AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
11/29/2023 |
Certified |
12/13/2023 |
|
3 |
AEGIS |
The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. |
09/13/2022 |
Certified |
09/27/2022 |
|
3 |
LGX |
Compliance Manual Amendments |
10/27/2021 |
Certified |
11/10/2021 |
|
3 |
SEED CX |
As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. |
09/11/2017 |
Certified |
09/25/2017 |
|
3 |
AEGIS |
Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. |
07/21/2022 |
Notified |
07/21/2022 |
|
3 |
TRAD |
Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. |
04/01/2021 |
Notified |
04/01/2021 |
|
3 |
ICAPSEF |
Revised Facility Rulebook |
07/28/2014 |
Certified |
08/11/2014 |
|
3 |
ICAPSEF |
Revised Facility Rulebook |
07/28/2014 |
Certified |
08/11/2014 |
|
3 |
ICAPSEF |
Amended Rulebook |
12/13/2016 |
Certified |
12/28/2016 |
|
3 |
IGDL |
Amended Rulebook |
12/13/2016 |
Certified |
12/28/2016 |
|
3 |
FTSEF |
The Rulebook has been amended to update certain No Action Letters on which it relies. |
03/13/2019 |
Certified |
03/27/2019 |
|
3 |
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 |
360T |
360 Trading Networks Inc. ("360T") hereby files the attached amendments to its Fee Schedule for 360T Participants. The Fee Schedule has been amended in response to 360T business development. |
04/30/2019 |
Certified |
05/14/2019 |
|
3 |
SWAPX |
Amendment of a market advisory notice previously certified as a rule |
07/14/2015 |
Certified |
07/28/2015 |
|
3 |
DWSEF |
Rulebook updates in response to rule 411 |
09/17/2021 |
Certified |
10/01/2021 |
|
3 |
ICAPSEF |
Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. |
01/30/2015 |
Certified |
02/13/2015 |
|
3 |
RTX |
Revision of SEF Compliance Manual |
03/07/2024 |
Certified |
03/21/2024 |
|
3 |
IGDL |
Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. |
01/30/2015 |
Certified |
02/13/2015 |
|
3 |
ICAPSEF |
Amendment to reflect NAL 16-58 |
06/28/2016 |
Certified |
07/13/2016 |
|
3 |
IGDL |
Amendment to reflect NAL 16-58 |
06/28/2016 |
Certified |
07/13/2016 |
|
3 |
ICE SEF |
Part 40 Rule Amendment - Amended Fee Schedule |
05/09/2017 |
Certified |
05/23/2017 |
|
3 |
ISBV |
Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct\r\n24). Page 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. |
07/17/2024 |
10 Day Review |
07/17/2024 |
|
3 |
NEXSEF |
Updates to rulebook that specify Pre-Arranged Crosses may only be intermediated by bulk risk mitigation services. Update to table of contents. |
02/13/2020 |
Certified |
02/28/2020 |
|
3 |
NEXSEF |
Amended Rulebook |
08/27/2018 |
Certified |
09/11/2018 |
|
3 |
TWSEF |
TW SEF Fee update for GBP swaps |
08/30/2021 |
Certified |
09/14/2021 |
|
3 |
IGDL |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
3 |
NEXSEF |
Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. |
10/26/2023 |
Certified |
11/09/2023 |
|
3 |
ICE SEF |
ICE Swap Trade Rule Amendment - Amended Rulebook Submission 14-02 (February 11, 2014) |
02/12/2014 |
Withdrawn |
04/30/2014 |
Stay applies to (1) Definition of "Packaged Transaction"; and (2) Rule 701(a) and (k) in ICE Swap Trade, LLC Rulebook |
3 |
MKAXSEF |
Rulebook update |
08/31/2021 |
Notified |
08/31/2021 |
|
3 |
TRAD |
CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. |
07/24/2023 |
Certified |
08/07/2023 |
|
3 |
BGC |
BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. |
07/24/2023 |
Certified |
08/07/2023 |
|
3 |
TRAD |
Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. |
05/31/2018 |
Certified |
06/14/2018 |
|
3 |
360T |
360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. |
11/26/2013 |
Certified |
12/12/2013 |
|
3 |
NEXSEF |
Amended Rulebook and Confidential Trading Protocols |
12/08/2017 |
Certified |
12/22/2017 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
10/03/2016 |
Certified |
10/18/2016 |
|
4 |
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 |
SWAPX |
Amendment of Rule 525 to reflect recent CFTC no-action letter |
03/31/2017 |
Certified |
04/14/2017 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to clarify the process by which IST intends to implement and enforce certain of its rules and respond to guidance received from the Commission. |
07/14/2016 |
Certified |
07/28/2016 |
|
4 |
GFISEF |
Miscellaneous Rulebook amendments |
12/31/2014 |
Certified |
01/15/2015 |
|
4 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. |
04/19/2021 |
Certified |
05/03/2021 |
|
4 |
360T |
360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. |
03/13/2015 |
Certified |
03/27/2015 |
|
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 |
NEXSEF |
Rulebook Amendments |
10/05/2017 |
Certified |
10/20/2017 |
|
4 |
NEXSEF |
Amendments to Chapter 5 ("Rule Enforcement") and Rule 901 ("System Protocols") of the NEX SEF Limited Rulebook (Form SEF Exhibit M) and the Trade Practice Review Program of the NEX SEF Compliance Manual (Form SEF Exhibit O3) |
07/28/2023 |
Certified |
08/11/2023 |
|
4 |
AEGIS |
Amendments to Rulebook and Market Participant Addendum |
09/08/2023 |
Certified |
09/22/2023 |
|
4 |
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 |
TWSEF |
Amendments to TW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
DWSEF |
Amended DW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
TWSEF |
Amended TW SEF Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |