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 |
CBOESEF |
Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. |
09/17/2018 |
Certified |
10/01/2018 |
|
1 |
CBOESEF |
Amendment to Exhibit A to Form SEF |
10/18/2022 |
Certified |
11/01/2022 |
|
1 |
CBOESEF |
Rules amendments to provide (a)for use of Javelin systems to communicate bids and offers to Javelin to insure compliance with Reg 37.9(b) and (b) state in rulebook that bid and offers in voice order book will be disclosed to all market participants. |
05/21/2015 |
Certified |
06/05/2015 |
|
1 |
CBOESEF |
Rule amendments related to new pre-trade credit check functionality for Block Trades. |
02/25/2015 |
Certified |
03/11/2015 |
|
1 |
CBOESEF |
Rule amendments related to Phase 1 Questions |
10/16/2015 |
Certified |
10/30/2015 |
|
1 |
CBOESEF |
Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting |
10/16/2015 |
Certified |
10/30/2015 |
|
3 |
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 |
CBOESEF |
Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 |
04/04/2014 |
Certified |
04/19/2014 |
|
1 |
CBOESEF |
Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. |
07/21/2014 |
Certified |
08/04/2014 |
|
3 |
CBOESEF |
Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 |
06/09/2014 |
Certified |
06/24/2014 |
|
1 |
CBOESEF |
Introduction of Order Operator ID and amendments to Authorized Trader registration. |
05/31/2023 |
Certified |
06/14/2023 |
|
1 |
CBOESEF |
Javelin SEF, LLC - New Fee Schedule - Submission #14-07 |
06/10/2014 |
Certified |
06/25/2014 |
|
0 |
CBOESEF |
Rule Amendment related to CFTC No-Action Letter 16-84 |
06/16/2016 |
Certified |
06/30/2016 |
|
3 |
CBOESEF |
(1) clarify plans relating to Market Maker program and (2) change the Order Review Timeframe in respect of the SEF Order Book and the Full Amount Platform from 70 milliseconds to 35 milliseconds |
02/18/2022 |
Certified |
03/07/2022 |
|
1 |
CBOESEF |
Rule amendments related to Phase 3 and 4 Questions, Part 43 and 45 Questions, corrections of typographical errors, and clarification of product specifications. |
12/29/2015 |
Certified |
01/13/2016 |
|
1 |
CBOESEF |
Rule amendment made provide more flexibility in the types of records a principal must retain to document trading authorization. Rule amendments made to conform definition of Sponsored Person with prior amendments to Sponsored Access. |
04/10/2015 |
Certified |
04/24/2015 |
|
1 |
CBOESEF |
Javelin SEF amended Rules 203, 311, 313, 408, 504,..., 727. Submission No. 14-04 March 21, 2014 |
03/21/2014 |
Certified |
04/05/2014 |
|
1 |
CBOESEF |
Javelin SEF, LLC Rule Amendment Submission 13-07 - Amending its Rulebook based upon comments received from participants and its experience since it began trading operations. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
CBOESEF |
Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 |
12/16/2013 |
Certified |
01/01/2014 |
|
1 |
CBOESEF |
Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
CBOESEF |
Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
CBOESEF |
Javelin SEF Holiday Schedule for 2013 - 2014 |
11/21/2013 |
Certified |
12/07/2013 |
|
1 |
CBOESEF |
Javelin SEF Amendments to its Rulebook: Rules 405, 512 and 520. Submission No. 14-03 Letter dated February 11, 2014 |
02/11/2014 |
Certified |
02/27/2014 |
|
1 |
CBOESEF |
Introduction of second SEF Trading System in LD4. |
05/02/2023 |
Certified |
05/16/2023 |
|
1 |
CBOESEF |
Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. |
07/13/2020 |
Certified |
07/27/2020 |
|
1 |
CBOESEF |
The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. |
03/22/2023 |
Certified |
04/05/2023 |
|
2 |
CBOESEF |
Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. |
03/23/2023 |
Certified |
04/06/2023 |
|
2 |
CMESEF |
Amendments to CME/CBOT/NYMEX/COMEX and CME SEF Rule 537 |
07/29/2015 |
Certified |
08/12/2015 |
|
2 |
CMESEF |
Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
CMESEF |
Amendments to CME/CBOT/NYMEX/COMEX/SEF Rule 230. ("General") |
02/16/2017 |
Certified |
03/03/2017 |
|
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 |
CMESEF |
Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 |
04/25/2014 |
Certified |
05/10/2014 |
|
1 |
CMESEF |
Amendments to Chapter 4 ("Enforcement of Rules") |
11/29/2016 |
Certified |
12/13/2016 |
|
5 |
CMESEF |
Weekly Notification of Rule Amendments - Week of December 4, 2017 |
12/14/2017 |
Notified |
12/14/2017 |
|
2 |
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 |
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 |
CMESEF |
Elimination of CME SEF Rule 524 ("Uncleared Swaps") |
12/18/2015 |
Certified |
01/05/2016 |
|
1 |
CMESEF |
Amendments to Rule 432. ("General Offenses") |
02/01/2017 |
Certified |
02/15/2017 |
|
1 |
CMESEF |
Amendments to Rule 574. ("Globex Access Restrictions") |
02/01/2017 |
Certified |
02/15/2017 |
|
1 |
CMESEF |
Adoption of CME SEF Recordkeeping and Reporting Policy |
01/28/2015 |
Certified |
02/11/2015 |
|
1 |
CMESEF |
Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 |
09/22/2015 |
Certified |
10/06/2015 |
|
1 |
CMESEF |
Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) |
12/03/2015 |
Certified |
12/17/2015 |
|
1 |
CMESEF |
Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. |
07/11/2018 |
Certified |
07/25/2018 |
|
1 |
CMSEF |
SEF Rulebook Amendment |
04/05/2016 |
Certified |
04/19/2016 |
|
1 |
CMSEF |
Amendment to SEF Rulebook |
02/24/2016 |
Certified |
03/09/2016 |
|
1 |
CMSEF |
Rulebook Amendments |
01/11/2022 |
Certified |
01/26/2022 |
|
2 |
CMSEF |
SEF Rulebook Amendment |
07/31/2015 |
Certified |
08/14/2015 |
|
3 |
CMSEF |
SEF Rulebook Amendment |
04/28/2016 |
Certified |
05/12/2016 |
|
1 |