RTX |
Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) |
11/07/2023 |
Certified |
11/22/2023 |
|
2 |
INFXSEF |
Rule amendments to incorporate certain clarifications and updates. |
11/14/2014 |
Certified |
12/01/2014 |
|
1 |
BGC |
Amendments to the fee schedule. |
10/06/2015 |
Certified |
10/21/2015 |
|
2 |
CBOESEF |
Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. |
08/26/2016 |
Certified |
09/12/2016 |
|
1 |
TRAD |
40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" |
11/17/2021 |
Certified |
12/02/2021 |
|
1 |
CBOESEF |
Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. |
08/18/2022 |
Certified |
09/01/2022 |
|
1 |
TWSEF |
Market Participant Notice- SDR reporting |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
INFXSEF |
Making changes to order book execution explanations based on request contained in DMO Letter dated 11/21/14. |
01/13/2015 |
Certified |
01/28/2015 |
|
2 |
BGC |
These rule amendments are cumulative and are in response to suggestions and guidance from the staff. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
06/01/2016 |
Certified |
06/15/2016 |
|
1 |
CBOESEF |
Update the appeal provisions under Cboe SEF's Rules. |
08/18/2022 |
Certified |
09/01/2022 |
|
1 |
DWSEF |
Notice to participants- SDR rewrite |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. |
02/11/2015 |
Certified |
02/26/2015 |
|
6 |
TDERIV |
Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. |
03/19/2015 |
Certified |
04/02/2015 |
|
1 |
TWSEF |
Update to Fee Schedule for Cross Currency Swaps |
09/21/2020 |
Certified |
10/05/2020 |
|
2 |
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 |
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 |