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 |
CBOESEF |
(1) clarify the types and functionality of Orders that may be entered into Cboe SEF's order books and (2) change how Cboe SEF's trading system treats Orders submitted with decimal Notional Amounts. |
06/24/2022 |
Certified |
07/11/2022 |
|
1 |
CBOESEF |
(1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. |
01/14/2022 |
Certified |
01/31/2022 |
|
1 |
CBOESEF |
(1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. |
03/17/2022 |
Certified |
03/31/2022 |
|
2 |
ICE SEF |
2019 Trading and Holiday Schedule |
12/10/2018 |
Notified |
12/10/2018 |
|
3 |
360T |
360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 |
02/25/2014 |
Certified |
03/12/2014 |
|
1 |
360T |
360 Trading Networks Inc. ("360T") hereby files the attached amendments to its Fee Schedule for 360T Participants. The Fee Schedule has been amended in response to 360T business development. |
04/30/2019 |
Certified |
05/14/2019 |
|
3 |
360T |
360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. |
03/13/2015 |
Certified |
03/27/2015 |
|
4 |
360T |
360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) |
04/03/2014 |
Certified |
04/18/2014 |
|
1 |
360T |
360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. |
11/26/2013 |
Certified |
12/12/2013 |
|
3 |
360T |
360 Trading Networks, Inc. amendment to Form SEF |
11/27/2013 |
Certified |
12/13/2013 |
|
0 |
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 |
LATAM |
40.6(a) certification of LatAm SEF Rulebook, version 1.12 |
11/16/2022 |
Certified |
12/01/2022 |
|
1 |
LATAM |
40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 |
04/04/2023 |
Certified |
04/18/2023 |
|
1 |
ICAPSEF |
40.6(a) Rule Certification |
01/20/2016 |
Certified |
02/03/2016 |
|
4 |
GFISEF |
40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
LGX |
40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. |
11/16/2022 |
Notified |
11/16/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
11/20/2020 |
Notified |
11/20/2020 |
|
1 |
IGDL |
40.6(d) Weekly Notification of Rule Amendments |
11/20/2020 |
Notified |
11/20/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/16/2021 |
Notified |
04/16/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
02/26/2021 |
Notified |
02/26/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/23/2021 |
Notified |
04/23/2021 |
|
1 |
IGDL |
40.6(d) Weekly Notification of Rule Amendments |
04/23/2021 |
Notified |
04/23/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/05/2021 |
Notified |
03/05/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
08/17/2022 |
Notified |
08/17/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/30/2021 |
Notified |
04/30/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/04/2020 |
Notified |
12/04/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/07/2021 |
Notified |
05/07/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/03/2022 |
Notified |
05/03/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/19/2021 |
Notified |
03/19/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/18/2022 |
Notified |
03/18/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/11/2020 |
Notified |
12/11/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
01/29/2021 |
Notified |
01/29/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
07/02/2021 |
Notified |
07/02/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/20/2022 |
Notified |
05/20/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/18/2020 |
Notified |
12/18/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
02/25/2022 |
Notified |
02/25/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/28/2021 |
Notified |
05/28/2021 |
|
1 |
LGX |
A routine update to reflect details of intermediated trading on LedgerX's exchange. |
12/04/2017 |
Certified |
12/18/2017 |
|
1 |
TERAEXC |
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 |
TDERIV |
Added BRL to Core RFQ functionality. It already existed on PTC. |
11/07/2017 |
Notified |
11/07/2017 |
|
1 |
SWAPX |
Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. |
06/16/2021 |
Certified |
07/01/2021 |
|
4 |
BSEF |
Addendum to BSEF-NFA Regulatory Services Agreement |
09/22/2020 |
Certified |
10/06/2020 |
|
2 |
GFISEF |
Addition of Addendum A to Fee Schedule |
05/13/2015 |
Certified |
05/28/2015 |
|
2 |
ICE SEF |
Adjustment to ICE Swap Trade Trading Hours |
03/30/2021 |
Notified |
03/30/2021 |
|
4 |
AEGIS |
Administrative changes to Participant Agreement and Market Participant Addendum. |
01/27/2023 |
Notified |
01/27/2023 |
|
2 |
ICE SEF |
Administrative changes to Rulebook |
05/14/2021 |
Notified |
05/14/2021 |
|
4 |
ICE SEF |
Administrative edits to IST Rulebook |
02/15/2021 |
Notified |
02/15/2021 |
|
4 |
CMESEF |
Adoption of CME SEF Recordkeeping and Reporting Policy |
01/28/2015 |
Certified |
02/11/2015 |
|
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 |