| NEXSEF |
Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) |
06/14/2022 |
Certified |
06/29/2022 |
|
2 |
| AEGIS |
Amendments to Rulebook and Participant Agreement. |
03/07/2023 |
Certified |
03/21/2023 |
|
4 |
| ICE SEF |
ICE Swap Trade - Rulebook amendments: clarify the process by which IST intends to implement and enforce its rules; responding to relevant CFTC guidance/comments. ICE SEF #14-08 |
03/18/2014 |
Certified |
04/02/2014 |
|
1 |
| TRAD |
Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. |
07/22/2014 |
Certified |
08/05/2014 |
|
4 |
| IGDL |
Amendments to ICAP Global Derivatives Limited's Rulebook, Governance Policy and Compliance Manual. |
03/24/2020 |
Certified |
04/07/2020 |
|
2 |
| ICE SEF |
Issuance of a "SEF Notice" concerning acceptable trading protocols under SEF Rule 702 (Brokered Trades). ICE SEF #14-09 |
03/19/2014 |
Certified |
04/03/2014 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
12/22/2015 |
Certified |
01/07/2016 |
|
2 |
| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
11/02/2018 |
Certified |
11/19/2018 |
|
1 |
| GFISEF |
GFI Swaps - Amendments to GFI Rules 101, 508, 528, 529, 533, 601, 602, 1001. GFISEF #14-0007 |
03/18/2014 |
Certified |
04/02/2014 |
|
1 |
| CBOESEF |
Javelin SEF, LLC - New Fee Schedule - Submission #14-07 |
06/10/2014 |
Certified |
06/25/2014 |
|
0 |
| TPSEF |
Updates to the tpSEF Risk Mitigation Procedures |
07/01/2019 |
Certified |
07/16/2019 |
|
1 |
| TDERIV |
Non-substantive and typographical and grammatical rulebook revisions. |
07/22/2014 |
Certified |
08/05/2014 |
|
2 |
| SWAPX |
Various amendments that generally clarify existing rules. |
11/25/2014 |
Certified |
12/10/2014 |
|
4 |
| CBOESEF |
Rule Amendment related to CFTC No-Action Letter 16-84 |
06/16/2016 |
Certified |
06/30/2016 |
|
3 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. |
07/10/2015 |
Certified |
07/24/2015 |
|
3 |
| MKAXSEF |
MarketAccess SEF Corporation has updated Exhibit Q-2 to reflect recent developments and provide clarity. |
12/18/2015 |
Certified |
01/05/2016 |
|
4 |
| TWSEF |
Notice to Participants- Cleared Error Swaps- procedures and requirements |
08/22/2023 |
Certified |
09/06/2023 |
|
2 |
| GFISEF |
Revised Fee Schedule |
09/08/2014 |
Certified |
09/22/2014 |
|
2 |
| GFISEF |
Revised fee schedule |
11/25/2014 |
Certified |
12/10/2014 |
|
2 |
| ICE SEF |
ICE Swap Trade, LLC is revising its Error Trade Policy. |
03/06/2015 |
Certified |
03/20/2015 |
|
6 |
| TRAD |
Amendments to the tradition SEF Fee Schedule. |
12/12/2016 |
Certified |
12/27/2016 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. |
09/09/2014 |
Certified |
09/23/2014 |
|
4 |
| ICAPSEF |
Fee Card Amendment |
06/16/2016 |
Certified |
06/30/2016 |
|
2 |
| TRAD |
Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. |
03/08/2019 |
Certified |
03/22/2019 |
|
3 |
| TWSEF |
Updated Notice to all TW SEF Participants regarding when block treatment of a Package Transactions is appropriate. |
10/16/2014 |
Certified |
10/30/2014 |
|
2 |
| ICAPSEF |
Revised Fee Schedule and New Market Maker Incentive Programs |
03/06/2015 |
Certified |
03/20/2015 |
|
2 |
| GFISEF |
Various Rulebook Amendments |
10/23/2015 |
Certified |
11/06/2015 |
|
1 |
| IGDL |
Fee Card amendment |
06/16/2016 |
Certified |
06/30/2016 |
|
2 |
| TDERIV |
Certification of fee schedule and designation market maker program for trueDigital Products |
11/06/2018 |
Certified |
11/21/2018 |
|
2 |
| DWSEF |
Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. |
10/16/2014 |
Certified |
10/30/2014 |
|
2 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Product Related Amendment to the BSEF LLC Rulebook. |
11/29/2023 |
Certified |
12/13/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees (2024-R-13) |
10/02/2024 |
Certified |
10/17/2024 |
|
1 |
| TRAD |
Notification of Amendments to Tradition SEF, Inc. Rulebook and User Agreement. TRAD #13-0003 |
11/20/2013 |
Certified |
12/06/2013 |
|
0 |
| RADSEF |
Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 |
01/16/2014 |
Certified |
02/01/2014 |
|
1 |
| ICAPSEF |
Revised Fee Card market maker program |
11/11/2016 |
Certified |
11/28/2016 |
|
2 |
| AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
11/29/2023 |
Certified |
12/13/2023 |
|
3 |
| TRAD |
Amendment of platform trading hours for USD, EUR and GBP currencies on Tradition SEF Platform Supplement 1 effective October 17, 2024. |
10/02/2024 |
Certified |
10/17/2024 |
|
3 |
| ICAPSEF |
Revised Facility Rulebook |
09/09/2014 |
Certified |
09/23/2014 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) |
08/16/2018 |
Certified |
08/30/2018 |
|
1 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc. notifies the CFTC that it will release the attached Notice to Participants on March 26, 2020. |
03/26/2020 |
Certified |
04/09/2020 |
|
1 |
| AEGIS |
The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. |
09/13/2022 |
Certified |
09/27/2022 |
|
3 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program |
10/28/2022 |
Certified |
11/14/2022 |
|
2 |
| TPSEF |
Updates to tpSEF Inc. Risk Mitigation Procedures |
11/30/2023 |
Certified |
12/14/2023 |
|
1 |
| IGDL |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), ICAP Global Derivatives Limited notifies the CFTC that it will release the attached Market Regulation Advisory Notice on March 26, 2020. |
03/26/2020 |
Certified |
04/09/2020 |
|
1 |
| LGX |
Compliance Manual Amendments |
10/27/2021 |
Certified |
11/10/2021 |
|
3 |
| CBOESEF |
(1) clarify plans relating to Market Maker program and (2) change the Order Review Timeframe in respect of the SEF Order Book and the Full Amount Platform from 70 milliseconds to 35 milliseconds |
02/18/2022 |
Certified |
03/07/2022 |
|
1 |
| TPSEF |
tpSEF, Amendment to its Rulebook, as provided in Exhibit B (10-24-13) |
10/24/2013 |
Certified |
11/08/2013 |
|
1 |
| IGDL |
Amended Fee Card |
10/17/2014 |
Certified |
10/31/2014 |
|
2 |
| SEED CX |
As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. |
09/11/2017 |
Certified |
09/25/2017 |
|
3 |
| TRAD |
Amendments to Tradition SEF Rulebook. |
09/21/2015 |
Certified |
10/05/2015 |
|
2 |
