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 |
TRAD |
Amendments to Tradition SEF Rulebook. |
08/04/2015 |
Certified |
08/18/2015 |
|
2 |
BSEF |
Amended schedule |
09/17/2020 |
Certified |
10/01/2020 |
|
2 |
NEXSEF |
Amended Fee Program |
07/18/2019 |
Certified |
08/01/2019 |
|
2 |
GFISEF |
40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
IGDL |
Amendments to IDGL's Fee Schedule. |
07/23/2021 |
Certified |
08/06/2021 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS On-SEF UK/US Crossover Market Maker Program |
08/17/2022 |
Certified |
08/31/2022 |
|
2 |
CBOESEF |
Rule amendments regarding (a) CFTC No Action Letter 15-24, (b) changes to voice trading procedures, and (c) record retention. |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
TPSEF |
Amendments to tpSEF's Rulebook and Compliance Manual. |
04/29/2020 |
Certified |
05/13/2020 |
|
2 |
IGDL |
Non-substantive revisions to the IGDL Rulebook and IGDL Compliance Manual, both effective as of November 1, 2020. |
10/29/2020 |
Notified |
10/29/2020 |
|
2 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-11) |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
BSEF |
Emergency Rule Certification |
02/05/2019 |
Certified |
02/20/2019 |
|
2 |
IGDL |
Non-substantive revisions to the IGDL Rulebook and Fee schedule, both effective as of July 1, 2022. |
07/01/2022 |
Notified |
07/01/2022 |
|
2 |
DWSEF |
DW SEF Market Regulation Advisory Notice re STP and Affirmation |
05/31/2016 |
Certified |
06/14/2016 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Exhibit T to Form SEF in order to to affect certain administrative/clerical revisions. |
07/19/2016 |
Certified |
08/02/2016 |
|
2 |
CBOESEF |
Cboe SEF is seeking to modify certain rules relating to the limitation of its liability and its indemnification obligations to its participants |
07/28/2020 |
Certified |
08/11/2020 |
|
2 |
RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. |
11/21/2022 |
Certified |
12/06/2022 |
|
2 |
IGDL |
Rulebook amendments |
08/16/2017 |
Certified |
08/30/2017 |
|
2 |
BSEF |
Compliance Manual amendment |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
BSEF |
Amendment to Compliance Manual |
06/28/2017 |
Certified |
07/13/2017 |
|
2 |
TRAD |
Amendments to the Tradition SEF Fee Schedule. |
12/12/2017 |
Certified |
12/27/2017 |
|
2 |
RTX |
Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) |
11/07/2023 |
Certified |
11/22/2023 |
|
2 |
BGC |
Amendments to the fee schedule. |
10/06/2015 |
Certified |
10/21/2015 |
|
2 |
TWSEF |
Market Participant Notice- SDR reporting |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
INFXSEF |
Making changes to order book execution explanations based on request contained in DMO Letter dated 11/21/14. |
01/13/2015 |
Certified |
01/28/2015 |
|
2 |
DWSEF |
Notice to participants- SDR rewrite |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
TWSEF |
Update to Fee Schedule for Cross Currency Swaps |
09/21/2020 |
Certified |
10/05/2020 |
|
2 |
TPSEF |
This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. |
08/21/2014 |
Certified |
09/05/2014 |
|
2 |
BSEF |
Compliance Manual Amendment |
07/26/2019 |
Certified |
08/09/2019 |
|
2 |
IGDL |
Revised Fee Schedule |
02/12/2015 |
Certified |
02/27/2015 |
|
2 |
BSEF |
Revised BSEF fee schedule |
03/14/2018 |
Certified |
03/28/2018 |
|
2 |
TPSEF |
Amendments to tpSEF Fee Schedule |
12/13/2019 |
Certified |
12/30/2019 |
|
2 |
CBOESEF |
Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. |
01/16/2020 |
Certified |
01/31/2020 |
|
2 |
TRAD |
Changes to fee schedule |
11/17/2014 |
Certified |
12/02/2014 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook. |
11/18/2014 |
Certified |
12/03/2014 |
|
2 |
IGDL |
Updates to IGDL's Fee Schedule and SEF Discount Structure Appendix to IGDL's Fee Schedule. |
04/09/2019 |
Certified |
04/23/2019 |
|
2 |
TRAD |
Amendment to the Tradition SEF fee schedule. |
08/13/2015 |
Certified |
08/27/2015 |
|
2 |
GFISEF |
Various Rulebook Amendments |
08/14/2015 |
Certified |
08/28/2015 |
|
2 |
TWSEF |
TW SEF Fee Schedule Update |
10/11/2022 |
Certified |
10/25/2022 |
|
2 |
BSEF |
Rulebook Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
TRAD |
Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. |
03/23/2015 |
Certified |
04/06/2015 |
|
2 |
TRAD |
Amendment to the Tradition SEF fee schedule. |
03/23/2015 |
Certified |
04/06/2015 |
|
2 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
10/08/2015 |
Certified |
10/23/2015 |
|
2 |
NEXSEF |
Revised Fee Program |
03/16/2018 |
Certified |
03/30/2018 |
|
2 |
LGX |
LedgerX Unredacted Operations Manual |
03/12/2021 |
Certified |
03/26/2021 |
|
2 |
CMSEF |
Rule Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
TWSEF |
Market Regulation Advisory Notice to TW SEF Participants re straight through processing. |
06/02/2016 |
Certified |
06/16/2016 |
|
2 |
BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) |
07/26/2018 |
Certified |
08/09/2018 |
|
2 |
TRAD |
Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program |
08/10/2020 |
Certified |
08/24/2020 |
|
2 |
TWSEF |
Fee Schedule Amendments |
08/22/2017 |
Certified |
09/06/2017 |
|
2 |