BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-03) |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
SWAPX |
Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. |
06/16/2021 |
Certified |
07/01/2021 |
|
4 |
TDERIV |
Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S |
06/30/2014 |
Certified |
07/16/2014 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended, and Section 40.6(a) of the regulations of the CFTC, tpSEF Inc. hereby notifies the CFTC that it wishes to amend its Rulebook and Risk Mitigation Procedures. |
04/29/2016 |
Certified |
05/13/2016 |
|
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 |
CBOESEF |
Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. |
05/08/2020 |
Certified |
05/22/2020 |
|
1 |
LGX |
LedgerX Amended Rulebook |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
LGX |
Operations manual update reflecting process changes related to ACH deposits. |
10/11/2022 |
Certified |
10/25/2022 |
|
3 |
TRAD |
Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. |
03/23/2015 |
Certified |
04/06/2015 |
|
2 |
MKAXSEF |
MarketAxess SEF Corporation has updated its Rulebook and Exhibit Q-2 to reflect recent developments and provide clarity. |
11/23/2015 |
Certified |
12/08/2015 |
|
6 |
NEXSEF |
Amendment to Facility Rulebook |
05/31/2017 |
Certified |
06/14/2017 |
|
7 |
LGX |
Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. |
10/19/2018 |
Certified |
11/02/2018 |
|
1 |
TRAD |
Notice to Participants announcing revisions to Rulebook that update references to expired no action relief. |
12/03/2020 |
Certified |
12/17/2020 |
|
1 |
TRAD |
Amendment to the Tradition SEF fee schedule. |
03/23/2015 |
Certified |
04/06/2015 |
|
2 |
TRAD |
Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program |
06/12/2020 |
Certified |
06/26/2020 |
|
1 |
TWSEF |
TW SEF Rulebook Amendments |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
BSEF |
Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) |
06/28/2023 |
Certified |
07/13/2023 |
|
1 |
DWSEF |
SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 |
05/22/2014 |
Certified |
06/07/2014 |
|
1 |
TDERIV |
Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR |
06/30/2014 |
Certified |
07/16/2014 |
|
1 |
DWSEF |
DW SEF Rulebook Amendments |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
IGDL |
Amendments to Fee Card |
06/16/2015 |
Certified |
06/30/2015 |
|
1 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
10/08/2015 |
Certified |
10/23/2015 |
|
2 |
NEXSEF |
Revised Fee Program |
03/16/2018 |
Certified |
03/30/2018 |
|
2 |
LGX |
LedgerX Unredacted Operations Manual |
03/12/2021 |
Certified |
03/26/2021 |
|
2 |
IGDL |
Amendments to Fee Card |
03/24/2015 |
Certified |
04/07/2015 |
|
1 |
LGX |
LedgerX Redacted Operations Manual |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
ISBV |
Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. |
06/29/2023 |
Certified |
07/14/2023 |
|
11 |
SWAPX |
SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) |
04/01/2014 |
Certified |
04/16/2014 |
|
1 |
ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 |
07/02/2014 |
Certified |
07/18/2014 |
|
1 |
SWAPX |
Amendments and updates to various rules. |
12/14/2015 |
Certified |
12/29/2015 |
|
10 |
CMSEF |
Rule Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
BSEF |
Bloomberg SEF LLC - Certification 2021-R-09 (Notice to Participants) |
11/24/2021 |
Certified |
12/09/2021 |
|
1 |
RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 |
07/02/2014 |
Certified |
07/18/2014 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. |
11/24/2015 |
Certified |
12/09/2015 |
|
1 |
TWSEF |
Amended TW SEF Fees Schedule |
06/02/2016 |
Certified |
06/16/2016 |
|
3 |
BSEF |
Compliance Manual Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
4 |
IGDL |
Revised Facility Rulebook |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
TWSEF |
Market Regulation Advisory Notice to TW SEF Participants re straight through processing. |
06/02/2016 |
Certified |
06/16/2016 |
|
2 |
LGX |
LedgerX Revised Participant Agreement |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
SWAPX |
The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. |
01/28/2022 |
Certified |
02/11/2022 |
|
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 |
LGX |
Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. |
10/22/2018 |
Certified |
11/05/2018 |
|
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 |
ICE SEF |
ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. |
12/14/2015 |
Certified |
12/29/2015 |
|
3 |
BSEF |
Amendment to BSEF Rule 533 |
09/02/2016 |
Certified |
09/19/2016 |
|
1 |
TRAD |
Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program |
08/10/2020 |
Certified |
08/24/2020 |
|
2 |
GFISEF |
Rulebook amendments |
12/14/2015 |
Certified |
12/29/2015 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. |
10/26/2016 |
Certified |
11/09/2016 |
|
4 |