| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| BGC |
Amendment raising 5 second cross-delay to 15 seconds. |
04/10/2015 |
Certified |
04/24/2015 |
|
1 |
| 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 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
01/12/2024 |
Certified |
01/29/2024 |
|
1 |
| RF SEF |
Incentive program waiving the API fee for new liquidity providers pricing on PriceStream only until June 30, 2025 |
11/25/2024 |
Certified |
12/10/2024 |
|
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 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/01/2020 |
Certified |
07/16/2020 |
|
1 |
| 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 |
| GFISEF |
Various Rulebook amendments |
04/10/2015 |
Certified |
04/24/2015 |
|
1 |
| TDERIV |
non-substantive rule changes |
04/11/2018 |
Notified |
04/11/2018 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook |
11/20/2019 |
Certified |
12/05/2019 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-05) |
11/03/2022 |
Certified |
11/18/2022 |
|
1 |
| SWAPX |
Rulebook amendments in response to comments and questions received from potential users of SwapEx's SEF. (January 22, 2014) |
01/22/2014 |
Certified |
02/06/2014 |
|
1 |
| CMESEF |
Amendments to Rule 432. ("General Offenses") |
02/01/2017 |
Certified |
02/15/2017 |
|
1 |
| ICE SEF |
Amending its Rulebook in order to accommodate trading in commodities by users of IST's swap execution facility and to remove the obligation for Participants to enter into a swap intermediation arrangement. |
09/25/2013 |
Certified |
10/10/2013 |
|
1 |
| CMESEF |
Amendments to Rule 574. ("Globex Access Restrictions") |
02/01/2017 |
Certified |
02/15/2017 |
|
1 |
| TPSEF |
Revisions to Rules 4003.D(e) and 4019(a) of the tpSEF Rulebook. |
07/07/2021 |
Certified |
07/21/2021 |
|
1 |
| CBOESEF |
Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 |
12/16/2013 |
Certified |
01/01/2014 |
|
1 |
| ICE SEF |
Rulebook amendments in (1) order to affect administrative/clerical revisions; (2) clarify process by IST implement and enforce rules (3) comments from CFTC and IST participants. ICE SEF #14-01 |
01/23/2014 |
Certified |
02/07/2014 |
|
1 |
| DWSEF |
Amended Fee Schedule |
06/15/2017 |
Certified |
06/29/2017 |
|
1 |
| TPSEF |
Amendment of tpSEF Inc. Terms of Use |
09/14/2017 |
Certified |
09/28/2017 |
|
1 |
| IGDL |
IGDL-2021-R-6 - 40.6(a) Rule Certification (7.7.21) |
07/07/2021 |
Certified |
07/21/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-03) |
05/20/2022 |
Certified |
06/06/2022 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification Delisting of Two (2) LIBOR-related Contracts (BSEF-2023-R-06). |
06/07/2023 |
Certified |
06/22/2023 |
|
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. The date of intended implementation of the amended Rulebook is January 15, 2016. |
12/30/2015 |
Certified |
01/14/2016 |
|
1 |
| BGC |
We are submitting on behalf of our client, BGC Derivative Markets, LP ("BGC") new Rule 516, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. |
08/08/2016 |
Certified |
08/22/2016 |
|
1 |
| GFISEF |
We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. |
08/08/2016 |
Certified |
08/22/2016 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/20/2022 |
Notified |
05/20/2022 |
|
1 |
| CBOESEF |
Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
| CMESEF |
Adoption of CME SEF Recordkeeping and Reporting Policy |
01/28/2015 |
Certified |
02/11/2015 |
|
1 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF notifies the CFTC that it will release the attached Notice to Participants on June 23, 2016. The Notice relates to the guidance included in CFTC Letter 15-67 re: straight through processing. |
06/23/2016 |
Certified |
07/08/2016 |
|
1 |
| LGX |
Submission of revised fee schedule. |
02/13/2018 |
Certified |
02/28/2018 |
|
1 |
| CBOESEF |
Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC - Fee Schedule Amendment - Submission 14-14 |
05/02/2014 |
Certified |
05/17/2014 |
|
1 |
| TPSEF |
tpSEF Inc. Emergency Rule Certification letter dated November 1, 2013. Amended its Rulebook in response to Commission Letter No. 13-66, regarding the resubmission of swaps rejected for clearing. |
11/04/2013 |
Certified |
11/20/2013 |
|
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 |
| BSEF |
CFTC Regulation 40.6(a) Certification - Issuance of BSEF Notice to Participants |
11/26/2024 |
Certified |
12/11/2024 |
|
1 |
| BGC |
BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) |
09/15/2022 |
Certified |
09/29/2022 |
|
1 |
