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 |
AEGIS |
Rulebook and Exhibit N-1 Participant Agreement amended to allow for Block Trades |
12/10/2024 |
10 Day Review |
12/10/2024 |
|
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 |
ICE SEF |
ICE Swap Trade, LLC - weekly notification of rule changes. |
11/14/2018 |
Notified |
11/14/2018 |
|
4 |
TRAD |
Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. |
03/18/2019 |
Certified |
04/01/2019 |
|
4 |
ICE SEF |
Updating a reference from an expiring CFTC No-Action Letter to the current iteration |
11/18/2020 |
Notified |
11/18/2020 |
|
4 |
ICE SEF |
The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. |
09/20/2017 |
Certified |
10/04/2017 |
|
4 |
LGX |
LedgerX revised Participant Agreement |
05/28/2021 |
Certified |
06/14/2021 |
|
4 |
ICAPSEF |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
IGDL |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
TDERIV |
Self-certification of rule amendments |
08/07/2014 |
Certified |
08/21/2014 |
|
4 |
360T |
Various amendments to 360T Rulebook |
12/24/2014 |
Certified |
01/09/2015 |
|
5 |
FTSEF |
Amendments to FTSEF Product Specifications and FTSEF Rules 101, 202, 205, 212, 301, 317, 401, 402, 403, 404, 405, 408, 409, 503, 602, 703, 924,1001, 1003, 1011, 1012, 1013, 1016, Chapter 13 |
04/01/2016 |
Certified |
04/15/2016 |
|
5 |
NEXSEF |
Certification of amendments to NEX SEF Rulebook and issuance of a Market Regulation Advisory Notice |
04/17/2018 |
Certified |
05/01/2018 |
|
5 |
GTX |
Amendment to Rulebook. |
04/07/2016 |
Certified |
04/21/2016 |
|
5 |
360T |
Rulebook and User Guides updated in view of CFTC comments and participant queries. |
09/30/2015 |
Certified |
10/14/2015 |
|
5 |
ICE SEF |
ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. |
12/19/2016 |
Certified |
01/04/2017 |
|
5 |
360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
08/10/2017 |
Certified |
08/24/2017 |
|
5 |
LGX |
LedgerX Revised Operations Manual |
06/15/2021 |
Certified |
06/30/2021 |
|
5 |
CMESEF |
Amendments to Chapter 4 ("Enforcement of Rules") |
11/29/2016 |
Certified |
12/13/2016 |
|
5 |
AEGIS |
Updates to AEGIS Markets Rulebook and Exhibit K (Fee Schedule) |
12/05/2024 |
Notified |
12/05/2024 |
|
5 |