DWSEF |
Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP |
07/22/2016 |
Certified |
08/05/2016 |
|
6 |
DWSEF |
DW SEF Amended IRS Fee Schedule |
10/24/2016 |
Certified |
11/07/2016 |
|
1 |
DWSEF |
DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
DWSEF |
SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 |
05/22/2014 |
Certified |
06/07/2014 |
|
1 |
DWSEF |
DW SEF Rulebook Amendments |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
DWSEF |
Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions |
01/16/2015 |
Certified |
02/02/2015 |
|
1 |
DWSEF |
DW SEF Rulebook Amendments |
01/16/2015 |
Certified |
02/02/2015 |
|
4 |
DWSEF |
DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) |
12/16/2015 |
Certified |
12/31/2015 |
|
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 |
DWSEF |
Amended DW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
DWSEF |
DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
DWSEF |
DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
DWSEF |
DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) |
12/21/2015 |
Certified |
01/06/2016 |
|
1 |
DWSEF |
Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
DWSEF |
Rule book amendments in response to recent changes to the SEF rules by the CFTC |
02/02/2021 |
Certified |
02/17/2021 |
|
3 |
DWSEF |
DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
DWSEF |
DW SEF LLC Amendment of Rule 901 (Swap Specifications) |
12/09/2021 |
Certified |
12/23/2021 |
|
3 |
DWSEF |
DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) |
11/30/2015 |
Certified |
12/14/2015 |
|
4 |
DWSEF |
Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. |
10/16/2014 |
Certified |
10/30/2014 |
|
2 |
DWSEF |
DW SEF Rulebook Amendments |
04/11/2018 |
Certified |
04/25/2018 |
|
4 |
DWSEF |
Revised and amended Rulebook for DW SEF LLC. |
07/29/2014 |
Certified |
08/12/2014 |
|
13 |
DWSEF |
Amended Fee Schedule |
06/15/2017 |
Certified |
06/29/2017 |
|
1 |
DWSEF |
DW SEF Amended Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
DWSEF |
Rulebook updates in response to rule 411 |
09/17/2021 |
Certified |
10/01/2021 |
|
3 |
DWSEF |
DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) |
01/07/2016 |
Certified |
01/22/2016 |
|
2 |
DWSEF |
Emergency Rule Certification - Notice to DW SEF Participants - no-action relief relating to onboarding and pre-trade screening of orders |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
DWSEF |
Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
DWSEF |
Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
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 |
DWSEF |
Fee Updates |
06/02/2021 |
Certified |
06/16/2021 |
|
2 |
CMSEF |
SEF Rulebook Amendment |
04/05/2016 |
Certified |
04/19/2016 |
|
1 |
CMSEF |
Amendment to SEF Rulebook |
02/24/2016 |
Certified |
03/09/2016 |
|
1 |
CMSEF |
Rulebook Amendments |
01/11/2022 |
Certified |
01/26/2022 |
|
2 |
CMSEF |
SEF Rulebook Amendment |
07/31/2015 |
Certified |
08/14/2015 |
|
3 |
CMSEF |
SEF Rulebook Amendment |
04/28/2016 |
Certified |
05/12/2016 |
|
1 |
CMSEF |
Rule Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
CMSEF |
Amendment to Rule 406 |
09/07/2016 |
Certified |
09/21/2016 |
|
2 |
CMSEF |
Rulebook Amendments |
06/21/2021 |
Certified |
07/06/2021 |
|
1 |
CMSEF |
Update of Exhibit N |
09/08/2016 |
Certified |
09/22/2016 |
|
1 |
CMSEF |
Amendment and revision to rulebook. |
07/13/2017 |
Certified |
07/27/2017 |
|
1 |
CMSEF |
SEF Rulebook Amendment Certification |
06/29/2015 |
Certified |
07/14/2015 |
|
1 |
CMSEF |
SEF Rulebook Amendment |
08/03/2016 |
Certified |
08/17/2016 |
|
1 |
CMSEF |
Rule Certification |
11/06/2020 |
Certified |
11/23/2020 |
|
2 |
CMSEF |
SEF Rule Amendment |
08/04/2016 |
Certified |
08/18/2016 |
|
1 |
CMSEF |
Rule amendments regarding settlement |
04/01/2022 |
Certified |
04/15/2022 |
|
1 |
CMSEF |
SEF Rulebook Amendment Certification |
07/20/2015 |
Withdrawn |
07/28/2015 |
|
1 |
CMSEF |
SEF Rule Amendment |
08/19/2016 |
Certified |
09/02/2016 |
|
1 |
CMESEF |
Amendments to CME/CBOT/NYMEX/COMEX and CME SEF Rule 537 |
07/29/2015 |
Certified |
08/12/2015 |
|
2 |
CMESEF |
Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
CMESEF |
Amendments to CME/CBOT/NYMEX/COMEX/SEF Rule 230. ("General") |
02/16/2017 |
Certified |
03/03/2017 |
|
1 |