GFISEF |
We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. |
06/08/2016 |
Certified |
06/22/2016 |
|
2 |
LATAM |
40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 |
04/04/2023 |
Certified |
04/18/2023 |
|
1 |
MKAXSEF |
Updated its Rulebook to reflect recent development and to provide clarity. Rules 101; 301,..., 315; 401,..., 409;..., 702;... 1006 |
02/11/2014 |
Certified |
02/27/2014 |
|
1 |
RF SEF |
Thomas Reuters - Submission 14-02 - Amendments to Rulebook - Effective June 13, 2014 |
05/30/2014 |
Certified |
06/14/2014 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
06/06/2017 |
Certified |
06/20/2017 |
|
1 |
IGDL |
US Dollar Interest Swap Rate Swap Central Limit Order Book Market Making Incentive Program. IGDL - 2014-R-2 |
05/30/2014 |
Certified |
06/14/2014 |
|
0 |
RF SEF |
Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. |
05/02/2022 |
Certified |
05/16/2022 |
|
2 |
GFISEF |
Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
TRAD |
Tradition SEF, Inc. Notice #14-03 - Observing the Martin Luther King Holiday on Monday, January 20, 2014 |
01/14/2014 |
Certified |
01/30/2014 |
|
0 |
IGDL |
Revised Facility Rulebook |
08/29/2014 |
Certified |
09/15/2014 |
|
2 |
LATAM |
See Exhibit A of the Submission |
06/22/2015 |
Certified |
07/07/2015 |
|
2 |
IGDL |
Regulation 40.6(a) Rule Certification. |
05/09/2018 |
Certified |
05/23/2018 |
|
1 |
SWAPX |
SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
TRAD |
Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. |
12/12/2014 |
Certified |
12/29/2014 |
|
2 |
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 |
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 |
GFISEF |
Amendments to Rules 405 and 509 |
11/25/2015 |
Certified |
12/10/2015 |
|
1 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
05/10/2016 |
Certified |
05/24/2016 |
|
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 |
CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
TPSEF |
tpSEF Inc. - Amended Swap Execution Facility Application Exhibits. |
06/02/2014 |
Certified |
06/17/2014 |
|
0 |
ICE SEF |
EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. |
10/01/2014 |
Certified |
10/16/2014 |
|
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 |
BSEF Compliance Manual |
02/21/2019 |
Certified |
03/07/2019 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule |
06/16/2020 |
Certified |
06/30/2020 |
|
2 |
CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
TWSEF |
TW SEF LLC Rulebook Amendments |
01/16/2015 |
Certified |
02/02/2015 |
|
4 |
GTX |
Fee schedule Amendment |
03/27/2015 |
Certified |
04/09/2015 |
|
1 |
LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
11/02/2020 |
Certified |
11/17/2020 |
|
2 |
TWSEF |
Amendment of Rule 205 (Regulatory Oversight Committee) |
02/03/2022 |
Certified |
02/17/2022 |
|
4 |
CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
DWSEF |
Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions |
01/16/2015 |
Certified |
02/02/2015 |
|
1 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule |
03/17/2021 |
Certified |
03/31/2021 |
|
2 |
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 |
CMESEF |
Amendments to SEF Rules to Reflect Recent CFTC Guidance and No-Action Relief. CMESEF #14-018 |
01/15/2014 |
Certified |
01/31/2014 |
|
1 |
RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 |
05/30/2014 |
Certified |
06/14/2014 |
|
1 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
01/16/2015 |
Certified |
02/02/2015 |
|
2 |
TRAD |
Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. |
03/27/2015 |
Certified |
04/10/2015 |
|
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 submits to the Commission certain rule amendment. |
08/01/2016 |
Certified |
08/15/2016 |
|
2 |
RADSEF |
New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references |
11/03/2020 |
Certified |
11/18/2020 |
|
4 |
DWSEF |
DW SEF Rulebook Amendments |
01/16/2015 |
Certified |
02/02/2015 |
|
4 |
ICE SEF |
Rule Changes to the ICE Swap Trade Rulebook |
11/03/2020 |
Certified |
11/18/2020 |
|
6 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. |
05/12/2021 |
Certified |
05/26/2021 |
|
4 |
AEGIS |
The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. |
10/14/2022 |
Certified |
10/28/2022 |
|
3 |
ICE SEF |
ICE Swap Trade Rule Amendment - Amended Rulebook, letter dated October 18, 2013 |
10/21/2013 |
Certified |
11/05/2013 |
|
1 |
IGDL |
Amendment to Confidential Chapter 9 Trading Protocols |
03/10/2017 |
Certified |
03/24/2017 |
|
2 |
NEXSEF |
Adoption of New Rule 318 ("Post-Trade Anonymity") |
11/04/2020 |
Certified |
11/19/2020 |
|
3 |
LGX |
LedgerX Liquidity Provider Program |
06/23/2021 |
Certified |
07/08/2021 |
|
3 |
ICE SEF |
EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. This amendment will be effective October, 1, 2014. |
10/01/2014 |
Certified |
10/16/2014 |
|
1 |
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 |