| CBOESEF |
Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 |
12/16/2013 |
Certified |
01/01/2014 |
|
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 |
| GFISEF |
GFI Swaps Exchange LLC Submission #13-0008 - Rulebook Amendments (December 10, 2013) |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: response to comments and questions received from potential users of BSEF's swap execution facility. (Letter dated December 9, 2013) 2013-R-10 |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
| MKAXSEF |
Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
| ICAPSEF |
ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 |
12/06/2013 |
Certified |
12/21/2013 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: amended certain contracts it submitted to the Commission on November 1, 2013. (Letter dated December 5, 2013) 2013-R-8 |
12/06/2013 |
Certified |
12/21/2013 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC - Rule Amendment - Amended Rulebook Submission 13-09 (Letter dated December 4, 2013) |
12/05/2013 |
Certified |
12/20/2013 |
|
1 |
| GFISEF |
Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 |
12/05/2013 |
Certified |
12/20/2013 |
|
1 |
| MKAXSEF |
Updating its Rulebook to reflect recent developments and to provide clarity. Letter dated December 11, 2013 |
12/11/2013 |
Withdrawn |
12/20/2013 |
|
1 |
| SWAPX |
Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 |
12/04/2013 |
Certified |
12/19/2013 |
|
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 |
| 360T |
360 Trading Networks, Inc. amendment to Form SEF |
11/27/2013 |
Certified |
12/13/2013 |
|
0 |
| RADSEF |
TeraExchange, LLC - Amended Rulebook Submission 2013-01 |
11/26/2013 |
Certified |
12/12/2013 |
|
1 |
| GFISEF |
Amendments to Rule 509(c) - GFISEF Submission #13-0005 |
11/26/2013 |
Certified |
12/12/2013 |
|
1 |
| GFISEF |
Modifying the Exchange's Fee Schedule. GFISEF Submission #13-0004 |
11/26/2013 |
Certified |
12/12/2013 |
|
1 |
| 360T |
360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. |
11/26/2013 |
Certified |
12/12/2013 |
|
3 |
| ICE SEF |
Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 |
11/25/2013 |
Certified |
12/11/2013 |
|
0 |
| RF SEF |
Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 |
11/22/2013 |
Certified |
12/10/2013 |
|
1 |
| CBOESEF |
Javelin SEF Holiday Schedule for 2013 - 2014 |
11/21/2013 |
Certified |
12/07/2013 |
|
1 |
| TRAD |
Notification of Amendments to Tradition SEF, Inc. Rulebook and User Agreement. TRAD #13-0003 |
11/20/2013 |
Certified |
12/06/2013 |
|
0 |
| 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 |
| INFXSEF |
Amendments to Rulebook -- Notice 13-05 |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
| TPSEF |
Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
| SWAPX |
Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) |
11/15/2013 |
Certified |
12/03/2013 |
|
1 |
| TWSEF |
Notice to Participants that the SEF's US Dollar Interest Rate Swaps, Canadian Dollar Interest Rate Swaps and CDX markets will be closed on November 11, 2013. |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
| DWSEF |
DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
| INFXSEF |
Rulebook amended in order to incorporate rule changes based on Commission Staff guidance contained in Notice 13-66, client feedback and to clarify certain rules in the INFX SEF Rulebook. |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Submission of Bloomberg SEF's Financial Report. |
11/12/2013 |
Certified |
11/27/2013 |
|
0 |
| CBOESEF |
Javelin SEF LLC - Amendments to its Rulebook - Amended Rules 216, 505, 523, 706 (Submission No. 13-08) |
11/08/2013 |
Certified |
11/26/2013 |
|
1 |
| TPSEF |
tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. |
11/06/2013 |
Certified |
11/22/2013 |
|
0 |
| 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 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| SWAPX |
SwapEX LLC - Amendment to Application for Registration as a Swap Execution Facility, letter dated November 4, 2013. (amendments from its July 30, 2013 application) |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| TPSEF |
tpSEF Inc. Emergency Rule Certification letter dated November 1, 2013. Amended its Rulebook in response to Commission Letter No. 13-66, regarding the resubmission of swaps rejected for clearing. |
11/04/2013 |
Certified |
11/20/2013 |
|
1 |
| BGC |
BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) |
11/01/2013 |
Certified |
11/19/2013 |
|
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 |
| 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 |
| 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 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-04) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-05) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook, specifically the Definitions and Rules 204 and 312. (October 31, 2013) |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| TDERIV |
LCH trueEX Execution Venue Agreement |
10/30/2013 |
Certified |
11/15/2013 |
|
0 |
| BSEF |
Rulebook Amendments - Amending the October 17 Rulebook Certification to respond to comments from Commission staff. (2013R-6 10/29/13) |
10/29/2013 |
Certified |
11/14/2013 |
|
1 |
| SWAPX |
SwapEx, LLC amendment to its application for registration as a swap execution facility. (October 25, 2013) |
10/28/2013 |
Certified |
11/13/2013 |
|
0 |
| ICE SEF |
ICE Swap Trade, LLC Rule Amendment - Amended Rulebook Submission 13-07 The Rulebook will become effective on November 7, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| CBOESEF |
Javelin SEF, LLC Rule Amendment Submission 13-07 - Amending its Rulebook based upon comments received from participants and its experience since it began trading operations. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| INFXSEF |
INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| TPSEF |
tpSEF, Amendment to its Rulebook, as provided in Exhibit B (10-24-13) |
10/24/2013 |
Certified |
11/08/2013 |
|
1 |
