| 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 |
| TPSEF |
tpSEF Submission #14-02R -- Rulebook Amendments - Rule 1000 and Rule 4013 |
06/04/2014 |
Certified |
06/19/2014 |
|
1 |
| 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. |
10/15/2015 |
Certified |
10/29/2015 |
|
1 |
| BSEF |
BSEF Rulebook Amendment |
05/12/2016 |
Certified |
05/26/2016 |
|
2 |
| IGDL |
Amended Rulebook reflecting NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
| CBOESEF |
Implementation of market maker program. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
| AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
02/24/2023 |
Certified |
03/10/2023 |
|
3 |
| TDERIV |
Amendments related to extension of No-Action letters relating to Block Trades and Package Transactions. In addition, rule amendments related to uncleared trades. |
11/01/2016 |
Certified |
11/16/2016 |
|
1 |
| NEXSEF |
Amended Fee Program |
08/03/2018 |
Certified |
08/17/2018 |
|
2 |
| IGDL |
Amendments to ICAP Global Derivatives Limited's Rulebook |
06/19/2020 |
Certified |
07/06/2020 |
|
1 |
| TWSEF |
Amendment to include new Rule 419 to prohibit post-trade name give up |
11/05/2020 |
Certified |
11/20/2020 |
|
6 |
| NEXSEF |
Extension of the NEX SEF African & Middle East NDFs Market Maker Program |
10/15/2021 |
Certified |
10/29/2021 |
|
2 |
| CBOESEF |
The Amendment will memorialize Cboe SEF's Statement of Commitment to the FX Global Code. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Error Trade Policy. |
11/21/2014 |
Certified |
12/08/2014 |
|
2 |
| TPSEF |
Elimination of a Participant's ability to expose one side of a Required Transaction for less than 15 seconds. |
04/02/2015 |
Certified |
04/16/2015 |
|
1 |
| CBOESEF |
Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. |
08/06/2018 |
Certified |
08/20/2018 |
|
1 |
| MKAXSEF |
Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC is submitting Certification under 40.6(a) amending its current SEF Fee Schedule. Please note that ICE Swap Trade has requested confidential treatment for this filing. |
10/02/2014 |
Certified |
10/17/2014 |
|
3 |
| CBOESEF |
Notice to Participants related to amendments made to Rule 318. |
05/15/2015 |
Certified |
06/01/2015 |
|
1 |
| CMSEF |
SEF Rulebook Amendment Certification |
06/29/2015 |
Certified |
07/14/2015 |
|
1 |
| CMSEF |
SEF Rulebook Amendment |
08/03/2016 |
Certified |
08/17/2016 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). |
08/14/2023 |
Certified |
08/28/2023 |
|
1 |
| TPSEF |
Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| MKAXSEF |
MarketAccess SEF Corporation has made the rule changes below to update the MarketAccess SEF Rulebook to reflect recent developments and provide clarity. |
05/15/2015 |
Certified |
06/01/2015 |
|
4 |
| BGC |
Notice of BGC Derivative Markets, L.P. Claiming Relief Under CFTC Letter No. 13-62 October 8, 2013 (2013-01) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| TWSEF |
Amended TW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to clarify the process by which IST intends to implement and enforce certain of its rules. |
02/01/2018 |
Certified |
02/15/2018 |
|
1 |
| NEXSEF |
Self certification of NEX SEF Market Regulation Advisory Notice for update of Quote Fill Ratio Thresholds. |
03/18/2020 |
Certified |
04/01/2020 |
|
2 |
| CBOESEF |
Amendments to reflect the terms of the prohibition of the practice of post-trade name give-up in accordance with Commission regulation 37.9(d), and elimination of minimum Notional Amount for Contracts executed on Cboe SEF. |
11/06/2020 |
Certified |
11/23/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) |
12/02/2022 |
Certified |
12/16/2022 |
|
1 |
| TRAD |
Updates to Tradition SEF Rulebook Appendix A and Appendix B to add CAD Overnight Repo Rate Average (CORRA) and Markitr iBoxx USD Liquid Investment Grade (IG Index) Credit Index. |
05/19/2023 |
Certified |
06/05/2023 |
|
5 |
| SWAPX |
Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 |
10/18/2013 |
Certified |
11/02/2013 |
|
1 |
| TPSEF |
tpSEF Inc. Amended Fee Schedule (January 31, 2014) |
02/03/2014 |
Certified |
07/29/2014 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC is issuing guidance with respect to Rule 525(g) "Mid-Market Order" type. |
12/16/2015 |
Certified |
12/31/2015 |
|
3 |
| DWSEF |
Amended DW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
| CBOESEF |
Bats Hotspot SEF has revised its rulebook in order to remove interest rate swaps, add non-deliverable forwards and reflect changes to governance and disciplinary processes resulting from ownership changes. |
04/21/2017 |
Certified |
05/05/2017 |
|
2 |
| LGX |
Self-certification of revisions to LLC Operating Agreement |
07/07/2023 |
Certified |
07/21/2023 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. |
09/28/2023 |
Certified |
10/13/2023 |
|
1 |
| 360T |
Amendments to 360T SEF Application for Registration and documents with request for confidential treatment. October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| SWAPX |
Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) |
11/15/2013 |
Certified |
12/03/2013 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
09/11/2015 |
Certified |
09/25/2015 |
|
2 |
| 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 ("BSEF") hereby notifies the Commission that it has amended itsRulebook. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
| TWSEF |
Amended Fees Schedules |
09/12/2016 |
Certified |
09/26/2016 |
|
3 |
| NEXSEF |
Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider |
08/17/2020 |
Certified |
08/31/2020 |
|
4 |
| GFISEF |
Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF Inc. hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. |
06/13/2016 |
Certified |
06/27/2016 |
|
1 |
| BSEF |
Pursuant to Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
| BSEF |
Rulebook amendment |
04/21/2017 |
Certified |
05/05/2017 |
|
1 |
| SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
02/27/2023 |
Certified |
03/13/2023 |
|
1 |
