LGX |
Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. |
06/11/2018 |
Certified |
06/25/2018 |
|
4 |
TPSEF |
Amendments to tpSEF Fee Schedule |
12/09/2019 |
Certified |
12/23/2019 |
|
2 |
DWSEF |
Updates to the DWSEF Compliance Manual |
04/13/2022 |
Certified |
04/27/2022 |
|
1 |
ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
IGDL |
ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
CMSEF |
SEF Rulebook Amendment |
07/31/2015 |
Certified |
08/14/2015 |
|
3 |
BSEF |
Notice to Participants |
01/14/2016 |
Certified |
01/29/2016 |
|
1 |
TWSEF |
Amendments to TW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
TRAD |
Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. |
04/01/2019 |
Certified |
04/15/2019 |
|
3 |
SWAPX |
Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 |
12/04/2013 |
Certified |
12/19/2013 |
|
0 |
BSEF |
Notice to Participants |
01/14/2016 |
Certified |
01/29/2016 |
|
1 |
DWSEF |
Amended DW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
NEXSEF |
Revised Fee Program discount programs |
07/17/2018 |
Certified |
07/31/2018 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC - Rule Amendment - Amended Rulebook Submission 13-09 (Letter dated December 4, 2013) |
12/05/2013 |
Certified |
12/20/2013 |
|
1 |
ICAPSEF |
ICAP SEF - Rule Amendments - Amended Rulebook Rules: 202, 203,...,514 March 28, 2014 ICAP-2014-R-1 |
03/28/2014 |
Certified |
04/12/2014 |
|
1 |
TWSEF |
Amended TW SEF Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |
LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
01/14/2016 |
Certified |
01/29/2016 |
|
1 |
BSEF |
BSEF Rulebook Amendment |
02/21/2017 |
Certified |
03/07/2017 |
|
1 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. |
06/11/2021 |
Certified |
06/25/2021 |
|
4 |
DWSEF |
DW SEF Amended Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |
TWSEF |
Amended Fee Schedule for CAD Swaps for API Participants |
11/28/2016 |
Certified |
12/12/2016 |
|
1 |
BSEF |
BSEF Compliance Manual Amendment |
02/21/2017 |
Certified |
03/07/2017 |
|
1 |
IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/17/2019 |
Certified |
07/31/2019 |
|
1 |
LGX |
Submission of Revised fee schedule |
03/04/2020 |
Certified |
03/18/2020 |
|
2 |
ICE SEF |
ICE Swap Trade LLC - Rule 701 Block Trade has been amended to remove reference to Packaged Transactions. Submission 14-02 February 5, 2014 |
02/06/2014 |
Certified |
02/22/2014 |
|
1 |
TRAD |
Amendments to Tradition SEF Rulebook. |
07/15/2016 |
Certified |
07/29/2016 |
|
2 |
NEXSEF |
Amended Facility Rulebook |
07/17/2019 |
Certified |
07/31/2019 |
|
6 |
LGX |
Self certification of revisions to compliance manual. |
10/03/2022 |
Certified |
10/18/2022 |
|
3 |
TPSEF |
Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. |
07/31/2023 |
Certified |
08/14/2023 |
|
1 |
IGDL |
Amended Rulebook - specifically the Definitions and Rules 204, 304, 305, 315, 404. IGDL 2014-R-1 |
05/16/2014 |
Certified |
05/31/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Compliance Manual (BSEF-2021-R-07) |
07/23/2021 |
Certified |
08/06/2021 |
|
1 |
IGDL |
Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook |
07/31/2023 |
Certified |
08/14/2023 |
|
1 |
TRAD |
Revisions to the StreamGlobal Platform Supplement |
12/21/2016 |
Certified |
01/06/2017 |
|
2 |
NEXSEF |
Issuance of Market Advisory Regulatory Notice and Amended Rulebook |
08/14/2017 |
Certified |
08/28/2017 |
|
4 |
TWSEF |
Amendment to TW SEF Rates Fee Schedule |
07/23/2020 |
Certified |
08/05/2020 |
|
4 |
CBOESEF |
(1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. |
01/14/2022 |
Certified |
01/31/2022 |
|
1 |
TRAD |
Changes to fee schedule |
11/10/2014 |
Certified |
11/25/2014 |
|
2 |
ICAPSEF |
Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
TPSEF |
tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F |
05/19/2014 |
Certified |
06/04/2014 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. |
09/16/2014 |
Certified |
09/30/2014 |
|
2 |
360T |
Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. |
08/04/2015 |
Certified |
08/17/2015 |
|
4 |
TWSEF |
Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). |
06/03/2020 |
Certified |
06/17/2020 |
|
2 |
NEXSEF |
Amendments to the NEX SEF Limited Governance Policy and Adoption of the Board of Directors Terms of Reference |
04/26/2021 |
Certified |
05/10/2021 |
|
2 |
TPSEF |
Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. |
12/18/2023 |
Certified |
01/03/2024 |
|
1 |
ICAPSEF |
Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
BSEF |
BSEF hereby notifies the Commission that it has amended the January 30 Rulebook Certification to respond to certain comments received from Commission staff. We understand that the amended Rulebook will become effective on February 15, 2015. |
02/10/2015 |
Certified |
02/25/2015 |
|
1 |
TPSEF |
Supplement to Exhibit N to Form SEF |
10/11/2016 |
Certified |
10/25/2016 |
|
1 |
CBOESEF |
Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
TRAD |
Amendments to Tradition SEF Rulebook. |
08/04/2015 |
Certified |
08/18/2015 |
|
2 |
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. |
11/17/2015 |
Certified |
12/02/2015 |
|
1 |