ICE SEF |
ICE Swap Trade, LLC is amending its Compliance Manual. |
01/17/2017 |
Certified |
01/31/2017 |
|
4 |
BSEF |
Amended Compliance Manual (BSEF-2018-R-08) |
11/01/2018 |
Certified |
11/16/2018 |
|
2 |
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 |
MKAXSEF |
Amended MarketAxess application for registration as a SEF. (September 30, 2013) |
09/30/2013 |
Certified |
07/29/2014 |
|
2 |
LGX |
Updated Operations Manual |
12/03/2021 |
Certified |
12/17/2021 |
|
3 |
INFXSEF |
Amendments to Rulebook -- Notice 13-05 |
11/19/2013 |
Certified |
12/05/2013 |
|
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 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. |
12/17/2015 |
Certified |
01/04/2016 |
|
3 |
CMESEF |
Conforming Amendments to Various CME SEF Rules. |
12/14/2017 |
Certified |
12/29/2017 |
|
2 |
CMESEF |
Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief |
07/18/2014 |
Certified |
08/01/2014 |
|
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 |
CBOESEF |
Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting |
10/16/2015 |
Certified |
10/30/2015 |
|
3 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and an additional order type. |
04/24/2017 |
Certified |
05/08/2017 |
|
4 |
NEXSEF |
Amended Fee Program |
07/17/2017 |
Certified |
07/31/2017 |
|
2 |
TPSEF |
Rulebook amendment. |
10/20/2017 |
Certified |
11/03/2017 |
|
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 |
TDERIV |
self-certification of fees on the SEF Trading System |
03/17/2016 |
Certified |
03/31/2016 |
|
1 |
IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/18/2022 |
Certified |
08/01/2022 |
|
1 |
TRAD |
Amendment to the tradition SEF fee schedule |
07/01/2015 |
Certified |
07/16/2015 |
|
2 |
TRAD |
Amendments to the Tradition SEF Fee Schedule |
11/27/2017 |
Certified |
12/11/2017 |
|
2 |
NEXSEF |
Fee Program Amendment |
12/15/2017 |
Certified |
01/02/2018 |
|
2 |
NEXSEF |
Market Regulation Advisory Notice 2020-01 and related rulebook amendment |
12/18/2019 |
Certified |
01/03/2020 |
|
2 |
ICAPSEF |
Rule Change to reflect NALs 15-55 and 15-60 |
11/25/2015 |
Certified |
12/10/2015 |
|
3 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. |
03/01/2019 |
Certified |
03/15/2019 |
|
2 |
IGDL |
Notification of Amendments to Rulebook. |
01/29/2021 |
Certified |
02/12/2021 |
|
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 |
TRAD |
Amendments to Fee Schedule |
10/07/2019 |
Certified |
10/22/2019 |
|
2 |
TPSEF |
Notification of Amendments to Rulebook |
01/29/2021 |
Certified |
02/12/2021 |
|
1 |
TPSEF |
Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. |
10/08/2014 |
Certified |
10/23/2014 |
|
4 |
IGDL |
Rule Change to reflect NALs 15-55 and 15-60 |
11/25/2015 |
Certified |
12/10/2015 |
|
3 |
CMESEF |
Elimination of CME SEF Rule 524 ("Uncleared Swaps") |
12/18/2015 |
Certified |
01/05/2016 |
|
1 |
RADSEF |
TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants |
06/15/2016 |
Certified |
06/29/2016 |
|
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 |
BSEF |
Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
SWAPX |
Amendment of certain trade practice and disciplinary rules |
09/15/2016 |
Certified |
09/29/2016 |
|
4 |
TWSEF |
TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
SPECTR |
Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program |
01/05/2024 |
Certified |
01/22/2024 |
|
4 |
MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) |
12/12/2013 |
Certified |
12/28/2013 |
|
1 |
ICAPSEF |
ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. |
04/03/2014 |
Certified |
04/18/2014 |
|
1 |
NEXSEF |
Revised Fee Schedule, market maker program and discount program |
06/12/2017 |
Certified |
06/26/2017 |
|
4 |
DWSEF |
DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
NEXSEF |
Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) |
05/21/2020 |
Certified |
06/05/2020 |
|
3 |
LGX |
Revised Operations Manual |
10/23/2021 |
Certified |
11/05/2021 |
|
3 |
ICAPSEF |
Amendment to SEF Registration (9-27-13) |
09/27/2013 |
Certified |
07/29/2014 |
|
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 |