DWSEF |
DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
DWSEF |
DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
DWSEF |
DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
DWSEF |
DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
DWSEF |
DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
DWSEF |
DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) |
02/03/2014 |
Certified |
02/19/2014 |
|
1 |
DWSEF |
DW SEF LLC Amendment of Rule 901 (Swap Specifications) |
12/09/2021 |
Certified |
12/23/2021 |
|
3 |
DWSEF |
DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
DWSEF |
DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. |
04/02/2019 |
Notified |
04/02/2019 |
|
1 |
DWSEF |
DW SEF Market Regulation Advisory Notice re STP and Affirmation |
05/31/2016 |
Certified |
06/14/2016 |
|
2 |
DWSEF |
DW SEF Rulebook Amendments |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
DWSEF |
DW SEF Rulebook Amendments |
01/16/2015 |
Certified |
02/02/2015 |
|
4 |
DWSEF |
DW SEF Rulebook Amendments |
04/11/2018 |
Certified |
04/25/2018 |
|
4 |
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 |
CMESEF |
Elimination of CME SEF Rule 524 ("Uncleared Swaps") |
12/18/2015 |
Certified |
01/05/2016 |
|
1 |
ICE SEF |
Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
BSEF |
Emergency Rule Certification |
02/05/2019 |
Certified |
02/20/2019 |
|
2 |
BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
TRAD |
Emergency Rule Certification - amended to comply with the conditions for the time-limited no-action relief provided in CFTC Letter No. 13-58 TRAD #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
DWSEF |
Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
TWSEF |
Emergency Rule Certification - no-action relief in CFTC Letter 13-57 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
DWSEF |
Emergency Rule Certification - Notice to DW SEF Participants - no-action relief relating to onboarding and pre-trade screening of orders |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
GFISEF |
Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
TWSEF |
Emergency Rule Certification- provided by CFTC Letter No. 13-58 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
ICE SEF |
EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. |
10/01/2014 |
Certified |
10/16/2014 |
|
2 |
ICE SEF |
EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. This amendment will be effective October, 1, 2014. |
10/01/2014 |
Certified |
10/16/2014 |
|
1 |
TRAD |
Emergency Rule Submission. Amendments to Tradition SEF Trad-X Platform Supplement. |
08/19/2016 |
Certified |
09/02/2016 |
|
2 |
TDERIV |
Expansion of trading hours for IRS products |
02/16/2018 |
Notified |
02/16/2018 |
|
1 |
CBOESEF |
Extending current market maker program. |
11/01/2023 |
Certified |
11/16/2023 |
|
1 |
TRAD |
Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. |
03/27/2015 |
Certified |
04/10/2015 |
|
1 |
NEXSEF |
Extension of the NEX SEF African & Middle East NDFs Market Maker Program |
10/15/2021 |
Certified |
10/29/2021 |
|
2 |
ICAPSEF |
Fee Card Amendment |
06/16/2016 |
Certified |
06/30/2016 |
|
2 |
IGDL |
Fee Card amendment |
06/16/2016 |
Certified |
06/30/2016 |
|
2 |
IGDL |
Fee Card and Discount Appendix amendment |
12/12/2016 |
Certified |
12/27/2016 |
|
2 |
NEXSEF |
Fee Program Amendment |
12/15/2017 |
Certified |
01/02/2018 |
|
2 |
IGDL |
Fee Schedule |
03/17/2015 |
Certified |
03/31/2015 |
|
1 |
GTX |
Fee Schedule |
08/24/2017 |
Certified |
09/08/2017 |
|
1 |
LGX |
Fee Schedule Amendmenet |
12/06/2019 |
Notified |
12/06/2019 |
|
2 |
GTX |
Fee schedule Amendment |
03/27/2015 |
Certified |
04/09/2015 |
|
1 |
GTX |
Fee schedule Amendment |
10/22/2015 |
Certified |
11/05/2015 |
|
1 |
TWSEF |
Fee Schedule Amendments |
08/22/2017 |
Certified |
09/06/2017 |
|
2 |
LGX |
Fee Schedule Change |
12/09/2020 |
Notified |
12/09/2020 |
|
1 |
TWSEF |
Fee Schedule update for Credit Default Swaps |
07/15/2021 |
Certified |
07/29/2021 |
|
2 |
TWSEF |
Fee Updates |
06/02/2021 |
Certified |
06/16/2021 |
|
2 |
DWSEF |
Fee Updates |
06/02/2021 |
Certified |
06/16/2021 |
|
2 |
CMESEF |
Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 |
04/25/2014 |
Certified |
05/10/2014 |
|
1 |
NEXSEF |
Form SEF Exhibit updates related to NEX SEF integration with CME, as well as miscellaneous changes. |
09/09/2020 |
Certified |
09/23/2020 |
|
1 |
GFISEF |
GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) |
03/18/2014 |
Certified |
04/02/2014 |
|
0 |
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 |