TDERIV |
Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
BGC |
The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. |
11/18/2015 |
Certified |
12/03/2015 |
|
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. |
11/17/2015 |
Certified |
12/02/2015 |
|
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. |
11/11/2015 |
Certified |
11/25/2015 |
|
1 |
GFISEF |
Various Rulebook Amendments |
11/11/2015 |
Certified |
11/25/2015 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. |
11/06/2015 |
Certified |
11/23/2015 |
|
3 |
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. |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has |
11/03/2015 |
Certified |
11/18/2015 |
|
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 and Risk Mitigation Procedures. |
10/30/2015 |
Certified |
11/16/2015 |
|
1 |
TWSEF |
Amended TW SEF Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
DWSEF |
DW SEF Amended Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
GFISEF |
Various Rulebook Amendments |
10/23/2015 |
Certified |
11/06/2015 |
|
1 |
GTX |
Fee schedule Amendment |
10/22/2015 |
Certified |
11/05/2015 |
|
1 |
TDERIV |
Notification of SEF pricing structure effective 11/3/15 |
10/20/2015 |
Certified |
11/03/2015 |
|
1 |
CBOESEF |
Rule amendments related to Phase 1 Questions |
10/16/2015 |
Certified |
10/30/2015 |
|
1 |
CBOESEF |
Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting |
10/16/2015 |
Certified |
10/30/2015 |
|
3 |
IGDL |
IGDL has revised its Fee Schedule |
10/15/2015 |
Certified |
10/29/2015 |
|
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. |
10/15/2015 |
Certified |
10/29/2015 |
|
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 |
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 and Risk Mitigation Procedures. |
10/07/2015 |
Certified |
10/22/2015 |
|
1 |
BGC |
Amending rules for determining speculative position limits or position accountability. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
BGC |
Amendments to the fee schedule. |
10/06/2015 |
Certified |
10/21/2015 |
|
2 |
BGC |
These rule amendments are cumulative and are in response to suggestions and guidance from the staff. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
TDERIV |
Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. |
10/05/2015 |
Certified |
10/20/2015 |
|
1 |
TWSEF |
Amended TW SEF Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
DWSEF |
DW SEF Amended Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
GFISEF |
Various Rulebook Amendments |
09/30/2015 |
Certified |
10/15/2015 |
|
2 |
GFISEF |
Matching Session Description |
09/30/2015 |
Certified |
10/15/2015 |
|
2 |
TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC regulations, tpSEF is submitting the attached Rulebook amendment. |
09/29/2015 |
Certified |
10/14/2015 |
|
1 |
360T |
Rulebook and User Guides updated in view of CFTC comments and participant queries. |
09/30/2015 |
Certified |
10/14/2015 |
|
5 |
IGDL |
Amendment to Confidential Rule 902. |
09/23/2015 |
Certified |
10/07/2015 |
|
2 |
CMESEF |
Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 |
09/22/2015 |
Certified |
10/06/2015 |
|
1 |
MKAXSEF |
MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. |
10/05/2015 |
Notified |
10/05/2015 |
|
1 |
TRAD |
Amendments to Tradition SEF Rulebook. |
09/21/2015 |
Certified |
10/05/2015 |
|
2 |
MKAXSEF |
MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. |
09/28/2015 |
Notified |
09/28/2015 |
|
1 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
09/11/2015 |
Certified |
09/25/2015 |
|
2 |
BSEF |
Notification of Bloomberg SEF LLC's intention to release a Notice to Participants on September 11, 2015, which will provide guidance to Participants regarding Bloomberg SEF LLC's policy governing error trades. |
09/10/2015 |
Certified |
09/24/2015 |
|
1 |
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 |
SWAPX |
Clarifications and updates to existing rules |
09/04/2015 |
Certified |
09/21/2015 |
|
4 |
TDERIV |
Non-substantive Rulebook Amendments |
09/21/2015 |
Notified |
09/21/2015 |
|
2 |
BGC |
The attached amendments are made in response to suggestions and guidance from staff. |
08/31/2015 |
Certified |
09/15/2015 |
|
1 |
TPSEF |
CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook being made in connection a request by the CFTC's Division of Market Oversight dated August 11, 2015. |
08/27/2015 |
Certified |
09/11/2015 |
|
1 |
IGDL |
Regulation 40.6(a) Rule Certification of Managed Order Rule |
08/20/2015 |
Certified |
09/03/2015 |
|
3 |
GFISEF |
Various Rulebook Amendments |
08/14/2015 |
Certified |
08/28/2015 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. |
08/13/2015 |
Certified |
08/27/2015 |
|
3 |
TRAD |
Amendment to the Tradition SEF fee schedule. |
08/13/2015 |
Certified |
08/27/2015 |
|
2 |
MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. |
08/07/2015 |
Certified |
08/21/2015 |
|
4 |
IGDL |
Regulation 40.6(a) Rule Certification of Managed Order Rule |
08/20/2015 |
Withdrawn |
08/21/2015 |
|
3 |
GFISEF |
40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |