DWSEF |
Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. |
10/16/2014 |
Certified |
10/30/2014 |
|
2 |
ICAPSEF |
Revised Fee Card market maker program |
11/11/2016 |
Certified |
11/28/2016 |
|
2 |
ICAPSEF |
Revised Facility Rulebook |
09/09/2014 |
Certified |
09/23/2014 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program |
10/28/2022 |
Certified |
11/14/2022 |
|
2 |
TDERIV |
Non-substantive Rulebook Amendments |
09/21/2015 |
Notified |
09/21/2015 |
|
2 |
IGDL |
Amended Fee Card |
10/17/2014 |
Certified |
10/31/2014 |
|
2 |
RF SEF |
The Rulebook has been amended to incorporate amendments to CFTC Regulation 37.6(b) relating to uncleared swap confirmation requirements. |
05/29/2024 |
10 Day Review |
05/29/2024 |
|
2 |
TRAD |
Amendments to Tradition SEF Rulebook. |
09/21/2015 |
Certified |
10/05/2015 |
|
2 |
TRAD |
Amendments to Tradition SEF Rulebook. |
09/16/2016 |
Certified |
09/30/2016 |
|
2 |
IGDL |
Rulebook amendments |
07/27/2017 |
Certified |
08/10/2017 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program |
06/15/2022 |
Certified |
06/30/2022 |
|
2 |
AEGIS |
NEW - Exhibit N1a Participant Agreement for Market Participants |
07/11/2024 |
Notified |
07/11/2024 |
|
2 |
RF SEF |
RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). |
12/12/2022 |
Certified |
12/27/2022 |
|
2 |
RF SEF |
Removal of reference to CFTC NAL 17-17. |
05/30/2024 |
Certified |
06/12/2024 |
|
2 |
TPSEF |
Amendments to Exhibit Q to tpSEF's Form SEF. |
12/23/2019 |
Certified |
01/08/2020 |
|
2 |
IGDL |
Rulebook amendments |
09/12/2017 |
Certified |
09/26/2017 |
|
2 |
RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) |
11/09/2020 |
Certified |
11/24/2020 |
|
2 |
BGC |
Amended Rule 403(b) to reference Rule 515. |
05/30/2024 |
Certified |
06/13/2024 |
|
2 |
NEXSEF |
AMENDMENT TO NEX SEF LIMITED RULEBOOK RELATING TO SUMMARY FINES, AUDIT TRAIL REQUIRMENTS AND ERROR CORRECTION PROCESSES; ISSUANCE OF NEX SEF LIMITED MARKET REGULATION ADVISORY NOTICES MRAN 2021-01 AND 2021-02 |
02/09/2021 |
Certified |
02/24/2021 |
|
2 |
GFISEF |
Amended Rule 406(b) to include 37.6(b) and 37.6(b)(1) incorporating documents for uncleared swaps and the ability to request docs for regulatory review should the commission ask for specific documents. \r\n Amended Rule 541(a) for SEF notification. |
05/30/2024 |
Certified |
06/13/2024 |
|
2 |
IGDL |
IGDL-2021-R-4 - 40.6(a) Rule Certification (4.1.2021) |
04/01/2021 |
Certified |
04/15/2021 |
|
2 |
BGC |
Implementation document for an incentive program. |
04/10/2015 |
Certified |
04/24/2015 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Renewal of the LATAM EBS NDF Connectivity Incentive Program and Expiration of the EBS on-SEF UK/US Crossover Market Maker Program |
10/17/2023 |
Certified |
10/31/2023 |
|
2 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
05/23/2018 |
Certified |
06/07/2018 |
|
2 |
IGDL |
IGDL-2022-R-2 - 40.6(a) Rule Certification (6.16.22) |
06/16/2022 |
Certified |
07/01/2022 |
|
2 |
AEGIS |
Amendments to Exhibit N-1 Participant Agreement |
11/03/2022 |
Notified |
11/03/2022 |
|
2 |
IGDL |
Revised Discount Appendix to Fee Card |
05/16/2016 |
Certified |
05/31/2016 |
|
2 |
LGX |
Compliance Manual update |
07/10/2019 |
Certified |
07/24/2019 |
|
2 |
TWSEF |
TW SEF Fee update for Canadian Dollar Swaps |
07/08/2021 |
Certified |
07/22/2021 |
|
2 |
BSEF |
Notice to Participants informing Participants of certain amendments to Rule 301(e) (re: Trading Account information being kept up-to-date)and Rule 516.E(iv) (re: BSEF ability to cancel trades due to insufficient Trading Account information) |
08/08/2016 |
Certified |
08/22/2016 |
|
2 |
NEXSEF |
Amendments to the NEX SEF Limited Trading Participant Holder Agreement |
09/15/2022 |
Certified |
09/29/2022 |
|
2 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
10/24/2014 |
Certified |
11/07/2014 |
|
2 |
LGX |
Rulebook Amendment |
07/27/2022 |
Certified |
08/10/2022 |
|
2 |
RTX |
RTX revised Fee Schedule |
10/19/2023 |
Certified |
11/02/2023 |
|
2 |
ISBV |
Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct 24). \r\nPage 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. |
07/16/2024 |
10 Day Review |
07/16/2024 |
|
2 |
BSEF |
Bloomberg SEF LLC Compliance Manual |
05/02/2019 |
Certified |
05/16/2019 |
|
2 |
NEXSEF |
Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program |
03/14/2023 |
Certified |
03/28/2023 |
|
2 |
GFISEF |
Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 |
12/17/2013 |
Certified |
01/03/2014 |
|
2 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
12/01/2017 |
Certified |
12/15/2017 |
|
2 |
LGX |
Rulebook updates |
04/08/2022 |
Certified |
04/22/2022 |
|
2 |
TRAD |
Amendments to Tradition SEF Rulebook |
06/03/2015 |
Certified |
06/17/2015 |
|
2 |
RF SEF |
Thomas Reuters (SEF) amending its rulebook in response to comments and questions regarding TR SEF. Submission 13-03 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
IGDL |
Amendment to Confidential Rule 902. |
09/23/2015 |
Certified |
10/07/2015 |
|
2 |
RF SEF |
The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) |
02/12/2021 |
Certified |
03/01/2021 |
|
2 |
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 Fee Schedule. |
12/01/2015 |
Certified |
12/15/2015 |
|
2 |
DWSEF |
DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) |
01/07/2016 |
Certified |
01/22/2016 |
|
2 |
RF SEF |
Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. |
06/08/2023 |
Certified |
06/23/2023 |
|
2 |
RF SEF |
The rule amendments have been made to introduce voluntary clearing of NDFs. |
03/11/2024 |
Certified |
03/25/2024 |
|
2 |
TWSEF |
The Rulebook has been amended in order to implement certain requirements with respect to error trades related to CFTC No-Action Letter 20-01. |
04/09/2020 |
Certified |
04/23/2020 |
|
2 |
TDERIV |
Weekly notification of non-substantive rulebook revisions. |
08/05/2014 |
Notified |
08/05/2014 |
|
2 |