| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
06/16/2020 |
Certified |
06/30/2020 |
|
2 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TWSEF |
TW SEF LLC Rulebook Amendments |
01/16/2015 |
Certified |
02/02/2015 |
|
4 |
| GTX |
Fee schedule Amendment |
03/27/2015 |
Certified |
04/09/2015 |
|
1 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
11/02/2020 |
Certified |
11/17/2020 |
|
2 |
| TWSEF |
Amendment of Rule 205 (Regulatory Oversight Committee) |
02/03/2022 |
Certified |
02/17/2022 |
|
4 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| DWSEF |
Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions |
01/16/2015 |
Certified |
02/02/2015 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
03/17/2021 |
Certified |
03/31/2021 |
|
2 |
| CBOESEF |
(1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. |
03/17/2022 |
Certified |
03/31/2022 |
|
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 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 |
05/30/2014 |
Certified |
06/14/2014 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
01/16/2015 |
Certified |
02/02/2015 |
|
2 |
| TRAD |
Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. |
03/27/2015 |
Certified |
04/10/2015 |
|
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 submits to the Commission certain rule amendment. |
08/01/2016 |
Certified |
08/15/2016 |
|
2 |
| RADSEF |
New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references |
11/03/2020 |
Certified |
11/18/2020 |
|
4 |
| DWSEF |
DW SEF Rulebook Amendments |
01/16/2015 |
Certified |
02/02/2015 |
|
4 |
| ICE SEF |
Rule Changes to the ICE Swap Trade Rulebook |
11/03/2020 |
Certified |
11/18/2020 |
|
6 |
| ISBV |
iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. |
05/12/2021 |
Certified |
05/26/2021 |
|
4 |
| AEGIS |
The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. |
10/14/2022 |
Certified |
10/28/2022 |
|
3 |
| ICE SEF |
ICE Swap Trade Rule Amendment - Amended Rulebook, letter dated October 18, 2013 |
10/21/2013 |
Certified |
11/05/2013 |
|
1 |
| IGDL |
Amendment to Confidential Chapter 9 Trading Protocols |
03/10/2017 |
Certified |
03/24/2017 |
|
2 |
| NEXSEF |
Adoption of New Rule 318 ("Post-Trade Anonymity") |
11/04/2020 |
Certified |
11/19/2020 |
|
3 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/03/2022 |
Notified |
05/03/2022 |
|
1 |
| IGDL |
Revised Facility Rulebook |
07/15/2014 |
Withdrawn |
07/18/2014 |
|
5 |
| LGX |
LedgerX Liquidity Provider Program |
06/23/2021 |
Certified |
07/08/2021 |
|
3 |
| 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 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. |
01/16/2015 |
Certified |
02/02/2015 |
|
2 |
| IGDL |
IGDL has revised its Fee Schedule |
10/15/2015 |
Certified |
10/29/2015 |
|
2 |
| 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 |
| ICAPSEF |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
| CMSEF |
Amendment and revision to rulebook. |
07/13/2017 |
Certified |
07/27/2017 |
|
1 |
| TPSEF |
Amendments to Exhibit Q to tpSEF's Form SEF. |
06/18/2020 |
Certified |
07/02/2020 |
|
2 |
| TWSEF |
TW SEF Cover Letter re MRAN (12.16.15)TW SEF MRAN - Hours of Trading (12.16.15) |
12/16/2015 |
Certified |
12/31/2015 |
|
3 |
| IGDL |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
| LGX |
Rulebook for LedgerX DCM |
06/24/2019 |
Certified |
07/09/2019 |
|
2 |
| LGX |
LedgerX Updated Fee Schedule |
06/23/2021 |
Notified |
06/23/2021 |
|
3 |
| 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 |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that it has amended its Compliance Manual. |
08/03/2016 |
Certified |
08/17/2016 |
|
5 |
| 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 |
| NEXSEF |
Revisions to NEX SEF Limited Form SEF Exhibits to Reflect Changes to the Board of Directors and Officer Composition and, Administrative Amendments NEX/CME Group integration and minor edits to the Compliance Manual. |
05/04/2022 |
Certified |
05/18/2022 |
|
2 |
| 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 |
| ICE SEF |
ICE Swap Trade, LLC hereby notifies the Commission that it has amended its Rulebook. |
01/19/2015 |
Certified |
02/02/2015 |
|
4 |
| BSEF |
Notification of Bloomberg SEF LLC's intention to release a Notice to Participants on September 11, 2015, which will provide guidance to Participants regarding Bloomberg SEF LLC's policy governing error trades. |
09/10/2015 |
Certified |
09/24/2015 |
|
1 |
| ICAPSEF |
Amended Rulebook to reflect NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective November 5, 2020. |
11/05/2020 |
Notified |
11/05/2020 |
|
1 |
| ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. |
05/14/2021 |
Certified |
05/28/2021 |
|
4 |
| CBOESEF |
The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
| LGX |
LedgerX SEF Rulebook Revisions |
11/15/2023 |
Certified |
11/30/2023 |
|
3 |
