BSEF |
Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. |
09/13/2013 |
Certified |
09/28/2013 |
|
5 |
ICE SEF |
The trading and holiday schedule for 2018 is being revised to clarify the reserved maintenance window in Commodity Contracts. |
05/22/2018 |
Notified |
05/22/2018 |
|
5 |
360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
12/01/2017 |
Certified |
12/15/2017 |
|
5 |
ICAPSEF |
Amended Form SEF pursuant to Regulation 37.3(b)(3) |
08/11/2016 |
Certified |
08/25/2016 |
|
5 |
ICAPSEF |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
IGDL |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
TRAD |
Notification of Amendments to Tradition SEF, Inc. Rulebook |
10/16/2020 |
Certified |
10/30/2020 |
|
5 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. |
02/23/2016 |
Certified |
03/08/2016 |
|
5 |
NEXSEF |
Amended Rulebook and Confidential Trading Protocols |
12/08/2017 |
Certified |
12/22/2017 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
10/03/2016 |
Certified |
10/18/2016 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
DWSEF |
DW SEF Amended Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
SWAPX |
Amendment of Rule 525 to reflect recent CFTC no-action letter |
03/31/2017 |
Certified |
04/14/2017 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to clarify the process by which IST intends to implement and enforce certain of its rules and respond to guidance received from the Commission. |
07/14/2016 |
Certified |
07/28/2016 |
|
4 |
GFISEF |
Miscellaneous Rulebook amendments |
12/31/2014 |
Certified |
01/15/2015 |
|
4 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. |
04/19/2021 |
Certified |
05/03/2021 |
|
4 |
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 |
MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
NEXSEF |
Rulebook Amendments |
10/05/2017 |
Certified |
10/20/2017 |
|
4 |
NEXSEF |
Amendments to Chapter 5 ("Rule Enforcement") and Rule 901 ("System Protocols") of the NEX SEF Limited Rulebook (Form SEF Exhibit M) and the Trade Practice Review Program of the NEX SEF Compliance Manual (Form SEF Exhibit O3) |
07/28/2023 |
Certified |
08/11/2023 |
|
4 |
AEGIS |
Amendments to Rulebook and Market Participant Addendum |
09/08/2023 |
Certified |
09/22/2023 |
|
4 |
LGX |
Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. |
06/11/2018 |
Certified |
06/25/2018 |
|
4 |
TWSEF |
Amendments to TW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
DWSEF |
Amended DW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
TWSEF |
Amended TW SEF Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. |
06/11/2021 |
Certified |
06/25/2021 |
|
4 |
DWSEF |
DW SEF Amended Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |
NEXSEF |
Issuance of Market Advisory Regulatory Notice and Amended Rulebook |
08/14/2017 |
Certified |
08/28/2017 |
|
4 |
TWSEF |
Amendment to TW SEF Rates Fee Schedule |
07/23/2020 |
Certified |
08/05/2020 |
|
4 |
360T |
Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. |
08/04/2015 |
Certified |
08/17/2015 |
|
4 |
LGX |
LedgerX Updated BCDR Plan |
06/13/2021 |
Certified |
06/25/2021 |
|
4 |
TWSEF |
TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
BGC |
The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. |
09/17/2014 |
Withdrawn |
09/18/2014 |
|
4 |
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 |
TWSEF |
Amended TW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
ICAPSEF |
Amended EBS Trading Protocol and Rules 202, 208 and 315 |
12/11/2015 |
Certified |
12/28/2015 |
|
4 |
DWSEF |
Amended DW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. |
08/07/2015 |
Certified |
08/21/2015 |
|
4 |
SWAPX |
Updates to various rules, particularly rules concerning data reporting |
01/19/2016 |
Certified |
02/02/2016 |
|
4 |
AEGIS |
Amendments to Rulebook and Participant Agreement |
11/21/2022 |
Certified |
12/06/2022 |
|
4 |
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 |
ICAPSEF |
Amended Rulebook and Confidential Chapter 9 |
01/05/2017 |
Certified |
01/20/2017 |
|
4 |
TRAD |
Amendment to Fee Schedule |
04/18/2022 |
Certified |
05/02/2022 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is revising its Error Trade Policy. |
03/20/2015 |
Certified |
04/03/2015 |
|
4 |
IGDL |
Rule 40.6(a) Rule Certification |
01/20/2016 |
Certified |
02/03/2016 |
|
4 |
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 |
ICAPSEF |
40.6(a) Rule Certification |
01/20/2016 |
Certified |
02/03/2016 |
|
4 |
ISBV |
Updated Fee Structure and Incentives to reflect volatile markets. No substantive changes to the quantum of fees or incentives. In addition some conformance changes |
07/08/2022 |
Certified |
07/22/2022 |
|
4 |