| BSEF |
Notification of Bloomberg SEF LLC's intention to release a Notice to Participants on September 11, 2015, which will provide guidance to Participants regarding Bloomberg SEF LLC's policy governing error trades. |
09/10/2015 |
Certified |
09/24/2015 |
|
1 |
| TRAD |
Notification of Amendments to Tradition SEF, Onc. Rulebook. TRAD #14-18 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
| TRAD |
Notification of Amendments to Tradition SEF, Inc. Rulebook and User Agreement. TRAD #13-0003 |
11/20/2013 |
Certified |
12/06/2013 |
|
0 |
| TRAD |
Notification of Amendments to Tradition SEF, Inc. Rulebook |
10/16/2020 |
Certified |
10/30/2020 |
|
5 |
| IGDL |
Notification of Amendments to Rulebook. |
01/29/2021 |
Certified |
02/12/2021 |
|
1 |
| TPSEF |
Notification of Amendments to Rulebook |
03/10/2021 |
Certified |
03/24/2021 |
|
1 |
| TPSEF |
Notification of Amendments to Rulebook |
01/29/2021 |
Certified |
02/12/2021 |
|
1 |
| DWSEF |
Notice to participants- SDR rewrite |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
| TWSEF |
Notice to Participants- Cleared Error Swaps- procedures and requirements |
08/22/2023 |
Certified |
09/06/2023 |
|
2 |
| 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 |
| CBOESEF |
Notice to Participants related to amendments made to Rule 318. |
05/15/2015 |
Certified |
06/01/2015 |
|
1 |
| BSEF |
Notice to Participants regarding trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. |
07/02/2018 |
Certified |
07/17/2018 |
|
1 |
| BSEF |
Notice to Participants regarding the lifting of a trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. |
07/02/2018 |
Certified |
07/17/2018 |
|
1 |
| TWSEF |
Notice to Participants re MAT / Agency MBS Package Transactions (4.20.15)Cover Letter re Notice to Participants (4.20.15) |
04/20/2015 |
Certified |
05/04/2015 |
|
2 |
| BSEF |
Notice to Participants informing Participants of certain amendments to Rule 301(e) (re: Trading Account information being kept up-to-date)and Rule 516.E(iv) (re: BSEF ability to cancel trades due to insufficient Trading Account information) |
08/08/2016 |
Certified |
08/22/2016 |
|
2 |
| TRAD |
Notice to Participants announcing revisions to Rulebook that update references to expired no action relief. |
12/03/2020 |
Certified |
12/17/2020 |
|
1 |
| BSEF |
Notice to Participants |
12/15/2016 |
Certified |
12/30/2016 |
|
1 |
| BSEF |
Notice to Participants |
01/14/2016 |
Certified |
01/29/2016 |
|
1 |
| BSEF |
Notice to Participants |
01/14/2016 |
Certified |
01/29/2016 |
|
1 |
| BSEF |
Notice to Participants |
06/28/2017 |
Certified |
07/13/2017 |
|
1 |
| BSEF |
Notice to Participants |
06/01/2017 |
Certified |
06/15/2017 |
|
1 |
| BSEF |
Notice to Participants |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| TRAD |
Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program |
06/12/2020 |
Certified |
06/26/2020 |
|
1 |
| TWSEF |
Notice to All Participants of TW SEF LLC:RFQ1 Treatment for MAT Swap Leg of Specified Package Transactions |
02/04/2015 |
Certified |
02/19/2015 |
|
2 |
| TDERIV |
Notice of change to execution fees charged to respondents trading on the trueEX Trading System. |
03/04/2019 |
Certified |
03/18/2019 |
|
3 |
| BGC |
Notice of BGC Derivative Markets, L.P. Claiming Relief Under CFTC Letter No. 13-62 October 8, 2013 (2013-01) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| TDERIV |
Non-substantive Rulebook Amendments |
09/21/2015 |
Notified |
09/21/2015 |
|
2 |
| TDERIV |
non-substantive rule changes |
04/11/2018 |
Notified |
04/11/2018 |
|
1 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective November 5, 2020. |
11/05/2020 |
Notified |
11/05/2020 |
|
1 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective November 1, 2020, and to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 28, 2020. |
10/29/2020 |
Notified |
10/29/2020 |
|
1 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. |
02/04/2021 |
Notified |
02/04/2021 |
|
1 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. |
02/11/2021 |
Notified |
02/11/2021 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook effective November 5, 2020. |
11/05/2020 |
Notified |
11/05/2020 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook effective February 12, 2021. |
02/04/2021 |
Notified |
02/04/2021 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook effective February 12, 2021. |
02/11/2021 |
Notified |
02/11/2021 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook and IGDL Compliance Manual, both effective as of November 1, 2020. |
10/29/2020 |
Notified |
10/29/2020 |
|
2 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook and Fee schedule, both effective as of July 1, 2022. |
07/01/2022 |
Notified |
07/01/2022 |
|
2 |
| TDERIV |
Non-substantive and typographical and grammatical rulebook revisions. |
07/22/2014 |
Certified |
08/05/2014 |
|
2 |
| BSEF |
Non-substantive amendment of rules to incorporate recent CFTC rule amendments which codified prior CFTC no-action relief |
02/16/2021 |
Notified |
02/16/2021 |
|
1 |
| SWAPX |
Non-substantive amendment of Rule 513(c) regarding Post-Trade Anonymity. |
06/30/2021 |
Notified |
06/30/2021 |
|
3 |
| DWSEF |
New Rule 419 to prohibit Post-Name Trade Give Up in accordance with 37.9(d) |
11/05/2020 |
Certified |
11/20/2020 |
|
6 |
| TWSEF |
New Fee Schedule for TW SEF |
06/16/2017 |
Certified |
06/30/2017 |
|
1 |
| RADSEF |
New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references |
11/03/2020 |
Certified |
11/18/2020 |
|
4 |
| TDERIV |
name change for GBP OIS floating rate index |
04/30/2018 |
Notified |
04/30/2018 |
|
1 |
| NEXSEF |
MRAN update for additional currency pairs |
10/21/2020 |
Certified |
11/04/2020 |
|
1 |
| BGC |
More detail regarding the Voice Work-Up trading process |
01/15/2016 |
Certified |
02/01/2016 |
|
1 |
| GFISEF |
Modifying the Exchange's Fee Schedule. GFISEF Submission #13-0004 |
11/26/2013 |
Certified |
12/12/2013 |
|
1 |
| TRAD |
Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program |
08/10/2020 |
Certified |
08/24/2020 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF LATAM EBS NDF Streaming Incentive Program |
02/11/2022 |
Certified |
02/28/2022 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Renewal of the LATAM EBS NDF Connectivity Incentive Program and Expiration of the EBS on-SEF UK/US Crossover Market Maker Program |
10/17/2023 |
Certified |
10/31/2023 |
|
2 |
