TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The date of intended implementation of the amended Rulebook is January 15, 2016. |
12/30/2015 |
Certified |
01/14/2016 |
|
1 |
IGDL |
Revised Discount Appendix to Fee Card |
05/16/2016 |
Certified |
05/31/2016 |
|
2 |
BGC |
We are submitting on behalf of our client, BGC Derivative Markets, LP ("BGC") new Rule 516, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. |
08/08/2016 |
Certified |
08/22/2016 |
|
1 |
SWAPX |
Amendments to SwapEx Rulebook |
07/13/2015 |
Certified |
07/27/2015 |
|
4 |
IGDL |
Revised Rulebook and Confidential Chapter 9 |
05/16/2016 |
Certified |
05/31/2016 |
|
4 |
GFISEF |
We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. |
08/08/2016 |
Certified |
08/22/2016 |
|
1 |
LGX |
Compliance Manual update |
07/10/2019 |
Certified |
07/24/2019 |
|
2 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/20/2022 |
Notified |
05/20/2022 |
|
1 |
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 |
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 |
CMESEF |
Adoption of CME SEF Recordkeeping and Reporting Policy |
01/28/2015 |
Certified |
02/11/2015 |
|
1 |
TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF notifies the CFTC that it will release the attached Notice to Participants on June 23, 2016. The Notice relates to the guidance included in CFTC Letter 15-67 re: straight through processing. |
06/23/2016 |
Certified |
07/08/2016 |
|
1 |
LGX |
Submission of revised fee schedule. |
02/13/2018 |
Certified |
02/28/2018 |
|
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 |
ICE SEF |
ICE Swap Trade, LLC - Fee Schedule Amendment - Submission 14-14 |
05/02/2014 |
Certified |
05/17/2014 |
|
1 |
SWAPX |
Amendment of a market advisory notice previously certified as a rule |
07/14/2015 |
Certified |
07/28/2015 |
|
3 |
TWSEF |
TW SEF Fee update for Canadian Dollar Swaps |
07/08/2021 |
Certified |
07/22/2021 |
|
2 |
TPSEF |
tpSEF Inc. Emergency Rule Certification letter dated November 1, 2013. Amended its Rulebook in response to Commission Letter No. 13-66, regarding the resubmission of swaps rejected for clearing. |
11/04/2013 |
Certified |
11/20/2013 |
|
1 |
TPSEF |
CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook being made in connection a request by the CFTC's Division of Market Oversight dated August 11, 2015. |
08/27/2015 |
Certified |
09/11/2015 |
|
1 |
TWSEF |
Amended TW SEF Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
BSEF |
Notice to Participants informing Participants of certain amendments to Rule 301(e) (re: Trading Account information being kept up-to-date)and Rule 516.E(iv) (re: BSEF ability to cancel trades due to insufficient Trading Account information) |
08/08/2016 |
Certified |
08/22/2016 |
|
2 |
360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
12/01/2017 |
Certified |
12/15/2017 |
|
5 |
ICE SEF |
Update to Board language |
07/08/2021 |
Notified |
07/08/2021 |
|
4 |
NEXSEF |
Amendments to the NEX SEF Limited Trading Participant Holder Agreement |
09/15/2022 |
Certified |
09/29/2022 |
|
2 |
BGC |
BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
10/24/2014 |
Certified |
11/07/2014 |
|
2 |
DWSEF |
DW SEF Amended Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
TDERIV |
Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
TWSEF |
Rulebook updates in response to rule 411 |
09/17/2021 |
Certified |
10/01/2021 |
|
4 |
BSEF |
Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) |
09/15/2022 |
Certified |
09/29/2022 |
|
1 |
BSEF |
BSEF fee schedule amendment |
08/29/2023 |
Certified |
09/13/2023 |
|
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 |
TPSEF |
tpSEF Inc. - Amending its Fee Schedule -- TPSEF Submission #14-02F |
06/12/2014 |
Certified |
06/27/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-06) |
07/09/2021 |
Certified |
07/23/2021 |
|
1 |
DWSEF |
Rulebook updates in response to rule 411 |
09/17/2021 |
Certified |
10/01/2021 |
|
3 |
LGX |
Rulebook Amendment |
07/27/2022 |
Certified |
08/10/2022 |
|
2 |
NEXSEF |
Amendments to NEX SEF Limited Rulebook and Compliance Manual |
03/13/2023 |
Certified |
03/27/2023 |
|
4 |
RTX |
RTX revised Fee Schedule |
10/19/2023 |
Certified |
11/02/2023 |
|
2 |
TPSEF |
tpSEF, Inc. Rulebook Amendments to Rules 1000, 4003, 4011, 4016 and 8001. Letter dated February 14, 2014 |
02/18/2014 |
Certified |
03/05/2014 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(d) of the CFTC Regulations, tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B of the tpSEF Rulebook effective as of the date hereof. |
05/17/2016 |
Notified |
05/17/2016 |
|
1 |
MKAXSEF |
MarketAxess SEF Update Rulebook to reflect recent developments and to provide clarity. (February 14, 2014) |
02/14/2014 |
Certified |
03/04/2014 |
|
1 |
LGX |
Revised Enterprise Risk Management Plan |
05/31/2019 |
Certified |
06/14/2019 |
|
1 |
INFXSEF |
INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. |
09/21/2016 |
Certified |
10/05/2016 |
|
1 |
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 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/18/2020 |
Notified |
12/18/2020 |
|
1 |
INFXSEF |
INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) |
12/17/2013 |
Certified |
01/03/2014 |
|
1 |
ICAPSEF |
Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. |
01/30/2015 |
Certified |
02/13/2015 |
|
3 |
GFISEF |
Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions |
01/04/2016 |
Certified |
01/19/2016 |
|
1 |