ICE SEF |
ICE Swap Trade LLC - Rule Amendment - Revised Fee Schedule, Error Trade Policy and Block Trade FAQ. ICESEF #14-06 |
02/27/2014 |
Certified |
03/14/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) |
05/10/2023 |
Certified |
05/24/2023 |
|
1 |
IGDL |
Rule certification to amend Rule 902, IGDL's vRFQ protocols. |
03/19/2015 |
Certified |
04/02/2015 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/30/2021 |
Notified |
04/30/2021 |
|
1 |
IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
10/06/2021 |
Certified |
10/21/2021 |
|
1 |
CMESEF |
Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 |
02/12/2015 |
Certified |
02/27/2015 |
|
1 |
LGX |
LedgerX Revised Operations Manual |
06/15/2021 |
Certified |
06/30/2021 |
|
5 |
LATAM |
CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 |
01/20/2022 |
Certified |
02/03/2022 |
|
1 |
TDERIV |
Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S |
02/07/2014 |
Certified |
02/25/2014 |
|
1 |
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 |
SWAPX |
Clarifications and updates to existing rules |
09/04/2015 |
Certified |
09/21/2015 |
|
4 |
DWSEF |
Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP |
07/22/2016 |
Certified |
08/05/2016 |
|
6 |
BSEF |
BSEF Rulebook Amendment |
07/26/2019 |
Certified |
08/09/2019 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-R-2) |
03/10/2021 |
Certified |
03/24/2021 |
|
1 |
ICAPSEF |
ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 |
12/06/2013 |
Certified |
12/21/2013 |
|
1 |
CMESEF |
Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 |
04/25/2014 |
Certified |
05/10/2014 |
|
1 |
TPSEF |
This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. |
08/21/2014 |
Certified |
09/05/2014 |
|
2 |
BSEF |
Bloomberg SEF LLC hereby submits its revised Rulebook, effective as of February 4, 2016. |
01/20/2016 |
Certified |
02/03/2016 |
|
1 |
ICAPSEF |
Amended Rulebook and Confidential Chapter 9 |
01/05/2017 |
Certified |
01/20/2017 |
|
4 |
BSEF |
Compliance Manual Amendment |
07/26/2019 |
Certified |
08/09/2019 |
|
2 |
TPSEF |
Notification of Amendments to Rulebook |
03/10/2021 |
Certified |
03/24/2021 |
|
1 |
TRAD |
Amendment to Fee Schedule |
04/18/2022 |
Certified |
05/02/2022 |
|
4 |
TPSEF |
tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) |
02/10/2014 |
Certified |
02/26/2014 |
|
1 |
ICAPSEF |
ICAP SEF - Rule Amendments - Amended Rulebook - Definitions and Rules 204, 205, 305, 315, 404. ICAPSEF #2014-R-3 |
05/22/2014 |
Certified |
06/07/2014 |
|
0 |
IGDL |
Revised Fee Schedule |
02/12/2015 |
Certified |
02/27/2015 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is revising its Error Trade Policy. |
03/20/2015 |
Certified |
04/03/2015 |
|
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 and Risk Mitigation Procedures. |
10/07/2015 |
Certified |
10/22/2015 |
|
1 |
IGDL |
Rule 40.6(a) Rule Certification |
01/20/2016 |
Certified |
02/03/2016 |
|
4 |
BSEF |
Revised BSEF fee schedule |
03/14/2018 |
Certified |
03/28/2018 |
|
2 |
LGX |
Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. |
05/01/2018 |
Certified |
05/15/2018 |
|
3 |
TPSEF |
Amendments to tpSEF Fee Schedule |
12/13/2019 |
Certified |
12/30/2019 |
|
2 |
CBOESEF |
Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. |
01/16/2020 |
Certified |
01/31/2020 |
|
2 |
BSEF |
CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 |
11/09/2023 |
Certified |
11/27/2023 |
|
1 |
TRAD |
Changes to fee schedule |
11/17/2014 |
Certified |
12/02/2014 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is revising its Error Trade Policy. |
03/20/2015 |
Certified |
04/03/2015 |
|
4 |
CBOESEF |
Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." |
02/27/2017 |
Certified |
03/13/2017 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook. |
11/18/2014 |
Certified |
12/03/2014 |
|
2 |
MKAXSEF |
MarketAxess SEF Corporation has updated its Rulebook, Fee Schedule and Exhibit Q-2 to reflect recentdevelopments and provide clarity. |
01/13/2015 |
Certified |
01/28/2015 |
|
7 |
BSEF |
Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 7, 2015. |
11/19/2015 |
Certified |
12/04/2015 |
|
1 |
ICAPSEF |
40.6(a) Rule Certification |
01/20/2016 |
Certified |
02/03/2016 |
|
4 |
IGDL |
Updates to IGDL's Fee Schedule and SEF Discount Structure Appendix to IGDL's Fee Schedule. |
04/09/2019 |
Certified |
04/23/2019 |
|
2 |
BSEF |
Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC's Weekly Notification of Rule Amendments |
05/26/2017 |
Notified |
05/26/2017 |
|
3 |
TRAD |
Amendment to the Tradition SEF fee schedule. |
08/13/2015 |
Certified |
08/27/2015 |
|
2 |
CMSEF |
SEF Rulebook Amendment |
04/28/2016 |
Certified |
05/12/2016 |
|
1 |
BSEF |
Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
GFISEF |
Various Rulebook Amendments |
08/14/2015 |
Certified |
08/28/2015 |
|
2 |
BSEF |
Rulebook Amendment |
10/21/2016 |
Certified |
11/04/2016 |
|
1 |
CMESEF |
Amendments to Chapter 4 ("Enforcement of Rules") |
11/29/2016 |
Certified |
12/13/2016 |
|
5 |
GFISEF |
Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. |
01/09/2017 |
Certified |
01/24/2017 |
|
1 |