CMSEF |
Rule Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
CMSEF |
Amendment to Rule 406 |
09/07/2016 |
Certified |
09/21/2016 |
|
2 |
CMSEF |
Rulebook Amendments |
06/21/2021 |
Certified |
07/06/2021 |
|
1 |
CMSEF |
Update of Exhibit N |
09/08/2016 |
Certified |
09/22/2016 |
|
1 |
CMSEF |
Amendment and revision to rulebook. |
07/13/2017 |
Certified |
07/27/2017 |
|
1 |
CMSEF |
SEF Rulebook Amendment Certification |
06/29/2015 |
Certified |
07/14/2015 |
|
1 |
CMSEF |
SEF Rulebook Amendment |
08/03/2016 |
Certified |
08/17/2016 |
|
1 |
CMSEF |
Rule Certification |
11/06/2020 |
Certified |
11/23/2020 |
|
2 |
CMSEF |
SEF Rule Amendment |
08/04/2016 |
Certified |
08/18/2016 |
|
1 |
CMSEF |
Rule amendments regarding settlement |
04/01/2022 |
Certified |
04/15/2022 |
|
1 |
CMSEF |
SEF Rulebook Amendment Certification |
07/20/2015 |
Withdrawn |
07/28/2015 |
|
1 |
CMSEF |
SEF Rule Amendment |
08/19/2016 |
Certified |
09/02/2016 |
|
1 |
DWSEF |
DW SEF - Work-Up Protocol |
12/29/2014 |
Certified |
01/13/2015 |
|
2 |
DWSEF |
Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. |
06/09/2015 |
Certified |
06/23/2015 |
|
6 |
DWSEF |
DW SEF Amended Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
DWSEF |
DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
DWSEF |
Amendments to the DW SEF IRS Fee Schedule |
07/21/2020 |
Certified |
08/04/2020 |
|
2 |
DWSEF |
DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) |
02/03/2014 |
Certified |
02/19/2014 |
|
1 |
DWSEF |
Updates to the DWSEF Compliance Manual |
04/13/2022 |
Certified |
04/27/2022 |
|
1 |
DWSEF |
Amended DW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
DWSEF |
DW SEF Amended Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |
DWSEF |
DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. |
04/02/2019 |
Notified |
04/02/2019 |
|
1 |
DWSEF |
DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
DWSEF |
Amended DW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
DWSEF |
DW SEF Market Regulation Advisory Notice re STP and Affirmation |
05/31/2016 |
Certified |
06/14/2016 |
|
2 |
DWSEF |
Notice to participants- SDR rewrite |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
DWSEF |
Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. |
11/17/2014 |
Certified |
12/02/2014 |
|
4 |
DWSEF |
Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP |
07/22/2016 |
Certified |
08/05/2016 |
|
6 |
DWSEF |
DW SEF Amended IRS Fee Schedule |
10/24/2016 |
Certified |
11/07/2016 |
|
1 |
DWSEF |
DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
DWSEF |
SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 |
05/22/2014 |
Certified |
06/07/2014 |
|
1 |
DWSEF |
DW SEF Rulebook Amendments |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
DWSEF |
Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions |
01/16/2015 |
Certified |
02/02/2015 |
|
1 |
DWSEF |
DW SEF Rulebook Amendments |
01/16/2015 |
Certified |
02/02/2015 |
|
4 |
DWSEF |
DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) |
12/16/2015 |
Certified |
12/31/2015 |
|
3 |
DWSEF |
New Rule 419 to prohibit Post-Name Trade Give Up in accordance with 37.9(d) |
11/05/2020 |
Certified |
11/20/2020 |
|
6 |
DWSEF |
Amended DW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
DWSEF |
DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
DWSEF |
DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
DWSEF |
DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) |
12/21/2015 |
Certified |
01/06/2016 |
|
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 |
DWSEF |
Rule book amendments in response to recent changes to the SEF rules by the CFTC |
02/02/2021 |
Certified |
02/17/2021 |
|
3 |
DWSEF |
DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
DWSEF |
DW SEF LLC Amendment of Rule 901 (Swap Specifications) |
12/09/2021 |
Certified |
12/23/2021 |
|
3 |
DWSEF |
DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) |
11/30/2015 |
Certified |
12/14/2015 |
|
4 |
DWSEF |
Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. |
10/16/2014 |
Certified |
10/30/2014 |
|
2 |
DWSEF |
DW SEF Rulebook Amendments |
04/11/2018 |
Certified |
04/25/2018 |
|
4 |
DWSEF |
Revised and amended Rulebook for DW SEF LLC. |
07/29/2014 |
Certified |
08/12/2014 |
|
13 |
DWSEF |
Amended Fee Schedule |
06/15/2017 |
Certified |
06/29/2017 |
|
1 |
DWSEF |
DW SEF Amended Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |