BSEF |
Emergency Rule Certification |
02/05/2019 |
Certified |
02/20/2019 |
|
2 |
NEXSEF |
Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 |
02/15/2019 |
Notified |
02/15/2019 |
|
3 |
NEXSEF |
Rulebook updated to reflect certain new trading hours and updated product information |
01/17/2019 |
Certified |
02/01/2019 |
|
3 |
NEXSEF |
Updated Fee Program |
01/17/2019 |
Certified |
02/01/2019 |
|
2 |
BSEF |
BSEF Rulebook Amendment |
12/21/2018 |
Certified |
01/08/2019 |
|
1 |
IGDL |
Amendment to IGDL Facility Rulebook pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a). |
11/29/2018 |
Certified |
12/13/2018 |
|
1 |
TWSEF |
TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. |
12/10/2018 |
Notified |
12/10/2018 |
|
2 |
ICE SEF |
2019 Trading and Holiday Schedule |
12/10/2018 |
Notified |
12/10/2018 |
|
3 |
TDERIV |
Certification of fee schedule and designation market maker program for trueDigital Products |
11/06/2018 |
Certified |
11/21/2018 |
|
2 |
NEXSEF |
Rule change to reflect that interest rate swaps in SGD are now cleared. |
11/02/2018 |
Certified |
11/19/2018 |
|
3 |
TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
11/02/2018 |
Certified |
11/19/2018 |
|
1 |
BSEF |
Amended Compliance Manual (BSEF-2018-R-08) |
11/01/2018 |
Certified |
11/16/2018 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC - weekly notification of rule changes. |
11/14/2018 |
Notified |
11/14/2018 |
|
4 |
LGX |
Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. |
10/22/2018 |
Certified |
11/05/2018 |
|
1 |
LGX |
Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. |
10/19/2018 |
Certified |
11/02/2018 |
|
1 |
TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 2, 2018. |
10/09/2018 |
Notified |
10/09/2018 |
|
1 |
CBOESEF |
Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. |
09/17/2018 |
Certified |
10/01/2018 |
|
1 |
TRAD |
Amendment to Tradition SEF, Inc. Fee Schedule |
09/06/2018 |
Certified |
09/20/2018 |
|
3 |
NEXSEF |
Amended Rulebook |
08/27/2018 |
Certified |
09/11/2018 |
|
3 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) |
08/16/2018 |
Certified |
08/30/2018 |
|
1 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
08/10/2018 |
Certified |
08/24/2018 |
|
2 |
CBOESEF |
Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. |
08/06/2018 |
Certified |
08/20/2018 |
|
1 |
NEXSEF |
Amended Fee Program |
08/03/2018 |
Certified |
08/17/2018 |
|
2 |
TDERIV |
Change of exchange opening hours |
08/14/2018 |
Notified |
08/14/2018 |
|
1 |
BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) |
07/26/2018 |
Certified |
08/09/2018 |
|
2 |
BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Rulebook |
07/25/2018 |
Certified |
08/08/2018 |
|
1 |
IGDL |
Updates to SEF Discount Structure Appendix to IGDL's fee schedule. |
07/17/2018 |
Certified |
07/31/2018 |
|
1 |
NEXSEF |
Revised Fee Program discount programs |
07/17/2018 |
Certified |
07/31/2018 |
|
2 |
CMESEF |
Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. |
07/11/2018 |
Certified |
07/25/2018 |
|
1 |
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 |
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 |
NEXSEF |
Revised Fee Program |
06/18/2018 |
Certified |
07/02/2018 |
|
4 |
TRAD |
Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. |
06/18/2018 |
Certified |
07/02/2018 |
|
3 |
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 |
TRAD |
Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. |
05/31/2018 |
Certified |
06/14/2018 |
|
3 |
NEXSEF |
Correction of typographical error in Rule 315 |
06/08/2018 |
Notified |
06/08/2018 |
|
3 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
05/23/2018 |
Certified |
06/07/2018 |
|
2 |
LGX |
Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. |
05/23/2018 |
Certified |
06/07/2018 |
|
3 |
IGDL |
Regulation 40.6(a) Rule Certification. |
05/09/2018 |
Certified |
05/23/2018 |
|
1 |
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 |
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 |
ICE SEF |
The trading and holiday schedule for 2018 is being revised to clarify the reserved maintenance window in Commodity Contracts. |
05/22/2018 |
Notified |
05/22/2018 |
|
5 |
NEXSEF |
Amendment to Rule 802(1) IRS Specifications |
05/07/2018 |
Certified |
05/21/2018 |
|
3 |
CBOESEF |
Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. |
05/07/2018 |
Certified |
05/21/2018 |
|
1 |
LGX |
Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. |
05/01/2018 |
Certified |
05/15/2018 |
|
3 |
TDERIV |
Self-certification of fees to be charged to Participants on the SEF Trading System. |
04/19/2018 |
Certified |
05/03/2018 |
|
1 |
NEXSEF |
Certification of amendments to NEX SEF Rulebook and issuance of a Market Regulation Advisory Notice |
04/17/2018 |
Certified |
05/01/2018 |
|
5 |
TDERIV |
name change for GBP OIS floating rate index |
04/30/2018 |
Notified |
04/30/2018 |
|
1 |
TWSEF |
Amendment to TW SEF Rulebook and Fee Schedule |
04/11/2018 |
Certified |
04/25/2018 |
|
6 |
DWSEF |
DW SEF Rulebook Amendments |
04/11/2018 |
Certified |
04/25/2018 |
|
4 |