| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the CFTC that it wishes to amend its Rulebook as provided in the attached submission. |
08/23/2016 |
Certified |
09/07/2016 |
|
1 |
| LGX |
Revision to LedgerX Rulebook |
05/29/2020 |
Certified |
06/12/2020 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC USD Interest Rate Swap Streaming Liquidity Market Maker Incentive Program. GFISEF #14-0001 |
02/05/2014 |
Withdrawn |
02/19/2014 |
|
1 |
| GFISEF |
Publishing a revised Fee Schedule. GFISEF #14-0004 |
02/25/2014 |
Certified |
03/12/2014 |
|
1 |
| ICE SEF |
ICE Swap Trade - Revising Rule 512 for clarity. Submission No. 14-08 |
03/28/2014 |
Certified |
04/12/2014 |
|
1 |
| TDERIV |
Various Rule Amendments - TRUEEX #2014-12S |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
| IGDL |
Updates to SEF Discount Structure Appendix to IGDL's fee schedule. |
07/17/2018 |
Certified |
07/31/2018 |
|
1 |
| LGX |
Inclusion of new d/b/a MIAX Derivatives Exchange in Rulebooks |
06/07/2024 |
Notified |
06/07/2024 |
|
1 |
| GFISEF |
GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 |
02/05/2014 |
Withdrawn |
02/19/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective July 1, 2014 Submission #2014-R-4 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| DWSEF |
Updates to the DWSEF Compliance Manual |
04/13/2022 |
Certified |
04/27/2022 |
|
1 |
| ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| SEED CX |
Weekly Notification of Rule Amendments |
03/05/2018 |
Notified |
03/05/2018 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees (2024-R-18) |
12/03/2024 |
Certified |
12/17/2024 |
|
1 |
| IGDL |
ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| BSEF |
Notice to Participants |
01/14/2016 |
Certified |
01/29/2016 |
|
1 |
| LGX |
Weekly notification, withdrawal fee change |
11/12/2021 |
Notified |
11/12/2021 |
|
1 |
| TPSEF |
Amendments to Rules 4003.A. (Execution of Transactions) and 4011 (Time Delay Requirement for Required Cross Transactions) of the tpSEF Rulebook. |
12/03/2024 |
Certified |
12/17/2024 |
|
1 |
| BSEF |
Notice to Participants |
01/14/2016 |
Certified |
01/29/2016 |
|
1 |
| TPSEF |
Amendments to tpSEF Inc. Risk Mitigation Procedures. |
12/03/2024 |
Certified |
12/17/2024 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC - Rule Amendment - Amended Rulebook Submission 13-09 (Letter dated December 4, 2013) |
12/05/2013 |
Certified |
12/20/2013 |
|
1 |
| ICAPSEF |
ICAP SEF - Rule Amendments - Amended Rulebook Rules: 202, 203,...,514 March 28, 2014 ICAP-2014-R-1 |
03/28/2014 |
Certified |
04/12/2014 |
|
1 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
01/14/2016 |
Certified |
01/29/2016 |
|
1 |
| BSEF |
BSEF Rulebook Amendment |
02/21/2017 |
Certified |
03/07/2017 |
|
1 |
| TWSEF |
Amended Fee Schedule for CAD Swaps for API Participants |
11/28/2016 |
Certified |
12/12/2016 |
|
1 |
| BSEF |
BSEF Compliance Manual Amendment |
02/21/2017 |
Certified |
03/07/2017 |
|
1 |
| DWSEF |
DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. |
04/02/2019 |
Notified |
04/02/2019 |
|
1 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/17/2019 |
Certified |
07/31/2019 |
|
1 |
| ICE SEF |
ICE Swap Trade LLC - Rule 701 Block Trade has been amended to remove reference to Packaged Transactions. Submission 14-02 February 5, 2014 |
02/06/2014 |
Certified |
02/22/2014 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/23/2021 |
Notified |
04/23/2021 |
|
1 |
| TPSEF |
Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. |
07/31/2023 |
Certified |
08/14/2023 |
|
1 |
| IGDL |
Amended Rulebook - specifically the Definitions and Rules 204, 304, 305, 315, 404. IGDL 2014-R-1 |
05/16/2014 |
Certified |
05/31/2014 |
|
1 |
| IGDL |
40.6(d) Weekly Notification of Rule Amendments |
04/23/2021 |
Notified |
04/23/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Compliance Manual (BSEF-2021-R-07) |
07/23/2021 |
Certified |
08/06/2021 |
|
1 |
| NEXSEF |
Weekly Notification of Rule Amendments - Week of September 27, 2021 |
10/04/2021 |
Notified |
10/04/2021 |
|
1 |
| IGDL |
Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook |
07/31/2023 |
Certified |
08/14/2023 |
|
1 |
| CBOESEF |
(1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. |
01/14/2022 |
Certified |
01/31/2022 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/05/2021 |
Notified |
03/05/2021 |
|
1 |
| ICAPSEF |
Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| TPSEF |
tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F |
05/19/2014 |
Certified |
06/04/2014 |
|
1 |
| TPSEF |
Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. |
12/18/2023 |
Certified |
01/03/2024 |
|
1 |
| ICAPSEF |
Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| BSEF |
BSEF hereby notifies the Commission that it has amended the January 30 Rulebook Certification to respond to certain comments received from Commission staff. We understand that the amended Rulebook will become effective on February 15, 2015. |
02/10/2015 |
Certified |
02/25/2015 |
|
1 |
| TPSEF |
Supplement to Exhibit N to Form SEF |
10/11/2016 |
Certified |
10/25/2016 |
|
1 |
| CBOESEF |
Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| ICAPSEF |
Revised SEF Rulebook |
09/16/2014 |
Withdrawn |
10/01/2014 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. |
11/17/2015 |
Certified |
12/02/2015 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook, effective August 1, 2016. |
07/15/2016 |
Certified |
07/29/2016 |
|
1 |
| RF SEF |
Incorporate rules requiring SEF Participants to notify LSEG SEF, prior to entering into any Prime Broker Trades, of their intent to use the services of Prime Broker(s) as well as identity the name of such Prime Broker(s). |
08/02/2024 |
Certified |
08/16/2024 |
|
1 |
| GFISEF |
Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
