| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) |
05/10/2023 |
Certified |
05/24/2023 |
|
1 |
| IGDL |
Rule certification to amend Rule 902, IGDL's vRFQ protocols. |
03/19/2015 |
Certified |
04/02/2015 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/30/2021 |
Notified |
04/30/2021 |
|
1 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
10/06/2021 |
Certified |
10/21/2021 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Rule 901(e) ("NEX SEF NDF System Protocol" - "The Matching Process") (Form SEF Exhibit M) in Connection with the Adoption of Conditional Price Increments for Certain Products. |
08/07/2024 |
Certified |
08/21/2024 |
|
1 |
| CMESEF |
Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 |
02/12/2015 |
Certified |
02/27/2015 |
|
1 |
| LATAM |
CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 |
01/20/2022 |
Certified |
02/03/2022 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-09. |
06/13/2024 |
Certified |
06/28/2024 |
|
1 |
| TDERIV |
Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S |
02/07/2014 |
Certified |
02/25/2014 |
|
1 |
| BSEF |
BSEF Rulebook Amendment |
07/26/2019 |
Certified |
08/09/2019 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-R-2) |
03/10/2021 |
Certified |
03/24/2021 |
|
1 |
| ICAPSEF |
ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 |
12/06/2013 |
Certified |
12/21/2013 |
|
1 |
| CMESEF |
Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 |
04/25/2014 |
Certified |
05/10/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC hereby submits its revised Rulebook, effective as of February 4, 2016. |
01/20/2016 |
Certified |
02/03/2016 |
|
1 |
| TPSEF |
Notification of Amendments to Rulebook |
03/10/2021 |
Certified |
03/24/2021 |
|
1 |
| TPSEF |
tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) |
02/10/2014 |
Certified |
02/26/2014 |
|
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 and Risk Mitigation Procedures. |
10/07/2015 |
Certified |
10/22/2015 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 |
11/09/2023 |
Certified |
11/27/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 7, 2015. |
11/19/2015 |
Certified |
12/04/2015 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
| CMSEF |
SEF Rulebook Amendment |
04/28/2016 |
Certified |
05/12/2016 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
| BSEF |
Rulebook Amendment |
10/21/2016 |
Certified |
11/04/2016 |
|
1 |
| GFISEF |
Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. |
01/09/2017 |
Certified |
01/24/2017 |
|
1 |
| TPSEF |
Rulebook amendment |
10/11/2017 |
Certified |
10/25/2017 |
|
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. |
11/20/2015 |
Certified |
12/07/2015 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook Submission #14-01 |
01/13/2014 |
Certified |
01/29/2014 |
|
1 |
| CBOESEF |
The Amendment clarifies the recordkeeping requirements of Participants. |
07/08/2022 |
Certified |
07/22/2022 |
|
1 |
| BGC |
Rule amendments |
01/14/2015 |
Certified |
01/29/2015 |
|
1 |
| CBOESEF |
Amendments to Rule 318 and addition of new definition for Market Maker Program |
05/08/2015 |
Certified |
05/22/2015 |
|
1 |
| TWSEF |
TW SEF Cover Letter re Fees (11.23.15)TW SEF FOIA Request with Justification (11.23.15)App. A1 - TW SEF Exhibit K (Fees) (Clean 11.23.15)App. A2 - TW SEF Exhibit K (Fees) (Marked 11.23.15)App. A3 - TW SEF Fees Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached filing. |
07/22/2016 |
Certified |
08/05/2016 |
|
1 |
| DWSEF |
DW SEF Amended IRS Fee Schedule |
10/24/2016 |
Certified |
11/07/2016 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 |
07/01/2014 |
Certified |
07/17/2014 |
|
1 |
| CBOESEF |
Amendments to Rule 318 and addition of new definition for Market Maker Program. |
05/08/2015 |
Certified |
05/22/2015 |
|
1 |
| DWSEF |
DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
| CBOESEF |
Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. |
08/04/2020 |
Certified |
08/18/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-03) |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| TDERIV |
Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S |
06/30/2014 |
Certified |
07/16/2014 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended, and Section 40.6(a) of the regulations of the CFTC, tpSEF Inc. hereby notifies the CFTC that it wishes to amend its Rulebook and Risk Mitigation Procedures. |
04/29/2016 |
Certified |
05/13/2016 |
|
1 |
| BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Rulebook |
07/25/2018 |
Certified |
08/08/2018 |
|
1 |
| CBOESEF |
Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. |
05/08/2020 |
Certified |
05/22/2020 |
|
1 |
| LGX |
LedgerX Amended Rulebook |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| LGX |
Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. |
10/19/2018 |
Certified |
11/02/2018 |
|
1 |
| TRAD |
Notice to Participants announcing revisions to Rulebook that update references to expired no action relief. |
12/03/2020 |
Certified |
12/17/2020 |
|
1 |
| TRAD |
Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program |
06/12/2020 |
Certified |
06/26/2020 |
|
1 |
| SPECTR |
Amending Rulebook to add references to Spot Stops and Time Stops, add reference to APIs, add reference to NDOs, change user ID notification requirement, remove redundancies, fix grammar inconsistencies, and add clarifying language. |
06/17/2024 |
Certified |
07/02/2024 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) |
06/28/2023 |
Certified |
07/13/2023 |
|
1 |
| DWSEF |
SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 |
05/22/2014 |
Certified |
06/07/2014 |
|
1 |
| TDERIV |
Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR |
06/30/2014 |
Certified |
07/16/2014 |
|
1 |
