| BSEF |
Rulebook Amendment |
10/21/2016 |
Certified |
11/04/2016 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-03) |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| BSEF |
Rulebook Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
| BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Rulebook |
07/25/2018 |
Certified |
08/08/2018 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) |
06/28/2023 |
Certified |
07/13/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2021-R-09 (Notice to Participants) |
11/24/2021 |
Certified |
12/09/2021 |
|
1 |
| BSEF |
Compliance Manual Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
4 |
| BSEF |
CFTC Regulation 40.6(a) Certification - Amendment to the Bloomberg SEF LLC Rulebook - BSEF Submission No. 2024-R-06 |
05/16/2024 |
10 Day Review |
05/16/2024 |
|
1 |
| BSEF |
Notice to Participants |
06/01/2017 |
Certified |
06/15/2017 |
|
1 |
| BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) |
07/26/2018 |
Certified |
08/09/2018 |
|
2 |
| BSEF |
Amendment to BSEF Rule 533 |
09/02/2016 |
Certified |
09/19/2016 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF. March 31, 2014 BSEF #2014-R-2 |
04/01/2014 |
Certified |
04/16/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Initial Administrator(s) Authorization Form (BSEF-2021-R-04) |
03/15/2021 |
Certified |
03/29/2021 |
|
2 |
| BSEF |
Rulebook Amendment |
08/02/2019 |
Certified |
08/16/2019 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook. |
05/13/2015 |
Certified |
05/28/2015 |
|
1 |
| BSEF |
Bloomberg SEF LLC hereby submits its self-certification of the BSEF Rulebook, to be effective on September 24, 2015. |
09/09/2015 |
Certified |
09/23/2015 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") |
05/08/2018 |
Certified |
05/22/2018 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") |
05/08/2018 |
Certified |
05/22/2018 |
|
1 |
| BSEF |
BSEF Compliance Manual |
02/21/2019 |
Certified |
03/07/2019 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby submits to the Commission certain rule amendment. |
08/01/2016 |
Certified |
08/15/2016 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. |
01/16/2015 |
Certified |
02/02/2015 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: amended certain contracts it submitted to the Commission on November 1, 2013. (Letter dated December 5, 2013) 2013-R-8 |
12/06/2013 |
Certified |
12/21/2013 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that it has amended its Compliance Manual. |
08/03/2016 |
Certified |
08/17/2016 |
|
5 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: response to comments and questions received from potential users of BSEF's swap execution facility. (Letter dated December 9, 2013) 2013-R-10 |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
| 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 |
| BSEF |
BSEF Rulebook Amendment |
05/12/2016 |
Certified |
05/26/2016 |
|
2 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). |
08/14/2023 |
Certified |
08/28/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) |
12/02/2022 |
Certified |
12/16/2022 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. |
09/28/2023 |
Certified |
10/13/2023 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has amended itsRulebook. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
| BSEF |
Pursuant to Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
| BSEF |
Rulebook amendment |
04/21/2017 |
Certified |
05/05/2017 |
|
1 |
| BSEF |
Compliance Manual amendment |
04/21/2017 |
Certified |
05/05/2017 |
|
1 |
| BSEF |
Addendum to BSEF-NFA Regulatory Services Agreement |
09/22/2020 |
Certified |
10/06/2020 |
|
2 |
| BSEF |
Amended Compliance Manual (BSEF-2018-R-08) |
11/01/2018 |
Certified |
11/16/2018 |
|
2 |
| BSEF |
Bloomberg SEF LLC hereby notifies the CFTC that it wishes to amend the May 13 Rulebook Certification to respond to certain comments received from CFTC staff. We understand that the amended Rulebook will become effective on May 28, 2015. |
05/22/2015 |
Certified |
06/08/2015 |
|
1 |
| BSEF |
Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it hasamended its Rulebook. The amended Rulebook will become effective on April 13, 2018. |
03/28/2018 |
Certified |
04/11/2018 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. |
02/23/2024 |
Certified |
03/08/2024 |
|
1 |
| BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook |
02/09/2022 |
Certified |
02/24/2022 |
|
1 |
| BSEF |
The Rulebook of Bloomberg SEF LLC ("Bloomberg SEF") has been amended in response to comments and questions received from the staff of the Commodity Futures Trading Commission, as well as potential users of Bloomberg SEF's swap execution facility. |
10/08/2014 |
Certified |
10/23/2014 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF - effective June 21, 2014 BSEF 2014-R-3 |
06/06/2014 |
Certified |
06/21/2014 |
|
1 |
| BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
| BSEF |
Amended governance documentation (Operating Agreement and Information About Board of Directors) |
05/22/2020 |
Certified |
06/05/2020 |
|
1 |
| BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
| BSEF |
Amended Compliance Manual |
04/02/2018 |
Certified |
04/16/2018 |
|
2 |
| BSEF |
Rulebook Amendment |
04/27/2017 |
Certified |
05/11/2017 |
|
1 |
| BSEF |
Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. |
09/13/2013 |
Certified |
09/28/2013 |
|
5 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. |
05/31/2023 |
Certified |
06/14/2023 |
|
1 |
