ICAPSEF |
Amended Rulebook |
10/10/2014 |
Certified |
10/27/2014 |
|
1 |
ICAPSEF |
Revised Rulebook |
05/28/2015 |
Certified |
06/11/2015 |
|
7 |
ICAPSEF |
Fee Card Amendment |
06/16/2016 |
Certified |
06/30/2016 |
|
2 |
ICAPSEF |
Revised Fee Schedule and New Market Maker Incentive Programs |
03/06/2015 |
Certified |
03/20/2015 |
|
2 |
ICAPSEF |
Revised Fee Card market maker program |
11/11/2016 |
Certified |
11/28/2016 |
|
2 |
ICAPSEF |
Revised Facility Rulebook |
09/09/2014 |
Certified |
09/23/2014 |
|
2 |
ICAPSEF |
Amended SEF Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
ICAPSEF |
Revised Facility Rulebook |
07/28/2014 |
Certified |
08/11/2014 |
|
3 |
ICAPSEF |
Revised Facility Rulebook |
07/28/2014 |
Certified |
08/11/2014 |
|
3 |
ICAPSEF |
Amended Rulebook |
12/13/2016 |
Certified |
12/28/2016 |
|
3 |
ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - Specifically Rules 204, 404, 503 and 506 ICAP 2014-R-6 |
07/11/2014 |
Certified |
07/25/2014 |
|
0 |
ICAPSEF |
Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. |
01/30/2015 |
Certified |
02/13/2015 |
|
3 |
ICAPSEF |
Amended Form SEF pursuant to Regulation 37.3(b)(3) |
08/11/2016 |
Certified |
08/25/2016 |
|
5 |
ICAPSEF |
Amendment to reflect NAL 16-58 |
06/28/2016 |
Certified |
07/13/2016 |
|
3 |
ICAPSEF |
Revised exhibit to Rule 901 |
11/15/2016 |
Certified |
11/30/2016 |
|
2 |
ICAPSEF |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
7 |
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 |
ICAPSEF |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
ICAPSEF |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
ICAPSEF |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |
GTX |
Amendment to Rulebook. |
04/07/2016 |
Certified |
04/21/2016 |
|
5 |
GTX |
Amendment to Fee schedule. |
02/10/2015 |
Certified |
02/25/2015 |
|
1 |
GTX |
Fee Schedule |
08/24/2017 |
Certified |
09/08/2017 |
|
1 |
GTX |
Rulebook Amendments |
07/11/2017 |
Certified |
07/25/2017 |
|
1 |
GTX |
Fee schedule Amendment |
03/27/2015 |
Certified |
04/09/2015 |
|
1 |
GTX |
Fee schedule Amendment |
10/22/2015 |
Certified |
11/05/2015 |
|
1 |
GTX |
Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. |
02/16/2018 |
Certified |
03/05/2018 |
|
1 |
GTX |
GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
GTX |
GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
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 |
GFISEF |
Certification that these rules comply with the Commodity Exchange Act and the Commission's regulations. The document includes a concise analysis of the operation, purpose and effect of each of the amended rules. |
10/19/2020 |
Certified |
11/02/2020 |
|
1 |
GFISEF |
Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU |
10/20/2020 |
Certified |
11/03/2020 |
|
1 |
GFISEF |
Withdrawal of Registration Submission #14-0012W |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
GFISEF |
GFI Swaps Submission #14-0008 - Amendments to Rules 101, 528, 529, 533 and 1101. March 27, 2014 |
03/27/2014 |
Certified |
04/11/2014 |
|
1 |
GFISEF |
Miscellaneous Rulebook amendments |
12/31/2014 |
Certified |
01/15/2015 |
|
4 |
GFISEF |
Various Rulebook Amendments |
11/11/2015 |
Certified |
11/25/2015 |
|
1 |
GFISEF |
Various Rulebook Amendments |
09/30/2015 |
Certified |
10/15/2015 |
|
2 |
GFISEF |
GFI Swaps Exchange LLC USD Interest Rate Swap Streaming Liquidity Market Maker Incentive Program. GFISEF #14-0001 |
02/05/2014 |
Withdrawn |
02/19/2014 |
|
1 |
GFISEF |
Publishing a revised Fee Schedule. GFISEF #14-0004 |
02/25/2014 |
Certified |
03/12/2014 |
|
1 |
GFISEF |
Matching Session Description |
09/30/2015 |
Certified |
10/15/2015 |
|
2 |
GFISEF |
GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 |
02/05/2014 |
Withdrawn |
02/19/2014 |
|
1 |
GFISEF |
Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
GFISEF |
40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
GFISEF |
Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 |
12/05/2013 |
Certified |
12/20/2013 |
|
1 |
GFISEF |
Various Rulebook Amendments |
08/14/2015 |
Certified |
08/28/2015 |
|
2 |
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 |
GFISEF |
GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 |
07/01/2014 |
Certified |
07/17/2014 |
|
1 |
GFISEF |
GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. |
07/03/2014 |
Certified |
07/19/2014 |
|
1 |
GFISEF |
Rulebook amendments |
12/14/2015 |
Certified |
12/29/2015 |
|
1 |