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 |
BSEF |
BSEF Rulebook Amendment |
02/21/2017 |
Certified |
03/07/2017 |
|
1 |
BSEF |
BSEF Compliance Manual Amendment |
02/21/2017 |
Certified |
03/07/2017 |
|
1 |
CMESEF |
Amendments to CME/CBOT/NYMEX/COMEX/SEF Rule 230. ("General") |
02/16/2017 |
Certified |
03/03/2017 |
|
1 |
IGDL |
Changes to SEF's rulebook |
02/08/2017 |
Certified |
02/23/2017 |
|
2 |
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 |
CMESEF |
Amendments to Rule 432. ("General Offenses") |
02/01/2017 |
Certified |
02/15/2017 |
|
1 |
CMESEF |
Amendments to Rule 574. ("Globex Access Restrictions") |
02/01/2017 |
Certified |
02/15/2017 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC is amending its Compliance Manual. |
01/17/2017 |
Certified |
01/31/2017 |
|
4 |
GFISEF |
Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. |
01/09/2017 |
Certified |
01/24/2017 |
|
1 |
ICAPSEF |
Amended Rulebook and Confidential Chapter 9 |
01/05/2017 |
Certified |
01/20/2017 |
|
4 |
TRAD |
Revisions to the StreamGlobal Platform Supplement |
12/21/2016 |
Certified |
01/06/2017 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. |
12/19/2016 |
Certified |
01/04/2017 |
|
5 |
BSEF |
Notice to Participants |
12/15/2016 |
Certified |
12/30/2016 |
|
1 |
ICAPSEF |
Amended Rulebook |
12/13/2016 |
Certified |
12/28/2016 |
|
3 |
IGDL |
Amended Rulebook |
12/13/2016 |
Certified |
12/28/2016 |
|
3 |
IGDL |
Fee Card and Discount Appendix amendment |
12/12/2016 |
Certified |
12/27/2016 |
|
2 |
TRAD |
Amendments to the tradition SEF Fee Schedule. |
12/12/2016 |
Certified |
12/27/2016 |
|
1 |
CBOESEF |
Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. |
12/09/2016 |
Certified |
12/23/2016 |
|
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 |
BSEF |
Rulebook Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
CMSEF |
Rule Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
BSEF |
Compliance Manual Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
4 |
BGC |
As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. |
11/29/2016 |
Certified |
12/13/2016 |
|
1 |
CMESEF |
Amendments to Chapter 4 ("Enforcement of Rules") |
11/29/2016 |
Certified |
12/13/2016 |
|
5 |
TWSEF |
Amended Fee Schedule for CAD Swaps for API Participants |
11/28/2016 |
Certified |
12/12/2016 |
|
1 |
ICAPSEF |
Revised exhibit to Rule 901 |
11/15/2016 |
Certified |
11/30/2016 |
|
2 |
ICAPSEF |
Revised Fee Card market maker program |
11/11/2016 |
Certified |
11/28/2016 |
|
2 |
MKAXSEF |
Rulebook changes to reflect recent developments and to provide clarity. |
11/09/2016 |
Certified |
11/25/2016 |
|
4 |
TDERIV |
self certification of fees for the SEF Trading System |
11/06/2016 |
Certified |
11/21/2016 |
|
1 |
ICAPSEF |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
IGDL |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
ICAPSEF |
Amended Rulebook to reflect NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
IGDL |
Amended Rulebook reflecting NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
TDERIV |
Amendments related to extension of No-Action letters relating to Block Trades and Package Transactions. In addition, rule amendments related to uncleared trades. |
11/01/2016 |
Certified |
11/16/2016 |
|
1 |
TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. |
10/27/2016 |
Certified |
11/10/2016 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. |
10/26/2016 |
Certified |
11/09/2016 |
|
4 |
DWSEF |
DW SEF Amended IRS Fee Schedule |
10/24/2016 |
Certified |
11/07/2016 |
|
1 |
BSEF |
Rulebook Amendment |
10/21/2016 |
Certified |
11/04/2016 |
|
1 |
TPSEF |
Supplement to Exhibit N to Form SEF |
10/11/2016 |
Certified |
10/25/2016 |
|
1 |
CBOESEF |
To prevent inconsistency with Rule 319 "Withdrawal of a Participant", and conform with market practice. |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
CMESEF |
Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
TWSEF |
Amended TW SEF Rulebook |
10/03/2016 |
Certified |
10/18/2016 |
|
4 |
TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached submission. |
10/03/2016 |
Certified |
10/18/2016 |
|
1 |
ICAPSEF |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
7 |
IGDL |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
3 |
LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
09/22/2016 |
Certified |
10/06/2016 |
|
1 |
LATAM |
Update to LatAM SEF Rule Book Version 1.5 |
09/22/2016 |
Certified |
10/06/2016 |
|
2 |