NEXSEF |
Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider |
08/17/2020 |
Certified |
08/31/2020 |
|
4 |
LGX |
Amended Operations Manual |
10/18/2017 |
Certified |
11/01/2017 |
|
4 |
SWAPX |
The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 |
01/28/2021 |
Certified |
02/11/2021 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook. |
04/02/2015 |
Certified |
04/16/2015 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is amending its Compliance Manual. |
01/17/2017 |
Certified |
01/31/2017 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and an additional order type. |
04/24/2017 |
Certified |
05/08/2017 |
|
4 |
MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. |
10/08/2014 |
Certified |
10/23/2014 |
|
4 |
SWAPX |
Amendment of certain trade practice and disciplinary rules |
09/15/2016 |
Certified |
09/29/2016 |
|
4 |
SPECTR |
Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program |
01/05/2024 |
Certified |
01/22/2024 |
|
4 |
NEXSEF |
Revised Fee Schedule, market maker program and discount program |
06/12/2017 |
Certified |
06/26/2017 |
|
4 |
NEXSEF |
Market Regulation Advisory Notices and Rulebook Amendment |
12/15/2017 |
Certified |
01/02/2018 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is revising its Trade Error Policy. |
07/21/2014 |
Certified |
08/04/2014 |
|
4 |
TWSEF |
TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
MKAXSEF |
Rulebook changes to reflect recent developments and to provide clarity. |
11/09/2016 |
Certified |
11/25/2016 |
|
4 |
DWSEF |
DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
DWSEF |
DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) |
11/30/2015 |
Certified |
12/14/2015 |
|
4 |
TWSEF |
TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) |
11/30/2015 |
Certified |
12/14/2015 |
|
4 |
SWAPX |
Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments |
06/15/2016 |
Certified |
06/29/2016 |
|
4 |
ICE SEF |
Amended Block Trade FAQ |
12/19/2017 |
Notified |
12/19/2017 |
|
4 |
SWAPX |
amendment of rule concerning policies on screening of customers |
03/05/2015 |
Certified |
03/19/2015 |
|
4 |
AEGIS |
Amendments to Rulebook and Participant Agreement. |
03/07/2023 |
Certified |
03/21/2023 |
|
4 |
TRAD |
Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. |
07/22/2014 |
Certified |
08/05/2014 |
|
4 |
SWAPX |
Various amendments that generally clarify existing rules. |
11/25/2014 |
Certified |
12/10/2014 |
|
4 |
ICE SEF |
Weekly notification of rule amendments |
07/02/2019 |
Notified |
07/02/2019 |
|
4 |
MKAXSEF |
MarketAccess SEF Corporation has updated Exhibit Q-2 to reflect recent developments and provide clarity. |
12/18/2015 |
Certified |
01/05/2016 |
|
4 |
MKAXSEF |
MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. |
09/09/2014 |
Certified |
09/23/2014 |
|
4 |
SWAPX |
Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. |
06/02/2015 |
Certified |
06/16/2015 |
|
4 |
DWSEF |
DW SEF Rulebook Amendments |
04/11/2018 |
Certified |
04/25/2018 |
|
4 |
ICE SEF |
Adjustment to ICE Swap Trade Trading Hours |
03/30/2021 |
Notified |
03/30/2021 |
|
4 |
ICAPSEF |
Amended SEF Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
IGDL |
Amended Facility Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Block Trade FAQ in order to affect certain administrative/clerical revisions. |
03/23/2016 |
Certified |
04/06/2016 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions. |
02/01/2017 |
Certified |
02/15/2017 |
|
4 |
RADSEF |
Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions |
12/16/2020 |
Certified |
12/31/2020 |
|
4 |
TWSEF |
TW SEF LLC - Amended Rulebook |
12/01/2014 |
Certified |
12/15/2014 |
|
4 |
SWAPX |
Amendments to SwapEx Rulebook |
07/13/2015 |
Certified |
07/27/2015 |
|
4 |
IGDL |
Revised Rulebook and Confidential Chapter 9 |
05/16/2016 |
Certified |
05/31/2016 |
|
4 |
AEGIS |
Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule |
07/26/2022 |
Notified |
07/26/2022 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
ICE SEF |
Update to Board language |
07/08/2021 |
Notified |
07/08/2021 |
|
4 |
DWSEF |
DW SEF Amended Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
TDERIV |
Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
TWSEF |
Rulebook updates in response to rule 411 |
09/17/2021 |
Certified |
10/01/2021 |
|
4 |
NEXSEF |
Amendments to NEX SEF Limited Rulebook and Compliance Manual |
03/13/2023 |
Certified |
03/27/2023 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
ISBV |
Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated |
04/29/2024 |
Certified |
05/13/2024 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. |
07/17/2015 |
Certified |
07/31/2015 |
|
4 |
ICE SEF |
Administrative edits to IST Rulebook |
02/15/2021 |
Notified |
02/15/2021 |
|
4 |
RADSEF |
Correct reference or clarify Rules 536 and 537Add product terms and conditions |
10/29/2021 |
Certified |
11/15/2021 |
|
4 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
02/17/2016 |
Withdrawn |
02/24/2016 |
|
4 |