BSEF |
Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
BSEF |
Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) |
05/10/2023 |
Certified |
05/24/2023 |
|
1 |
CBOESEF |
Introduction of second SEF Trading System in LD4. |
05/02/2023 |
Certified |
05/16/2023 |
|
1 |
LATAM |
40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 |
04/04/2023 |
Certified |
04/18/2023 |
|
1 |
360T |
terminology update |
03/24/2023 |
Certified |
04/07/2023 |
|
7 |
TPSEF |
Amendments to the tpSEF Fee Schedule |
03/23/2023 |
Certified |
04/06/2023 |
|
2 |
CBOESEF |
Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. |
03/23/2023 |
Certified |
04/06/2023 |
|
2 |
CBOESEF |
The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. |
03/22/2023 |
Certified |
04/05/2023 |
|
2 |
SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
03/20/2023 |
Certified |
04/03/2023 |
|
1 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program |
03/14/2023 |
Certified |
03/28/2023 |
|
2 |
NEXSEF |
Amendments to NEX SEF Limited Rulebook and Compliance Manual |
03/13/2023 |
Certified |
03/27/2023 |
|
4 |
AEGIS |
Amendments to Rulebook and Participant Agreement. |
03/07/2023 |
Certified |
03/21/2023 |
|
4 |
SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
02/27/2023 |
Certified |
03/13/2023 |
|
1 |
AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
02/24/2023 |
Certified |
03/10/2023 |
|
3 |
TPSEF |
Amendments to the tpSEF Fee Schedule |
02/22/2023 |
Certified |
03/08/2023 |
|
2 |
BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook |
01/30/2023 |
Certified |
02/13/2023 |
|
1 |
AEGIS |
Administrative changes to Participant Agreement and Market Participant Addendum. |
01/27/2023 |
Notified |
01/27/2023 |
|
2 |
TPSEF |
Amendments to the tpSEF Rulebook as provided in Exhibit A |
01/25/2023 |
Certified |
02/08/2023 |
|
1 |
RADSEF |
Inclusion of Product Terms and Conditions |
12/21/2022 |
Certified |
01/06/2023 |
|
4 |
CBOESEF |
Update Fee Schedule |
12/15/2022 |
Certified |
12/30/2022 |
|
1 |
RF SEF |
RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). |
12/12/2022 |
Certified |
12/27/2022 |
|
2 |
BSEF |
Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) |
12/02/2022 |
Certified |
12/16/2022 |
|
1 |
CBOESEF |
The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
CBOESEF |
Implementation of market maker program. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
CBOESEF |
The Amendment will memorialize Cboe SEF's Statement of Commitment to the FX Global Code. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
TWSEF |
Market Participant Notice- SDR reporting |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
DWSEF |
Notice to participants- SDR rewrite |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. |
11/21/2022 |
Certified |
12/06/2022 |
|
2 |
AEGIS |
Amendments to Rulebook and Participant Agreement |
11/21/2022 |
Certified |
12/06/2022 |
|
4 |
BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) |
11/18/2022 |
Certified |
12/05/2022 |
|
1 |
LATAM |
40.6(a) certification of LatAm SEF Rulebook, version 1.12 |
11/16/2022 |
Certified |
12/01/2022 |
|
1 |
LGX |
40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. |
11/16/2022 |
Notified |
11/16/2022 |
|
1 |
CBOESEF |
Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
CBOESEF |
Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-05) |
11/03/2022 |
Certified |
11/18/2022 |
|
1 |
AEGIS |
Amendments to Exhibit N-1 Participant Agreement |
11/03/2022 |
Notified |
11/03/2022 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program |
10/28/2022 |
Certified |
11/14/2022 |
|
2 |
AEGIS |
The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. |
10/19/2022 |
Certified |
11/02/2022 |
|
6 |
CBOESEF |
Amendment to Exhibit A to Form SEF |
10/18/2022 |
Certified |
11/01/2022 |
|
1 |
AEGIS |
The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. |
10/14/2022 |
Certified |
10/28/2022 |
|
3 |
TWSEF |
TW SEF Fee Schedule Update |
10/11/2022 |
Certified |
10/25/2022 |
|
2 |
LGX |
Operations manual update reflecting process changes related to ACH deposits. |
10/11/2022 |
Certified |
10/25/2022 |
|
3 |
LGX |
Self certification of revisions to compliance manual. |
10/03/2022 |
Certified |
10/18/2022 |
|
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 |
AEGIS |
The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. |
09/22/2022 |
Certified |
10/06/2022 |
|
2 |
NEXSEF |
Amendments to the NEX SEF Limited Trading Participant Holder Agreement |
09/15/2022 |
Certified |
09/29/2022 |
|
2 |
BSEF |
Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) |
09/15/2022 |
Certified |
09/29/2022 |
|
1 |
AEGIS |
The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. |
09/13/2022 |
Certified |
09/27/2022 |
|
3 |
AEGIS |
Contract Position Accountability Levels Table |
08/30/2022 |
Certified |
09/14/2022 |
|
1 |