| TPSEF |
Deletion of Rules 4013(e) and (f) to reflect the expiration of the no-action relief granted in CFTC 14-121. |
03/11/2015 |
Certified |
03/25/2015 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2019-R-09). |
11/01/2019 |
Certified |
11/18/2019 |
|
1 |
| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
02/13/2020 |
Certified |
02/28/2020 |
|
1 |
| LGX |
LedgerX Revised Participant Agreement |
05/28/2021 |
Certified |
06/14/2021 |
|
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 |
| GTX |
GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
| TDERIV |
self certification of fees on the SEF Trading System |
08/16/2016 |
Certified |
08/30/2016 |
|
1 |
| TWSEF |
New Fee Schedule for TW SEF |
06/16/2017 |
Certified |
06/30/2017 |
|
1 |
| BSEF |
BSEF Rulebook Amendment |
12/21/2018 |
Certified |
01/08/2019 |
|
1 |
| GFISEF |
GFI Swaps Exchange Withdrawal of GFI Rule 507(c) and Submission #14-0002. GFISEF #14-0003 |
02/19/2014 |
Certified |
03/06/2014 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Rulebook updated to reflect recent developments and to provide clarity. Letter dated November 5, 2013. Amended Rulebook will be effective November 21, 2013. |
11/05/2013 |
Certified |
11/21/2013 |
|
1 |
| TDERIV |
trueEX LLC Rule Amendments, Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-07S |
04/09/2014 |
Certified |
04/24/2014 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Updated its Rulebook to reflect recent developments and to provide clarity. Effective June 30, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| INFXSEF |
INFX SEF, Inc. - Amendments to Rulebook: incorporated requested changes by Commission staff - Notice 13-06(a) (Letter dated December 20, 2013) |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| GTX |
GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| TPSEF |
Updates to the tpSEF Inc. Risk Mitigation Procedures |
04/13/2020 |
Certified |
04/27/2020 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC Submission #13-0012 -- Amendment to Rule 507(c) Matching of Orders |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| TPSEF |
tpSEF Inc. Rulebook Amendments - Submission #14-03R - July 1, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| CBOESEF |
Introduction of second SEF Trading System in LD4. |
05/02/2023 |
Certified |
05/16/2023 |
|
1 |
| GFISEF |
CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA |
07/24/2023 |
Certified |
08/07/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (Amend December 9 Rulebook Certification) Letter dated December 19, 2013 2013-R-10A |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| ICE SEF |
ICE Swap Trade LLC - Rule Amendment - Amended Rulebook Submission #14-18 Effective June 27, 2014 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
| GFISEF |
Various Rulebook amendments |
12/23/2014 |
Withdrawn |
01/05/2015 |
|
1 |
| BGC |
The attached amendments are made in response to suggestions and guidance from staff. |
08/31/2015 |
Certified |
09/15/2015 |
|
1 |
| TDERIV |
trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker |
07/25/2023 |
Certified |
08/08/2023 |
|
1 |
| GFISEF |
Holiday Closures |
12/23/2014 |
Certified |
01/08/2015 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| TDERIV |
Changes to Trading Hours on the SEF Trading System. PTC system closes at 5 pm Eastern time effective May 1, 2019. |
05/10/2019 |
Notified |
05/10/2019 |
|
1 |
| CBOESEF |
Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. |
07/13/2020 |
Certified |
07/27/2020 |
|
1 |
| TDERIV |
Policies and Procedures regarding Post-Trade Allocation of Bunched Orders. TRUSEF #2013-18 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| CMSEF |
SEF Rulebook Amendment Certification |
07/20/2015 |
Withdrawn |
07/28/2015 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
03/27/2017 |
Certified |
04/10/2017 |
|
1 |
| NEXSEF |
Amendments to Quote Fill Ratios for Certain Currency Pairs and Issuance of NEX SEF Market Regulation Advisory Notice 2021-03 |
06/01/2021 |
Certified |
06/15/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual |
01/05/2022 |
Certified |
01/20/2022 |
|
1 |
| GFISEF |
GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M |
06/18/2014 |
Certified |
07/03/2014 |
|
1 |
| BSEF |
Rulebook amendment |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| 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 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| CMESEF |
Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) |
12/03/2015 |
Certified |
12/17/2015 |
|
1 |
| CMESEF |
Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. |
07/11/2018 |
Certified |
07/25/2018 |
|
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 |
| TWSEF |
TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| BSEF |
Notice to Participants |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| GFISEF |
Rulebook Amendments - GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| CMSEF |
SEF Rule Amendment |
08/19/2016 |
Certified |
09/02/2016 |
|
1 |
| TDERIV |
notification of non-substantive amendments. |
06/18/2017 |
Notified |
06/18/2017 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC - Rule Amendment - Revised Error Trade Policy - Submission 14-12 |
04/14/2014 |
Certified |
04/29/2014 |
|
0 |
| BSEF |
Bloomberg SEF LLC - Amendment to Form SEF and Related Request for Freedom of Information Act Confidential Treatment (November 26, 2013) |
11/27/2013 |
Certified |
12/13/2013 |
|
0 |
