| AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
11/29/2023 |
Certified |
12/13/2023 |
|
3 |
| ICAPSEF |
Revised Facility Rulebook |
09/09/2014 |
Certified |
09/23/2014 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) |
08/16/2018 |
Certified |
08/30/2018 |
|
1 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc. notifies the CFTC that it will release the attached Notice to Participants on March 26, 2020. |
03/26/2020 |
Certified |
04/09/2020 |
|
1 |
| AEGIS |
The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. |
09/13/2022 |
Certified |
09/27/2022 |
|
3 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program |
10/28/2022 |
Certified |
11/14/2022 |
|
2 |
| TPSEF |
Updates to tpSEF Inc. Risk Mitigation Procedures |
11/30/2023 |
Certified |
12/14/2023 |
|
1 |
| IGDL |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), ICAP Global Derivatives Limited notifies the CFTC that it will release the attached Market Regulation Advisory Notice on March 26, 2020. |
03/26/2020 |
Certified |
04/09/2020 |
|
1 |
| LGX |
Compliance Manual Amendments |
10/27/2021 |
Certified |
11/10/2021 |
|
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 |
| TPSEF |
tpSEF, Amendment to its Rulebook, as provided in Exhibit B (10-24-13) |
10/24/2013 |
Certified |
11/08/2013 |
|
1 |
| IGDL |
Amended Fee Card |
10/17/2014 |
Certified |
10/31/2014 |
|
2 |
| SEED CX |
As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. |
09/11/2017 |
Certified |
09/25/2017 |
|
3 |
| TRAD |
Amendments to Tradition SEF Rulebook. |
09/21/2015 |
Certified |
10/05/2015 |
|
2 |
| TRAD |
Amendments to Tradition SEF Rulebook. |
09/16/2016 |
Certified |
09/30/2016 |
|
2 |
| IGDL |
Rulebook amendments |
07/27/2017 |
Certified |
08/10/2017 |
|
2 |
| TWSEF |
Amendment to TW SEF Rulebook and Fee Schedule |
04/11/2018 |
Certified |
04/25/2018 |
|
6 |
| BSEF |
Notice to Participants regarding trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. |
07/02/2018 |
Certified |
07/17/2018 |
|
1 |
| CMSEF |
Rule amendments regarding settlement |
04/01/2022 |
Certified |
04/15/2022 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program |
06/15/2022 |
Certified |
06/30/2022 |
|
2 |
| GFISEF |
GFI Swaps Exchange Submission #14-0012 - Rule Amendments to GFI Rules 101, 401, 405, 525, 538, 541 |
06/11/2014 |
Certified |
06/26/2014 |
|
1 |
| SWAPX |
Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. |
06/02/2015 |
Certified |
06/16/2015 |
|
4 |
| 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 |
| DWSEF |
DW SEF Rulebook Amendments |
04/11/2018 |
Certified |
04/25/2018 |
|
4 |
| BSEF |
Notice to Participants regarding the lifting of a trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. |
07/02/2018 |
Certified |
07/17/2018 |
|
1 |
| LATAM |
LatAm SEF - Rule Amendment - Amended Rulebook - Submission 14-0001 (March 20, 2014) Adding rules regarding methods of using LatAm SEF's SEF. |
03/21/2014 |
Certified |
04/05/2014 |
|
1 |
| TPSEF |
This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit B. |
09/10/2014 |
Certified |
09/24/2014 |
|
1 |
| RF SEF |
RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). |
12/12/2022 |
Certified |
12/27/2022 |
|
2 |
| ICAPSEF |
Amended SEF Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
| 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 |
| TPSEF |
Amendments to Exhibit Q to tpSEF's Form SEF. |
12/23/2019 |
Certified |
01/08/2020 |
|
2 |
| IGDL |
Amended Facility Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
| BGC |
Amendment raising 5 second cross-delay to 15 seconds. |
04/10/2015 |
Certified |
04/24/2015 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Block Trade FAQ in order to affect certain administrative/clerical revisions. |
03/23/2016 |
Certified |
04/06/2016 |
|
4 |
| IGDL |
Rulebook amendments |
09/12/2017 |
Certified |
09/26/2017 |
|
2 |
| ISBV |
iSwap Euro B.V. hereby submits a notification regarding products listed for trading andamendments to its Rulebook related to the definition of a "Business Day" and revisions toRule 18.4. |
12/16/2020 |
Certified |
12/31/2020 |
|
8 |
| 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 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees |
07/10/2014 |
Certified |
07/24/2014 |
|
1 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) |
11/09/2020 |
Certified |
11/24/2020 |
|
2 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
01/12/2024 |
Certified |
01/29/2024 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC Rule Amendment - Amended Rulebook Submission 13-07 The Rulebook will become effective on November 7, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| ICAPSEF |
Revised Facility Rulebook |
07/28/2014 |
Certified |
08/11/2014 |
|
3 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/01/2020 |
Certified |
07/16/2020 |
|
1 |
| NEXSEF |
AMENDMENT TO NEX SEF LIMITED RULEBOOK RELATING TO SUMMARY FINES, AUDIT TRAIL REQUIRMENTS AND ERROR CORRECTION PROCESSES; ISSUANCE OF NEX SEF LIMITED MARKET REGULATION ADVISORY NOTICES MRAN 2021-01 AND 2021-02 |
02/09/2021 |
Certified |
02/24/2021 |
|
2 |
| 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 |
| ICAPSEF |
Revised Facility Rulebook |
07/28/2014 |
Certified |
08/11/2014 |
|
3 |
| ICAPSEF |
Amended Rulebook |
12/13/2016 |
Certified |
12/28/2016 |
|
3 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions. |
02/01/2017 |
Certified |
02/15/2017 |
|
4 |
| RADSEF |
Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions |
12/16/2020 |
Certified |
12/31/2020 |
|
4 |
| ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - Specifically Rules 204, 404, 503 and 506 ICAP 2014-R-6 |
07/11/2014 |
Certified |
07/25/2014 |
|
0 |
