| CBOESEF |
Amendments to Rules 515 and 606 to conform those rules with NAL 14-118, Expiring December 15, 2015. |
09/30/2014 |
Certified |
10/15/2014 |
|
1 |
| CBOESEF |
Bats Hotspot SEF is amending its rulebook to (a) more closely align its disciplinary procedures with those of its affiliate, CBOE Futures Exchange LLC, and (b) make certain other changes relating to the trading of non-deliverable forwards. |
08/25/2017 |
Certified |
09/11/2017 |
|
3 |
| CBOESEF |
Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. |
05/07/2018 |
Certified |
05/21/2018 |
|
1 |
| CBOESEF |
Amendments to Rules 523, 706, 720, 807, 904, 905 and various definitions to correct typographical errors and clarify definitions. |
09/30/2014 |
Certified |
10/15/2014 |
|
1 |
| CBOESEF |
Rule amendments regarding trading protocols and scope of disciplinary proceedings |
01/15/2015 |
Certified |
01/30/2015 |
|
1 |
| CBOESEF |
Rule filing to (a) change the name of Bats Hotspot SEF LLC to Cboe SEF, LLC, and (b) make certain other changes as more fully set forth in the submission. |
10/17/2017 |
Certified |
10/30/2017 |
|
1 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
(1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. |
03/17/2022 |
Certified |
03/31/2022 |
|
2 |
| 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 |
| CBOESEF |
Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. |
08/06/2018 |
Certified |
08/20/2018 |
|
1 |
| CBOESEF |
Notice to Participants related to amendments made to Rule 318. |
05/15/2015 |
Certified |
06/01/2015 |
|
1 |
| CBOESEF |
Amendments to reflect the terms of the prohibition of the practice of post-trade name give-up in accordance with Commission regulation 37.9(d), and elimination of minimum Notional Amount for Contracts executed on Cboe SEF. |
11/06/2020 |
Certified |
11/23/2020 |
|
1 |
| CBOESEF |
Bats Hotspot SEF has revised its rulebook in order to remove interest rate swaps, add non-deliverable forwards and reflect changes to governance and disciplinary processes resulting from ownership changes. |
04/21/2017 |
Certified |
05/05/2017 |
|
2 |
| CBOESEF |
Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. |
09/17/2018 |
Certified |
10/01/2018 |
|
1 |
| CBOESEF |
Amendment to Exhibit A to Form SEF |
10/18/2022 |
Certified |
11/01/2022 |
|
1 |
| CBOESEF |
Rules amendments to provide (a)for use of Javelin systems to communicate bids and offers to Javelin to insure compliance with Reg 37.9(b) and (b) state in rulebook that bid and offers in voice order book will be disclosed to all market participants. |
05/21/2015 |
Certified |
06/05/2015 |
|
1 |
| CBOESEF |
Rule amendments related to new pre-trade credit check functionality for Block Trades. |
02/25/2015 |
Certified |
03/11/2015 |
|
1 |
| CBOESEF |
Rule amendments related to Phase 1 Questions |
10/16/2015 |
Certified |
10/30/2015 |
|
1 |
| CBOESEF |
Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting |
10/16/2015 |
Certified |
10/30/2015 |
|
3 |
| CBOESEF |
Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. |
12/09/2016 |
Certified |
12/23/2016 |
|
2 |
| CBOESEF |
Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 |
04/04/2014 |
Certified |
04/19/2014 |
|
1 |
| CBOESEF |
Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. |
07/21/2014 |
Certified |
08/04/2014 |
|
3 |
| CBOESEF |
Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 |
06/09/2014 |
Certified |
06/24/2014 |
|
1 |
| CBOESEF |
Introduction of Order Operator ID and amendments to Authorized Trader registration. |
05/31/2023 |
Certified |
06/14/2023 |
|
1 |
| CBOESEF |
Javelin SEF, LLC - New Fee Schedule - Submission #14-07 |
06/10/2014 |
Certified |
06/25/2014 |
|
0 |
| CBOESEF |
Rule Amendment related to CFTC No-Action Letter 16-84 |
06/16/2016 |
Certified |
06/30/2016 |
|
3 |
| CBOESEF |
(1) clarify plans relating to Market Maker program and (2) change the Order Review Timeframe in respect of the SEF Order Book and the Full Amount Platform from 70 milliseconds to 35 milliseconds |
02/18/2022 |
Certified |
03/07/2022 |
|
1 |
| CBOESEF |
Rule amendments related to Phase 3 and 4 Questions, Part 43 and 45 Questions, corrections of typographical errors, and clarification of product specifications. |
12/29/2015 |
Certified |
01/13/2016 |
|
1 |
| CBOESEF |
Rule amendment made provide more flexibility in the types of records a principal must retain to document trading authorization. Rule amendments made to conform definition of Sponsored Person with prior amendments to Sponsored Access. |
04/10/2015 |
Certified |
04/24/2015 |
|
1 |
| CBOESEF |
Javelin SEF amended Rules 203, 311, 313, 408, 504,..., 727. Submission No. 14-04 March 21, 2014 |
03/21/2014 |
Certified |
04/05/2014 |
|
1 |
| CBOESEF |
Javelin SEF, LLC Rule Amendment Submission 13-07 - Amending its Rulebook based upon comments received from participants and its experience since it began trading operations. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| CBOESEF |
Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 |
12/16/2013 |
Certified |
01/01/2014 |
|
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 |
| CBOESEF |
Javelin SEF Holiday Schedule for 2013 - 2014 |
11/21/2013 |
Certified |
12/07/2013 |
|
1 |
| CBOESEF |
Javelin SEF Amendments to its Rulebook: Rules 405, 512 and 520. Submission No. 14-03 Letter dated February 11, 2014 |
02/11/2014 |
Certified |
02/27/2014 |
|
1 |
| CBOESEF |
Introduction of second SEF Trading System in LD4. |
05/02/2023 |
Certified |
05/16/2023 |
|
1 |
| CBOESEF |
Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. |
07/13/2020 |
Certified |
07/27/2020 |
|
1 |
| CBOESEF |
The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. |
03/22/2023 |
Certified |
04/05/2023 |
|
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 |
| BSEF |
Product-Related Amendments to the BSEF LLC Rulebook |
06/15/2023 |
Certified |
06/30/2023 |
|
1 |
| BSEF |
Amended Rulebook in response to comments and questions received from Commission staff and potential users of BSEF's swap execution facility. |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective June 21, 2014 |
06/20/2014 |
Certified |
07/08/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amendment to Form SEF and Related Request for Freedom of Information Act Confidential Treatment (November 26, 2013) |
11/27/2013 |
Certified |
12/13/2013 |
|
0 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the CFTC, Bloomberg SEF LLC hereby notifies the CFTC that it has amended its Rulebook. The amended Rulebook will become effective on June 22, 2015. |
06/08/2015 |
Certified |
06/22/2015 |
|
1 |
