| RF SEF |
Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. |
06/08/2023 |
Certified |
06/23/2023 |
|
2 |
| RF SEF |
The rule amendments have been made to introduce voluntary clearing of NDFs. |
03/11/2024 |
Certified |
03/25/2024 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to error trades under Commission Regulation 37.9(e) |
02/17/2021 |
Certified |
03/03/2021 |
|
2 |
| RF SEF |
Pursuant to the instructions in Form SEF regarding amendments to exhibits filed in connection with and approved order of registration, Refinitiv US SEF LLC ("RSEF") hereby submits an amended Exhibit B-1 to its SEF application |
04/11/2022 |
Certified |
04/25/2022 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-04) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-05) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
02/17/2016 |
Withdrawn |
02/24/2016 |
|
4 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
09/20/2017 |
Certified |
10/04/2017 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
08/18/2016 |
Certified |
09/01/2016 |
|
2 |
| RTX |
Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) |
11/07/2023 |
Certified |
11/22/2023 |
|
2 |
| RTX |
Self Certification of our Fee Schedule |
10/03/2023 |
Certified |
10/18/2023 |
|
2 |
| RTX |
RTX revised Fee Schedule |
10/19/2023 |
Certified |
11/02/2023 |
|
2 |
| RTX |
Revision of SEF Compliance Manual |
03/07/2024 |
Certified |
03/21/2024 |
|
3 |
| RTX |
Weekly Notification of Rule Amendments |
08/31/2023 |
Notified |
08/31/2023 |
|
1 |
| SEED CX |
Weekly Notification of Rule Amendments |
03/05/2018 |
Notified |
03/05/2018 |
|
1 |
| 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Withdrawn |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 |
| 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 |
| SEED CX |
An updated rulebook, modified during usual review of rule consistencies and market structure. |
09/01/2017 |
Certified |
09/18/2017 |
|
3 |
| SEED CX |
Updating Various Rules in the Seed SEF Rulebook |
08/14/2019 |
Certified |
08/28/2019 |
|
1 |
| SEED CX |
As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. |
09/11/2017 |
Certified |
09/25/2017 |
|
3 |
| SEED CX |
Certification of new Rule 203 to establish procedures for adding Directors to the Board. |
09/21/2016 |
Certified |
10/05/2016 |
|
1 |
| SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
02/27/2023 |
Certified |
03/13/2023 |
|
1 |
| SPECTR |
Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program |
01/05/2024 |
Certified |
01/22/2024 |
|
4 |
| SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
03/20/2023 |
Certified |
04/03/2023 |
|
1 |
| SWAPX |
Amendment of Rule 525 to reflect recent CFTC no-action letter |
03/31/2017 |
Certified |
04/14/2017 |
|
4 |
| SWAPX |
Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 |
12/04/2013 |
Certified |
12/19/2013 |
|
0 |
| SWAPX |
SwapEX LLC - Rule Amendments - effective July 15, 2014 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| SWAPX |
Updates to various rules, particularly rules concerning data reporting |
01/19/2016 |
Certified |
02/02/2016 |
|
4 |
| SWAPX |
Clarifications and updates to existing rules |
09/04/2015 |
Certified |
09/21/2015 |
|
4 |
| SWAPX |
Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. |
06/16/2021 |
Certified |
07/01/2021 |
|
4 |
| SWAPX |
SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) |
04/01/2014 |
Certified |
04/16/2014 |
|
1 |
| SWAPX |
Amendments and updates to various rules. |
12/14/2015 |
Certified |
12/29/2015 |
|
10 |
| SWAPX |
The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. |
01/28/2022 |
Certified |
02/11/2022 |
|
1 |
| SWAPX |
Rule Amendment to Refer to Recent No-Action Letter |
06/02/2017 |
Certified |
06/16/2017 |
|
4 |
| SWAPX |
SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| 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 |
| 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 |
Advisory Notices to SwapEx Market Participants |
01/20/2015 |
Certified |
02/03/2015 |
|
1 |
| SWAPX |
The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 |
01/28/2021 |
Certified |
02/11/2021 |
|
4 |
| SWAPX |
Amendment of certain trade practice and disciplinary rules |
09/15/2016 |
Certified |
09/29/2016 |
|
4 |
| SWAPX |
Non-substantive amendment of Rule 513(c) regarding Post-Trade Anonymity. |
06/30/2021 |
Notified |
06/30/2021 |
|
3 |
| SWAPX |
Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments |
06/15/2016 |
Certified |
06/29/2016 |
|
4 |
| SWAPX |
amendment of rule concerning policies on screening of customers |
03/05/2015 |
Certified |
03/19/2015 |
|
4 |
| SWAPX |
Various amendments that generally clarify existing rules. |
11/25/2014 |
Certified |
12/10/2014 |
|
4 |
| SWAPX |
Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. |
06/02/2015 |
Certified |
06/16/2015 |
|
4 |
| SWAPX |
Rulebook amendments in response to comments and questions received from potential users of SwapEx's SEF. (January 22, 2014) |
01/22/2014 |
Certified |
02/06/2014 |
|
1 |
| SWAPX |
Amendments to SwapEx Rulebook |
07/13/2015 |
Certified |
07/27/2015 |
|
4 |
| SWAPX |
Amendment of a market advisory notice previously certified as a rule |
07/14/2015 |
Certified |
07/28/2015 |
|
3 |
| SWAPX |
Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". |
06/03/2019 |
Certified |
06/17/2019 |
|
1 |
| SWAPX |
SwapEx, LLC amendment to its application for registration as a swap execution facility. (October 25, 2013) |
10/28/2013 |
Certified |
11/13/2013 |
|
0 |
