BSEF |
Amendment to BSEF Rule 533 |
09/02/2016 |
Certified |
09/19/2016 |
|
1 |
GFISEF |
Rulebook amendments |
12/14/2015 |
Certified |
12/29/2015 |
|
1 |
IGDL |
Amendment to IGDL Facility Rulebook pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a). |
11/29/2018 |
Certified |
12/13/2018 |
|
1 |
CBOESEF |
Corrected cross-reference in Rule 512(4) from 513(3) to 512(3). |
06/30/2023 |
Notified |
06/30/2023 |
|
1 |
ICE SEF |
ICE Swap Trade - Rule Amendment - Amended Rulebook: Chapter 12 Rules 1210, 1238, 1239, 1240 Submission 14-07 March 5, 2014 |
03/06/2014 |
Certified |
03/21/2014 |
|
1 |
LATAM |
LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 |
07/03/2014 |
Certified |
07/19/2014 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/04/2020 |
Notified |
12/04/2020 |
|
1 |
GFISEF |
GFI Swaps Exchange LLC Submission #13-0008 - Rulebook Amendments (December 10, 2013) |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF. March 31, 2014 BSEF #2014-R-2 |
04/01/2014 |
Certified |
04/16/2014 |
|
1 |
RF SEF |
Thomas Reuters - Amendments to Rulebook - Submission #14-03 |
07/08/2014 |
Certified |
07/23/2014 |
|
1 |
SEED CX |
Seed SEF LLC Rule Submission - Amending Various Rules Related to Execution and Settlement of Transactions (SCXS Submission #19-001) |
08/02/2019 |
Certified |
08/16/2019 |
|
1 |
GTX |
Fee Schedule |
08/24/2017 |
Certified |
09/08/2017 |
|
1 |
BSEF |
Rulebook Amendment |
08/02/2019 |
Certified |
08/16/2019 |
|
1 |
CBOESEF |
Cboe SEF is adding a new rule to govern its full amount platform. |
03/13/2020 |
Certified |
03/27/2020 |
|
1 |
CBOESEF |
Amendments to Rules 515 and 606 to conform those rules with NAL 14-118, Expiring December 15, 2015. |
09/30/2014 |
Certified |
10/15/2014 |
|
1 |
TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. |
10/27/2016 |
Certified |
11/10/2016 |
|
1 |
CBOESEF |
Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. |
05/07/2018 |
Certified |
05/21/2018 |
|
1 |
CBOESEF |
Amendments to Rules 523, 706, 720, 807, 904, 905 and various definitions to correct typographical errors and clarify definitions. |
09/30/2014 |
Certified |
10/15/2014 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(d) of the CFTC's regulations, tpSEF Inc. hereby notifies the CFTC that it has amended Appendix B of the tpSEF Inc. Rulebook effective as of May 3, 2016. |
05/04/2016 |
Notified |
05/04/2016 |
|
1 |
GTX |
Rulebook Amendments |
07/11/2017 |
Certified |
07/25/2017 |
|
1 |
CBOESEF |
Rule amendments regarding trading protocols and scope of disciplinary proceedings |
01/15/2015 |
Certified |
01/30/2015 |
|
1 |
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 notifies the Commission that it has amended its Rulebook. |
05/13/2015 |
Certified |
05/28/2015 |
|
1 |
BGC |
We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed amendments to the Code of Ethics. Confidential treatment is requested. |
06/08/2016 |
Certified |
06/22/2016 |
|
1 |
CBOESEF |
Rule filing to (a) change the name of Bats Hotspot SEF LLC to Cboe SEF, LLC, and (b) make certain other changes as more fully set forth in the submission. |
10/17/2017 |
Certified |
10/30/2017 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/07/2021 |
Notified |
05/07/2021 |
|
1 |
CMSEF |
Rulebook Amendments |
06/21/2021 |
Certified |
07/06/2021 |
|
1 |
CMSEF |
Update of Exhibit N |
09/08/2016 |
Certified |
09/22/2016 |
|
1 |
TDERIV |
Self certification of SEF fees |
10/17/2017 |
Certified |
10/30/2017 |
|
1 |
LATAM |
40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 |
04/04/2023 |
Certified |
04/18/2023 |
|
1 |
MKAXSEF |
Updated its Rulebook to reflect recent development and to provide clarity. Rules 101; 301,..., 315; 401,..., 409;..., 702;... 1006 |
02/11/2014 |
Certified |
02/27/2014 |
|
1 |
RF SEF |
Thomas Reuters - Submission 14-02 - Amendments to Rulebook - Effective June 13, 2014 |
05/30/2014 |
Certified |
06/14/2014 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
06/06/2017 |
Certified |
06/20/2017 |
|
1 |
GFISEF |
Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
IGDL |
Regulation 40.6(a) Rule Certification. |
05/09/2018 |
Certified |
05/23/2018 |
|
1 |
LGX |
Fee Schedule Change |
12/09/2020 |
Notified |
12/09/2020 |
|
1 |
GFISEF |
Amendments to Rules 405 and 509 |
11/25/2015 |
Certified |
12/10/2015 |
|
1 |
BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") |
05/08/2018 |
Certified |
05/22/2018 |
|
1 |
BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") |
05/08/2018 |
Certified |
05/22/2018 |
|
1 |
GTX |
Fee schedule Amendment |
03/27/2015 |
Certified |
04/09/2015 |
|
1 |
DWSEF |
Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions |
01/16/2015 |
Certified |
02/02/2015 |
|
1 |
CMESEF |
Amendments to SEF Rules to Reflect Recent CFTC Guidance and No-Action Relief. CMESEF #14-018 |
01/15/2014 |
Certified |
01/31/2014 |
|
1 |
RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 |
05/30/2014 |
Certified |
06/14/2014 |
|
1 |
TRAD |
Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. |
03/27/2015 |
Certified |
04/10/2015 |
|
1 |
ICE SEF |
ICE Swap Trade Rule Amendment - Amended Rulebook, letter dated October 18, 2013 |
10/21/2013 |
Certified |
11/05/2013 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/03/2022 |
Notified |
05/03/2022 |
|
1 |
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. This amendment will be effective October, 1, 2014. |
10/01/2014 |
Certified |
10/16/2014 |
|
1 |
CMSEF |
Amendment and revision to rulebook. |
07/13/2017 |
Certified |
07/27/2017 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: amended certain contracts it submitted to the Commission on November 1, 2013. (Letter dated December 5, 2013) 2013-R-8 |
12/06/2013 |
Certified |
12/21/2013 |
|
1 |
RADSEF |
TeraExchange 40.6 Filing 15-01 - Rulebook Amendments |
01/19/2015 |
Certified |
02/02/2015 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: response to comments and questions received from potential users of BSEF's swap execution facility. (Letter dated December 9, 2013) 2013-R-10 |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |