| LGX |
Amended Operations Manual |
10/18/2017 |
Certified |
11/01/2017 |
|
4 |
| MKAXSEF |
Amended MarketAxess application for registration as a SEF. (September 30, 2013) |
09/30/2013 |
Certified |
07/29/2014 |
|
2 |
| MKAXSEF |
Amended MarketAxess application for registration as a SEF. (October 17, 2013) |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| 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 |
| ICE SEF |
Amended its SEF Fee Schedule ICE SEF Submission #14-03 |
02/21/2014 |
Withdrawn |
02/27/2014 |
|
1 |
| BSEF |
Amended its Rulebook in response to comments and questions; and to add rules regarding methods of using BSEF's SEF. BSEF #2013-R-11 |
01/30/2014 |
Certified |
02/14/2014 |
|
1 |
| BSEF |
Amended governance documentation (Operating Agreement and Information About Board of Directors) |
05/22/2020 |
Certified |
06/05/2020 |
|
1 |
| ICAPSEF |
Amended Form SEF pursuant to Regulation 37.3(b)(3) |
08/11/2016 |
Certified |
08/25/2016 |
|
5 |
| ICAPSEF |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
| IGDL |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
| TWSEF |
Amended Fees Schedules |
09/12/2016 |
Certified |
09/26/2016 |
|
3 |
| TWSEF |
Amended Fee Schedule for CAD Swaps for API Participants |
11/28/2016 |
Certified |
12/12/2016 |
|
1 |
| DWSEF |
Amended Fee Schedule |
06/15/2017 |
Certified |
06/29/2017 |
|
1 |
| NEXSEF |
Amended Fee Program |
07/18/2019 |
Certified |
08/01/2019 |
|
2 |
| NEXSEF |
Amended Fee Program |
08/03/2018 |
Certified |
08/17/2018 |
|
2 |
| NEXSEF |
Amended Fee Program |
07/17/2017 |
Certified |
07/31/2017 |
|
2 |
| NEXSEF |
Amended Fee Program |
08/08/2017 |
Certified |
08/22/2017 |
|
2 |
| ICAPSEF |
Amended fee card and discount program documents. |
04/12/2017 |
Certified |
04/26/2017 |
|
2 |
| IGDL |
Amended Fee Card |
10/17/2014 |
Certified |
10/31/2014 |
|
2 |
| IGDL |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |
| ICAPSEF |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |
| IGDL |
Amended Facility Rulebook and Trading Privilege Holder Agreement |
11/07/2014 |
Certified |
11/24/2014 |
|
1 |
| NEXSEF |
Amended Facility Rulebook |
07/17/2019 |
Certified |
07/31/2019 |
|
6 |
| IGDL |
Amended Facility Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
| ICAPSEF |
Amended EBS Trading Protocol and Rules 202, 208 and 315 |
12/11/2015 |
Certified |
12/28/2015 |
|
4 |
| DWSEF |
Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP |
07/22/2016 |
Certified |
08/05/2016 |
|
6 |
| DWSEF |
Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. |
11/17/2014 |
Certified |
12/02/2014 |
|
4 |
| DWSEF |
Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. |
06/09/2015 |
Certified |
06/23/2015 |
|
6 |
| DWSEF |
Amended DW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
| DWSEF |
Amended DW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
| DWSEF |
Amended DW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
| BSEF |
Amended Compliance Manual (BSEF-2018-R-08) |
11/01/2018 |
Certified |
11/16/2018 |
|
2 |
| BSEF |
Amended Compliance Manual |
04/02/2018 |
Certified |
04/16/2018 |
|
2 |
| ICE SEF |
Amended Block Trade FAQ |
12/19/2017 |
Notified |
12/19/2017 |
|
4 |
| AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
02/24/2023 |
Certified |
03/10/2023 |
|
3 |
| AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
11/29/2023 |
Certified |
12/13/2023 |
|
3 |
| SWAPX |
Advisory Notices to SwapEx Market Participants |
01/20/2015 |
Certified |
02/03/2015 |
|
1 |
| SWAPX |
Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". |
06/03/2019 |
Certified |
06/17/2019 |
|
1 |
| NEXSEF |
Adoption of New Rule 318 ("Post-Trade Anonymity") |
11/04/2020 |
Certified |
11/19/2020 |
|
3 |
| CMESEF |
Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
| CMESEF |
Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 |
02/12/2015 |
Certified |
02/27/2015 |
|
1 |
| CMESEF |
Adoption of CME SEF Recordkeeping and Reporting Policy |
01/28/2015 |
Certified |
02/11/2015 |
|
1 |
| ICE SEF |
Administrative edits to IST Rulebook |
02/15/2021 |
Notified |
02/15/2021 |
|
4 |
| ICE SEF |
Administrative changes to Rulebook |
05/14/2021 |
Notified |
05/14/2021 |
|
4 |
| AEGIS |
Administrative changes to Participant Agreement and Market Participant Addendum. |
01/27/2023 |
Notified |
01/27/2023 |
|
2 |
| ICE SEF |
Adjustment to ICE Swap Trade Trading Hours |
03/30/2021 |
Notified |
03/30/2021 |
|
4 |
| ISBV |
Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated |
04/29/2024 |
Certified |
05/13/2024 |
|
4 |
| GFISEF |
Addition of Addendum A to Fee Schedule |
05/13/2015 |
Certified |
05/28/2015 |
|
2 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker |
08/01/2023 |
Certified |
08/15/2023 |
|
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 |
