IGDL |
Amended Rulebook - specifically the Definitions and Rules 204, 304, 305, 315, 404. IGDL 2014-R-1 |
05/16/2014 |
Certified |
05/31/2014 |
|
1 |
ICAPSEF |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
IGDL |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
ICAPSEF |
Amended Rulebook and Confidential Chapter 9 |
01/05/2017 |
Certified |
01/20/2017 |
|
4 |
NEXSEF |
Amended Rulebook and Confidential Trading Protocols |
12/08/2017 |
Certified |
12/22/2017 |
|
4 |
ICAPSEF |
Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
BSEF |
Amended Rulebook in response to comments and questions received from Commission staff and potential users of BSEF's swap execution facility. |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
IGDL |
Amended Rulebook reflecting NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
ICAPSEF |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
IGDL |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
ICAPSEF |
Amended Rulebook to reflect NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
ICAPSEF |
Amended Rulebook to reflect updated NAL references |
06/20/2017 |
Certified |
07/05/2017 |
|
3 |
ICE SEF |
Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 |
11/25/2013 |
Certified |
12/11/2013 |
|
0 |
BSEF |
Amended schedule |
09/17/2020 |
Certified |
10/01/2020 |
|
2 |
ICAPSEF |
Amended SEF Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
IGDL |
Amended SEF Rulebook to reflect updated NAL references |
06/20/2017 |
Certified |
07/05/2017 |
|
3 |
TWSEF |
Amended TW SEF Fees Schedule |
06/02/2016 |
Certified |
06/16/2016 |
|
3 |
TWSEF |
Amended TW SEF Rulebook |
10/03/2016 |
Certified |
10/18/2016 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
TWSEF |
Amended TW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. |
06/09/2015 |
Certified |
06/23/2015 |
|
6 |
TWSEF |
Amended TW SEF Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |
AEGIS |
Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule |
07/26/2022 |
Notified |
07/26/2022 |
|
4 |
BSEF |
Amending Bloomberg SEF Rulebook. - Rule 533. Cleared Swaps |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
ICE SEF |
Amending its Rulebook in order to accommodate trading in commodities by users of IST's swap execution facility and to remove the obligation for Participants to enter into a swap intermediation arrangement. |
09/25/2013 |
Certified |
10/10/2013 |
|
1 |
TPSEF |
Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
SWAPX |
Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 |
10/18/2013 |
Certified |
11/02/2013 |
|
1 |
DWSEF |
Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
BSEF |
Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. |
09/13/2013 |
Certified |
09/28/2013 |
|
5 |
SPECTR |
Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program |
01/05/2024 |
Certified |
01/22/2024 |
|
4 |
BGC |
Amending rules for determining speculative position limits or position accountability. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
BGC |
Amending the rulebook to include additional clearing organizations. |
03/31/2016 |
Certified |
04/14/2016 |
|
1 |
CMSEF |
Amendment and revision to rulebook. |
07/13/2017 |
Certified |
07/27/2017 |
|
1 |
CBOESEF |
Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
SWAPX |
Amendment of a market advisory notice previously certified as a rule |
07/14/2015 |
Certified |
07/28/2015 |
|
3 |
TDERIV |
Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 |
12/31/2017 |
Certified |
01/16/2018 |
|
1 |
SWAPX |
Amendment of certain trade practice and disciplinary rules |
09/15/2016 |
Certified |
09/29/2016 |
|
4 |
TWSEF |
Amendment of Rule 205 (Regulatory Oversight Committee) |
02/03/2022 |
Certified |
02/17/2022 |
|
4 |
SWAPX |
Amendment of Rule 525 to reflect recent CFTC no-action letter |
03/31/2017 |
Certified |
04/14/2017 |
|
4 |
SWAPX |
amendment of rule concerning policies on screening of customers |
03/05/2015 |
Certified |
03/19/2015 |
|
4 |
TPSEF |
Amendment of tpSEF Inc. Terms of Use |
09/14/2017 |
Certified |
09/28/2017 |
|
1 |
CBOESEF |
Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." |
02/27/2017 |
Certified |
03/13/2017 |
|
4 |
BGC |
Amendment raising 5 second cross-delay to 15 seconds. |
04/10/2015 |
Certified |
04/24/2015 |
|
1 |
SWAPX |
Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) |
11/15/2013 |
Certified |
12/03/2013 |
|
1 |
SWAPX |
Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 |
12/04/2013 |
Certified |
12/19/2013 |
|
0 |
BSEF |
Amendment to BSEF Rule 533 |
09/02/2016 |
Certified |
09/19/2016 |
|
1 |
BSEF |
Amendment to Compliance Manual |
06/28/2017 |
Certified |
07/13/2017 |
|
2 |
IGDL |
Amendment to Confidential Chapter 9 Trading Protocols |
03/10/2017 |
Certified |
03/24/2017 |
|
2 |