)(3) and 40.6(a), tpSEF is hereby submitting an amended version of Exhibit T to tpSEF application for registration as a swap execution facility. |
07/19/2016 |
Certified |
08/02/2016 |
|
1 |
MKAXSEF |
MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. |
10/05/2015 |
Notified |
10/05/2015 |
|
1 |
BGC |
As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. |
11/29/2016 |
Certified |
12/13/2016 |
|
1 |
TPSEF |
CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. |
05/06/2015 |
Certified |
05/20/2015 |
|
1 |
BGC |
Amending rules for determining speculative position limits or position accountability. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
BSEF |
Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF LLC will release the Notice to Participants attached on January 19, 2016, to become effective on February 3, 2016. |
01/19/2016 |
Certified |
02/02/2016 |
|
1 |
CBOESEF |
Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. |
02/06/2019 |
Certified |
02/21/2019 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
08/17/2022 |
Notified |
08/17/2022 |
|
1 |
INFXSEF |
Rule amendments to incorporate certain clarifications and updates. |
11/14/2014 |
Certified |
12/01/2014 |
|
1 |
CBOESEF |
Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. |
08/26/2016 |
Certified |
09/12/2016 |
|
1 |
TRAD |
40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" |
11/17/2021 |
Certified |
12/02/2021 |
|
1 |
CBOESEF |
Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. |
08/18/2022 |
Certified |
09/01/2022 |
|
1 |
BGC |
These rule amendments are cumulative and are in response to suggestions and guidance from the staff. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
06/01/2016 |
Certified |
06/15/2016 |
|
1 |
TDERIV |
name change for GBP OIS floating rate index |
04/30/2018 |
Notified |
04/30/2018 |
|
1 |
CBOESEF |
Update the appeal provisions under Cboe SEF's Rules. |
08/18/2022 |
Certified |
09/01/2022 |
|
1 |
TDERIV |
Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. |
03/19/2015 |
Certified |
04/02/2015 |
|
1 |
ICE SEF |
ICE Swap Trade LLC - Rule Amendment - Revised Fee Schedule, Error Trade Policy and Block Trade FAQ. ICESEF #14-06 |
02/27/2014 |
Certified |
03/14/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) |
05/10/2023 |
Certified |
05/24/2023 |
|
1 |
IGDL |
Rule certification to amend Rule 902, IGDL's vRFQ protocols. |
03/19/2015 |
Certified |
04/02/2015 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/30/2021 |
Notified |
04/30/2021 |
|
1 |
IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
10/06/2021 |
Certified |
10/21/2021 |
|
1 |
CMESEF |
Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 |
02/12/2015 |
Certified |
02/27/2015 |
|
1 |
LATAM |
CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 |
01/20/2022 |
Certified |
02/03/2022 |
|
1 |
TDERIV |
Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S |
02/07/2014 |
Certified |
02/25/2014 |
|
1 |
BSEF |
BSEF Rulebook Amendment |
07/26/2019 |
Certified |
08/09/2019 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-R-2) |
03/10/2021 |
Certified |
03/24/2021 |
|
1 |
ICAPSEF |
ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 |
12/06/2013 |
Certified |
12/21/2013 |
|
1 |
CMESEF |
Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 |
04/25/2014 |
Certified |
05/10/2014 |
|
1 |