MKAXSEF |
MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. |
09/09/2014 |
Certified |
09/23/2014 |
|
4 |
SWAPX |
Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. |
06/02/2015 |
Certified |
06/16/2015 |
|
4 |
DWSEF |
DW SEF Rulebook Amendments |
04/11/2018 |
Certified |
04/25/2018 |
|
4 |
ICE SEF |
Adjustment to ICE Swap Trade Trading Hours |
03/30/2021 |
Notified |
03/30/2021 |
|
4 |
ICAPSEF |
Amended SEF Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
IGDL |
Amended Facility Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Block Trade FAQ in order to affect certain administrative/clerical revisions. |
03/23/2016 |
Certified |
04/06/2016 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions. |
02/01/2017 |
Certified |
02/15/2017 |
|
4 |
RADSEF |
Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions |
12/16/2020 |
Certified |
12/31/2020 |
|
4 |
TWSEF |
TW SEF LLC - Amended Rulebook |
12/01/2014 |
Certified |
12/15/2014 |
|
4 |
SWAPX |
Amendments to SwapEx Rulebook |
07/13/2015 |
Certified |
07/27/2015 |
|
4 |
IGDL |
Revised Rulebook and Confidential Chapter 9 |
05/16/2016 |
Certified |
05/31/2016 |
|
4 |
AEGIS |
Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule |
07/26/2022 |
Notified |
07/26/2022 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
ICE SEF |
Update to Board language |
07/08/2021 |
Notified |
07/08/2021 |
|
4 |
DWSEF |
DW SEF Amended Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
TDERIV |
Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
TWSEF |
Rulebook updates in response to rule 411 |
09/17/2021 |
Certified |
10/01/2021 |
|
4 |
NEXSEF |
Amendments to NEX SEF Limited Rulebook and Compliance Manual |
03/13/2023 |
Certified |
03/27/2023 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. |
07/17/2015 |
Certified |
07/31/2015 |
|
4 |
ICE SEF |
Administrative edits to IST Rulebook |
02/15/2021 |
Notified |
02/15/2021 |
|
4 |
RADSEF |
Correct reference or clarify Rules 536 and 537Add product terms and conditions |
10/29/2021 |
Certified |
11/15/2021 |
|
4 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
02/17/2016 |
Withdrawn |
02/24/2016 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC - weekly notification of rule changes. |
11/14/2018 |
Notified |
11/14/2018 |
|
4 |
TRAD |
Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. |
03/18/2019 |
Certified |
04/01/2019 |
|
4 |
ICE SEF |
Updating a reference from an expiring CFTC No-Action Letter to the current iteration |
11/18/2020 |
Notified |
11/18/2020 |
|
4 |
ICE SEF |
The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. |
09/20/2017 |
Certified |
10/04/2017 |
|
4 |
LGX |
LedgerX revised Participant Agreement |
05/28/2021 |
Certified |
06/14/2021 |
|
4 |
ICAPSEF |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
IGDL |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
TDERIV |
Self-certification of rule amendments |
08/07/2014 |
Certified |
08/21/2014 |
|
4 |
IGDL |
Amended SEF Rulebook to reflect updated NAL references |
06/20/2017 |
Certified |
07/05/2017 |
|
3 |
ICAPSEF |
Amended Rulebook to reflect updated NAL references |
06/20/2017 |
Certified |
07/05/2017 |
|
3 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. |
11/06/2015 |
Certified |
11/23/2015 |
|
3 |
NEXSEF |
Correction of typographical error in Rule 315 |
06/08/2018 |
Notified |
06/08/2018 |
|
3 |
NEXSEF |
Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. |
04/21/2020 |
Certified |
05/05/2020 |
|
3 |
LGX |
LedgerX Revised Rulebook |
06/10/2021 |
Certified |
06/24/2021 |
|
3 |
ISBV |
Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives |
09/30/2022 |
Certified |
10/14/2022 |
|
3 |
CMSEF |
SEF Rulebook Amendment |
07/31/2015 |
Certified |
08/14/2015 |
|
3 |
TRAD |
Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. |
04/01/2019 |
Certified |
04/15/2019 |
|
3 |
LGX |
Self certification of revisions to compliance manual. |
10/03/2022 |
Certified |
10/18/2022 |
|
3 |
RADSEF |
Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. |
04/15/2016 |
Certified |
04/29/2016 |
|
3 |
IGDL |
Revised Market Maker Program Rulebook |
09/17/2014 |
Certified |
10/01/2014 |
|
3 |
TWSEF |
Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols |
01/15/2016 |
Certified |
02/01/2016 |
|
3 |
LGX |
Revised operations manual |
11/14/2017 |
Certified |
11/29/2017 |
|
3 |
TRAD |
Amendment to Tradition SEF, Inc. Fee Schedule |
09/06/2018 |
Certified |
09/20/2018 |
|
3 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) |
10/30/2020 |
Certified |
11/16/2020 |
|
3 |
RADSEF |
Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. |
08/25/2016 |
Certified |
09/09/2016 |
|
3 |
TRAD |
Amendments to Tradition SEF Rulebook |
08/25/2016 |
Certified |
09/09/2016 |
|
3 |