| ICE SEF |
ICE Swap Trade LLC - Fee Schedule Amendment - Submission 14-16 |
06/04/2014 |
Certified |
06/19/2014 |
|
1 |
| TPSEF |
Regulation 40.6 certification of tpSEF's procedures for risk mitigation sessions. |
01/20/2015 |
Certified |
02/03/2015 |
|
1 |
| BSEF |
Compliance Manual amendment |
04/21/2017 |
Certified |
05/05/2017 |
|
1 |
| LATAM |
Mexican TIIE Fixed/Floating Interest Rate Swap, Mexican TIIE/U.S. Dollar 1-Month Libor Cross-Currency Basis Swap, Mexican UDI/TIIE Interest Rate Swap, Mexican UDI/U.S. Dollar 6-Month Libor Cross-Currency Basis Swap, Peruvian PEN/TIS Interest Rate Swap, Me |
07/17/2017 |
Certified |
07/31/2017 |
|
1 |
| TPSEF |
tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) |
02/21/2014 |
Certified |
07/29/2014 |
|
1 |
| TRAD |
Tradition SEF, Inc. - Amendments to Trad-X Platform Supplement - TRAD #14-17 |
06/05/2014 |
Certified |
06/20/2014 |
|
1 |
| TPSEF |
This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. |
07/02/2015 |
Certified |
07/17/2015 |
|
1 |
| LGX |
Submission of revised fee schedule. |
03/27/2018 |
Certified |
04/10/2018 |
|
1 |
| CBOESEF |
Amendment to Exhibit A to Form SEF |
10/18/2022 |
Certified |
11/01/2022 |
|
1 |
| INFXSEF |
Rulebook amendments to incorporate non-material changes requested by Commission Staff. Amendments will become effective on November 25, 2013. |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
| TDERIV |
This is an EMERGENY RULE CERTIFICATION to incorporate the reference to CFTC no-action letter 16-58 and the new expiration date, and to remove reference to CFTC no-action letter 15-24 and its June 15, 2016 expiration. |
06/14/2016 |
Certified |
06/27/2016 |
|
1 |
| INFXSEF |
Amendments to Rulebook clarify the process of submitting an RFQ onto the INFX SEF RFQ Platform. (10-22-13) |
10/22/2013 |
Certified |
11/06/2013 |
|
1 |
| GFISEF |
Various Rulebook Amendments |
02/25/2015 |
Certified |
03/11/2015 |
|
1 |
| CMSEF |
SEF Rule Amendment |
08/04/2016 |
Certified |
08/18/2016 |
|
1 |
| CBOESEF |
Rules amendments to provide (a)for use of Javelin systems to communicate bids and offers to Javelin to insure compliance with Reg 37.9(b) and (b) state in rulebook that bid and offers in voice order book will be disclosed to all market participants. |
05/21/2015 |
Certified |
06/05/2015 |
|
1 |
| INFXSEF |
Amendments to Rulebook -- Notice 13-05 |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
| CBOESEF |
Rule amendments related to new pre-trade credit check functionality for Block Trades. |
02/25/2015 |
Certified |
03/11/2015 |
|
1 |
| CBOESEF |
Rule amendments related to Phase 1 Questions |
10/16/2015 |
Certified |
10/30/2015 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/18/2022 |
Notified |
03/18/2022 |
|
1 |
| BSEF |
Bloomberg SEF LLC hereby notifies the CFTC that it wishes to amend the May 13 Rulebook Certification to respond to certain comments received from CFTC staff. We understand that the amended Rulebook will become effective on May 28, 2015. |
05/22/2015 |
Certified |
06/08/2015 |
|
1 |
| TPSEF |
Rulebook amendment. |
10/20/2017 |
Certified |
11/03/2017 |
|
1 |
| BSEF |
Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it hasamended its Rulebook. The amended Rulebook will become effective on April 13, 2018. |
03/28/2018 |
Certified |
04/11/2018 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/11/2020 |
Notified |
12/11/2020 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. |
02/23/2024 |
Certified |
03/08/2024 |
|
1 |
| TDERIV |
self-certification of fees on the SEF Trading System |
03/17/2016 |
Certified |
03/31/2016 |
|
1 |
| TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of May 15, 2020. |
05/20/2020 |
Notified |
05/20/2020 |
|
1 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/18/2022 |
Certified |
08/01/2022 |
|
1 |
| LGX |
LedgerX Fee Schedule Update |
09/23/2020 |
Notified |
09/23/2020 |
|
1 |
| IGDL |
Notification of Amendments to Rulebook. |
01/29/2021 |
Certified |
02/12/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook |
02/09/2022 |
Certified |
02/24/2022 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(d), tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B to its Rulebook effective as of the date hereof. |
12/18/2015 |
Notified |
12/18/2015 |
|
1 |
| TPSEF |
Notification of Amendments to Rulebook |
01/29/2021 |
Certified |
02/12/2021 |
|
1 |
| TPSEF |
Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
| CMESEF |
Elimination of CME SEF Rule 524 ("Uncleared Swaps") |
12/18/2015 |
Certified |
01/05/2016 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
01/29/2021 |
Notified |
01/29/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) |
12/12/2013 |
Certified |
12/28/2013 |
|
1 |
| ICAPSEF |
ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. |
04/03/2014 |
Certified |
04/18/2014 |
|
1 |
| ICAPSEF |
Amendment to SEF Registration (9-27-13) |
09/27/2013 |
Certified |
07/29/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF - effective June 21, 2014 BSEF 2014-R-3 |
06/06/2014 |
Certified |
06/21/2014 |
|
1 |
| TDERIV |
self certification of fees for the SEF Trading System |
11/06/2016 |
Certified |
11/21/2016 |
|
1 |
| BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. |
12/14/2020 |
Certified |
12/29/2020 |
|
1 |
| LGX |
LedgerX Updated Rulebook |
01/31/2021 |
Certified |
02/12/2021 |
|
1 |
| CBOESEF |
Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 |
04/04/2014 |
Certified |
04/19/2014 |
|
1 |
| GFISEF |
GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M |
06/09/2014 |
Certified |
06/24/2014 |
|
1 |
| BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
| BSEF |
Amended governance documentation (Operating Agreement and Information About Board of Directors) |
05/22/2020 |
Certified |
06/05/2020 |
|
1 |
| DWSEF |
DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) |
12/21/2015 |
Certified |
01/06/2016 |
|
1 |
| BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
