| TPSEF |
Amendments to Rule 3109 (Authorized Traders) and Rule 4013.A. (Cleared Swaps) of the tpSEF Rulebook. |
09/16/2024 |
Certified |
09/30/2024 |
|
1 |
| GFISEF |
Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| IGDL |
Regulation 40.6(a) Rule Certification. |
05/09/2018 |
Certified |
05/23/2018 |
|
1 |
| LGX |
Fee Schedule Change |
12/09/2020 |
Notified |
12/09/2020 |
|
1 |
| IGDL |
Amendments to ICAP Global Derivatives Limiteds Rulebook |
05/21/2024 |
Certified |
06/05/2024 |
|
1 |
| TPSEF |
Amendments to Rule 4012 (Confirmations and USIs) of the tpSEF Rulebook. |
05/21/2024 |
Certified |
06/05/2024 |
|
1 |
| GFISEF |
Amendments to Rules 405 and 509 |
11/25/2015 |
Certified |
12/10/2015 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") |
05/08/2018 |
Certified |
05/22/2018 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") |
05/08/2018 |
Certified |
05/22/2018 |
|
1 |
| GTX |
Fee schedule Amendment |
03/27/2015 |
Certified |
04/09/2015 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Rule 312(c) ("Enforceability of Transactions - Issuance of Facility Confirmations for Uncleared Transactions") of the NEX SEF Rulebook (Form SEF Exhibit M) |
05/22/2024 |
Certified |
06/06/2024 |
|
1 |
| DWSEF |
Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions |
01/16/2015 |
Certified |
02/02/2015 |
|
1 |
| CMESEF |
Amendments to SEF Rules to Reflect Recent CFTC Guidance and No-Action Relief. CMESEF #14-018 |
01/15/2014 |
Certified |
01/31/2014 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 |
05/30/2014 |
Certified |
06/14/2014 |
|
1 |
| TRAD |
Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. |
03/27/2015 |
Certified |
04/10/2015 |
|
1 |
| ICE SEF |
ICE Swap Trade Rule Amendment - Amended Rulebook, letter dated October 18, 2013 |
10/21/2013 |
Certified |
11/05/2013 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/03/2022 |
Notified |
05/03/2022 |
|
1 |
| ICE SEF |
EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. This amendment will be effective October, 1, 2014. |
10/01/2014 |
Certified |
10/16/2014 |
|
1 |
| CMSEF |
Amendment and revision to rulebook. |
07/13/2017 |
Certified |
07/27/2017 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: amended certain contracts it submitted to the Commission on November 1, 2013. (Letter dated December 5, 2013) 2013-R-8 |
12/06/2013 |
Certified |
12/21/2013 |
|
1 |
| RADSEF |
TeraExchange 40.6 Filing 15-01 - Rulebook Amendments |
01/19/2015 |
Certified |
02/02/2015 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: response to comments and questions received from potential users of BSEF's swap execution facility. (Letter dated December 9, 2013) 2013-R-10 |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
| BSEF |
Notification of Bloomberg SEF LLC's intention to release a Notice to Participants on September 11, 2015, which will provide guidance to Participants regarding Bloomberg SEF LLC's policy governing error trades. |
09/10/2015 |
Certified |
09/24/2015 |
|
1 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective November 5, 2020. |
11/05/2020 |
Notified |
11/05/2020 |
|
1 |
| CBOESEF |
The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
| MKAXSEF |
Updating its Rulebook to reflect recent developments and to provide clarity. Letter dated December 11, 2013 |
12/11/2013 |
Withdrawn |
12/20/2013 |
|
1 |
| TPSEF |
tpSEF Submission #14-02R -- Rulebook Amendments - Rule 1000 and Rule 4013 |
06/04/2014 |
Certified |
06/19/2014 |
|
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. |
10/15/2015 |
Certified |
10/29/2015 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook effective November 5, 2020. |
11/05/2020 |
Notified |
11/05/2020 |
|
1 |
| CBOESEF |
Implementation of market maker program. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
| TDERIV |
Amendments related to extension of No-Action letters relating to Block Trades and Package Transactions. In addition, rule amendments related to uncleared trades. |
11/01/2016 |
Certified |
11/16/2016 |
|
1 |
| IGDL |
Amendments to ICAP Global Derivatives Limited's Rulebook |
06/19/2020 |
Certified |
07/06/2020 |
|
1 |
| CBOESEF |
The Amendment will memorialize Cboe SEF's Statement of Commitment to the FX Global Code. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
| TPSEF |
Elimination of a Participant's ability to expose one side of a Required Transaction for less than 15 seconds. |
04/02/2015 |
Certified |
04/16/2015 |
|
1 |
| CBOESEF |
Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. |
08/06/2018 |
Certified |
08/20/2018 |
|
1 |
| MKAXSEF |
Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
| CBOESEF |
Notice to Participants related to amendments made to Rule 318. |
05/15/2015 |
Certified |
06/01/2015 |
|
1 |
| CMSEF |
SEF Rulebook Amendment Certification |
06/29/2015 |
Certified |
07/14/2015 |
|
1 |
| CMSEF |
SEF Rulebook Amendment |
08/03/2016 |
Certified |
08/17/2016 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). |
08/14/2023 |
Certified |
08/28/2023 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-19. |
12/09/2024 |
10 Day Review |
12/09/2024 |
|
1 |
| TPSEF |
Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| BGC |
Notice of BGC Derivative Markets, L.P. Claiming Relief Under CFTC Letter No. 13-62 October 8, 2013 (2013-01) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to clarify the process by which IST intends to implement and enforce certain of its rules. |
02/01/2018 |
Certified |
02/15/2018 |
|
1 |
| CBOESEF |
Amendments to reflect the terms of the prohibition of the practice of post-trade name give-up in accordance with Commission regulation 37.9(d), and elimination of minimum Notional Amount for Contracts executed on Cboe SEF. |
11/06/2020 |
Certified |
11/23/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) |
12/02/2022 |
Certified |
12/16/2022 |
|
1 |
| SWAPX |
Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 |
10/18/2013 |
Certified |
11/02/2013 |
|
1 |
| TPSEF |
tpSEF Inc. Amended Fee Schedule (January 31, 2014) |
02/03/2014 |
Certified |
07/29/2014 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/19/2021 |
Notified |
03/19/2021 |
|
1 |
| LGX |
Self-certification of revisions to LLC Operating Agreement |
07/07/2023 |
Certified |
07/21/2023 |
|
1 |
