| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
08/30/2019 |
Certified |
09/16/2019 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2020-R-03 (Notice to Participants) Rule 516.A: Alleged Error Trade Correction |
02/26/2020 |
Certified |
03/11/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Submission of Bloomberg SEF's Financial Report. |
11/12/2013 |
Certified |
11/27/2013 |
|
0 |
| TRAD |
Tradition SEF, Inc. - Rulebook Amendments - TRAD #14-18 |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
| CBOESEF |
Changes to composition of Business Conduct Committee and Panels, introduction of PEN and RUB Contracts. |
03/05/2018 |
Withdrawn |
03/05/2018 |
|
1 |
| TPSEF |
tpSEF Inc - Rulebook Amendments - effective July 14, 2014 (Submission 14-04R) |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
| CBOESEF |
Changes to the composition of the Business Conduct Committee and Panels. |
03/05/2018 |
Certified |
03/19/2018 |
|
1 |
| TDERIV |
Amendments related to name change of the trueDigital Division to Tassat Division, and clarifying amendments to trading rules and protocols. |
09/04/2019 |
Certified |
09/17/2019 |
|
1 |
| CBOESEF |
Cboe SEF is submitting proposed rule amendments to modify the Order Review Timeframe in respect of its Full Amount Platform, and to clarify the composition of its Participation Committee |
01/08/2021 |
Certified |
01/25/2021 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
02/26/2021 |
Notified |
02/26/2021 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. |
01/29/2024 |
Certified |
02/12/2024 |
|
1 |
| TDERIV |
Rule Amendments Related to Sponsored Access. TRUEEX (SEF) #2014-01 |
02/03/2014 |
Certified |
02/19/2014 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Updated Rulebook - effective July 11, 2014 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
| ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Rulebook. |
04/20/2021 |
Certified |
05/04/2021 |
|
8 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2021-R-08) |
11/10/2021 |
Certified |
11/26/2021 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
| 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 amended Rulebook will become effective on December 23, 2015. |
12/08/2015 |
Certified |
12/22/2015 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX/CME Group Integration |
03/08/2022 |
Certified |
03/22/2022 |
|
8 |
| MKAXSEF |
MarketAxess SEF Updating the Rulebook to reflect recent developments and to provide clarity. Letter dated December 20, 2013 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC hereby notifies the Commission that it has amended its participant fee schedule. The amended participant fee schedule will become effective on January 1, 2016. |
12/09/2015 |
Certified |
12/23/2015 |
|
1 |
| NEXSEF |
Correction of typographical error in Rule 315 |
06/08/2018 |
Notified |
06/08/2018 |
|
3 |
| NEXSEF |
Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. |
04/21/2020 |
Certified |
05/05/2020 |
|
3 |
| LGX |
LedgerX Revised Rulebook |
06/10/2021 |
Certified |
06/24/2021 |
|
3 |
| ISBV |
Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives |
09/30/2022 |
Certified |
10/14/2022 |
|
3 |
| TDERIV |
Added BRL to Core RFQ functionality. It already existed on PTC. |
11/07/2017 |
Notified |
11/07/2017 |
|
1 |
| TDERIV |
Amendment to Designated Market Maker Program |
09/04/2019 |
Certified |
09/18/2019 |
|
1 |
| DWSEF |
DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) |
02/03/2014 |
Certified |
02/19/2014 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Error Trade Policy. |
11/07/2014 |
Certified |
11/24/2014 |
|
2 |
| TDERIV |
self-certification of fees on the SEF Trading System |
12/09/2015 |
Certified |
12/23/2015 |
|
1 |
| NEXSEF |
Rulebook Amendments |
10/05/2017 |
Certified |
10/20/2017 |
|
4 |
| TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 2, 2018. |
10/09/2018 |
Notified |
10/09/2018 |
|
1 |
| NEXSEF |
Amendments to Chapter 5 ("Rule Enforcement") and Rule 901 ("System Protocols") of the NEX SEF Limited Rulebook (Form SEF Exhibit M) and the Trade Practice Review Program of the NEX SEF Compliance Manual (Form SEF Exhibit O3) |
07/28/2023 |
Certified |
08/11/2023 |
|
4 |
| RADSEF |
TeraExchange Rule Implementation Submission 2014-02 Rules amended: 101 (Definitions), 310 (Application of Rules and Jurisdiction, 513(b) (Block Trades) and 818 (Sanctions) TERAEXC 2014-02 |
02/24/2014 |
Certified |
03/11/2014 |
|
1 |
| IGDL |
Amended Facility Rulebook and Trading Privilege Holder Agreement |
11/07/2014 |
Certified |
11/24/2014 |
|
1 |
| GFISEF |
Various Rulebook Amendments |
09/30/2015 |
Certified |
10/15/2015 |
|
2 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the CFTC that it wishes to amend its Rulebook as provided in the attached submission. |
08/23/2016 |
Certified |
09/07/2016 |
|
1 |
| LGX |
Revision to LedgerX Rulebook |
05/29/2020 |
Certified |
06/12/2020 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC USD Interest Rate Swap Streaming Liquidity Market Maker Incentive Program. GFISEF #14-0001 |
02/05/2014 |
Withdrawn |
02/19/2014 |
|
1 |
| GFISEF |
Publishing a revised Fee Schedule. GFISEF #14-0004 |
02/25/2014 |
Certified |
03/12/2014 |
|
1 |
| ICE SEF |
ICE Swap Trade - Revising Rule 512 for clarity. Submission No. 14-08 |
03/28/2014 |
Certified |
04/12/2014 |
|
1 |
| TDERIV |
Various Rule Amendments - TRUEEX #2014-12S |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
| GFISEF |
Matching Session Description |
09/30/2015 |
Certified |
10/15/2015 |
|
2 |
| IGDL |
Updates to SEF Discount Structure Appendix to IGDL's fee schedule. |
07/17/2018 |
Certified |
07/31/2018 |
|
1 |
| TWSEF |
Updates to the TWSEF Compliance Manual |
04/13/2022 |
Certified |
04/27/2022 |
|
2 |
| AEGIS |
Amendments to Rulebook and Market Participant Addendum |
09/08/2023 |
Certified |
09/22/2023 |
|
4 |
| GFISEF |
GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 |
02/05/2014 |
Withdrawn |
02/19/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective July 1, 2014 Submission #2014-R-4 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| LGX |
Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. |
06/11/2018 |
Certified |
06/25/2018 |
|
4 |
| TPSEF |
Amendments to tpSEF Fee Schedule |
12/09/2019 |
Certified |
12/23/2019 |
|
2 |
| DWSEF |
Updates to the DWSEF Compliance Manual |
04/13/2022 |
Certified |
04/27/2022 |
|
1 |
