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 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Initial Administrator(s) Authorization Form (BSEF-2021-R-04) |
03/15/2021 |
Certified |
03/29/2021 |
|
2 |
NEXSEF |
Amendment to Market Regulation Advisory Notice 2018-04 |
02/15/2019 |
Certified |
03/04/2019 |
|
2 |
GFISEF |
Addition of Addendum A to Fee Schedule |
05/13/2015 |
Certified |
05/28/2015 |
|
2 |
CMESEF |
Weekly Notification of Rule Amendments - Week of December 4, 2017 |
12/14/2017 |
Notified |
12/14/2017 |
|
2 |
NEXSEF |
Updated Fee Program |
01/17/2019 |
Certified |
02/01/2019 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. |
03/24/2015 |
Certified |
04/07/2015 |
|
2 |
ICAPSEF |
Amended fee card and discount program documents. |
04/12/2017 |
Certified |
04/26/2017 |
|
2 |
CMSEF |
Amendment to Rule 406 |
09/07/2016 |
Certified |
09/21/2016 |
|
2 |
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. |
08/29/2014 |
Certified |
09/15/2014 |
|
2 |
NEXSEF |
Revised Fee Program to include new market maker program for certain Non Deliverable Forwards |
09/17/2019 |
Certified |
10/01/2019 |
|
2 |
TPSEF |
Amendments to the tpSEF Fee Schedule |
02/22/2023 |
Certified |
03/08/2023 |
|
2 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
03/25/2015 |
Certified |
04/08/2015 |
|
2 |
NEXSEF |
Amendments to the NEX SEF Limited Governance Policy and Compliance Manual |
08/06/2021 |
Certified |
08/20/2021 |
|
2 |
IGDL |
Rule 40.6 Rule Change for revised Fee Card |
01/15/2015 |
Certified |
01/30/2015 |
|
2 |
GFISEF |
We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. |
06/08/2016 |
Certified |
06/22/2016 |
|
2 |
RF SEF |
Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. |
05/02/2022 |
Certified |
05/16/2022 |
|
2 |
IGDL |
Revised Facility Rulebook |
08/29/2014 |
Certified |
09/15/2014 |
|
2 |
LATAM |
See Exhibit A of the Submission |
06/22/2015 |
Certified |
07/07/2015 |
|
2 |
SWAPX |
SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
TRAD |
Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. |
12/12/2014 |
Certified |
12/29/2014 |
|
2 |
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 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
05/10/2016 |
Certified |
05/24/2016 |
|
2 |
ICE SEF |
EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. |
10/01/2014 |
Certified |
10/16/2014 |
|
2 |
BSEF |
BSEF Compliance Manual |
02/21/2019 |
Certified |
03/07/2019 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule |
06/16/2020 |
Certified |
06/30/2020 |
|
2 |
LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
11/02/2020 |
Certified |
11/17/2020 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule |
03/17/2021 |
Certified |
03/31/2021 |
|
2 |
CBOESEF |
(1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. |
03/17/2022 |
Certified |
03/31/2022 |
|
2 |