| ICE SEF |
Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| GTX |
GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
| TDERIV |
self certification of fees on the SEF Trading System |
08/16/2016 |
Certified |
08/30/2016 |
|
1 |
| IGDL |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
| TWSEF |
New Fee Schedule for TW SEF |
06/16/2017 |
Certified |
06/30/2017 |
|
1 |
| BSEF |
BSEF Rulebook Amendment |
12/21/2018 |
Certified |
01/08/2019 |
|
1 |
| ICE SEF |
Updating a reference from an expiring CFTC No-Action Letter to the current iteration |
11/18/2020 |
Notified |
11/18/2020 |
|
4 |
| GFISEF |
Modifications to Fee Schedule. GFISEF #13-0001 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| GFISEF |
GFI Swaps Exchange Withdrawal of GFI Rule 507(c) and Submission #14-0002. GFISEF #14-0003 |
02/19/2014 |
Certified |
03/06/2014 |
|
1 |
| GFISEF |
Revised fee schedule |
10/30/2014 |
Certified |
11/14/2014 |
|
2 |
| IGDL |
IGDL-2022-R-1 - 40.6(a) Rule Certification (3.1.2022) |
03/01/2022 |
Certified |
03/15/2022 |
|
2 |
| MKAXSEF |
MarketAxess SEF Corporation - Rulebook updated to reflect recent developments and to provide clarity. Letter dated November 5, 2013. Amended Rulebook will be effective November 21, 2013. |
11/05/2013 |
Certified |
11/21/2013 |
|
1 |
| TDERIV |
trueEX LLC Rule Amendments, Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-07S |
04/09/2014 |
Certified |
04/24/2014 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Updated its Rulebook to reflect recent developments and to provide clarity. Effective June 30, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
09/20/2017 |
Certified |
10/04/2017 |
|
2 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| INFXSEF |
INFX SEF, Inc. - Amendments to Rulebook: incorporated requested changes by Commission staff - Notice 13-06(a) (Letter dated December 20, 2013) |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| GTX |
GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| ICE SEF |
The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. |
09/20/2017 |
Certified |
10/04/2017 |
|
4 |
| TPSEF |
Updates to the tpSEF Inc. Risk Mitigation Procedures |
04/13/2020 |
Certified |
04/27/2020 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC Submission #13-0012 -- Amendment to Rule 507(c) Matching of Orders |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| TPSEF |
tpSEF Inc. Rulebook Amendments - Submission #14-03R - July 1, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| IGDL |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |
| LGX |
LedgerX revised Participant Agreement |
05/28/2021 |
Certified |
06/14/2021 |
|
4 |
| MKAXSEF |
Rulebook update |
08/31/2021 |
Notified |
08/31/2021 |
|
3 |
| TRAD |
CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. |
07/24/2023 |
Certified |
08/07/2023 |
|
3 |
| INFXSEF |
Rulebook amendments in response to comments and questions received from Commission staff. |
10/18/2013 |
Certified |
11/02/2013 |
|
0 |
| ICAPSEF |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
| ICAPSEF |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |
| CBOESEF |
Introduction of second SEF Trading System in LD4. |
05/02/2023 |
Certified |
05/16/2023 |
|
1 |
| GFISEF |
CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA |
07/24/2023 |
Certified |
08/07/2023 |
|
1 |
| DWSEF |
Emergency Rule Certification - Notice to DW SEF Participants - no-action relief relating to onboarding and pre-trade screening of orders |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (Amend December 9 Rulebook Certification) Letter dated December 19, 2013 2013-R-10A |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| ICE SEF |
ICE Swap Trade LLC - Rule Amendment - Amended Rulebook Submission #14-18 Effective June 27, 2014 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
| IGDL |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
| BGC |
BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. |
07/24/2023 |
Certified |
08/07/2023 |
|
3 |
| DWSEF |
Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| SWAPX |
SwapEX LLC - Amendment to Application for Registration as a Swap Execution Facility, letter dated November 4, 2013. (amendments from its July 30, 2013 application) |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| GFISEF |
Various Rulebook amendments |
12/23/2014 |
Withdrawn |
01/05/2015 |
|
1 |
| BGC |
The attached amendments are made in response to suggestions and guidance from staff. |
08/31/2015 |
Certified |
09/15/2015 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
08/18/2016 |
Certified |
09/01/2016 |
|
2 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
09/01/2021 |
Certified |
09/16/2021 |
|
2 |
| DWSEF |
Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| ICE SEF |
Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 |
11/25/2013 |
Certified |
12/11/2013 |
|
0 |
| TDERIV |
trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker |
07/25/2023 |
Certified |
08/08/2023 |
|
1 |
| TWSEF |
Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TPSEF |
tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. |
11/06/2013 |
Certified |
11/22/2013 |
|
0 |
| TDERIV |
Self-certification of rule amendments |
08/07/2014 |
Certified |
08/21/2014 |
|
4 |
