BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. |
02/23/2024 |
Certified |
03/08/2024 |
|
1 |
TDERIV |
self-certification of fees on the SEF Trading System |
03/17/2016 |
Certified |
03/31/2016 |
|
1 |
TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of May 15, 2020. |
05/20/2020 |
Notified |
05/20/2020 |
|
1 |
IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/18/2022 |
Certified |
08/01/2022 |
|
1 |
LGX |
LedgerX Fee Schedule Update |
09/23/2020 |
Notified |
09/23/2020 |
|
1 |
IGDL |
Notification of Amendments to Rulebook. |
01/29/2021 |
Certified |
02/12/2021 |
|
1 |
BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook |
02/09/2022 |
Certified |
02/24/2022 |
|
1 |
TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(d), tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B to its Rulebook effective as of the date hereof. |
12/18/2015 |
Notified |
12/18/2015 |
|
1 |
TPSEF |
Notification of Amendments to Rulebook |
01/29/2021 |
Certified |
02/12/2021 |
|
1 |
TPSEF |
Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
CMESEF |
Elimination of CME SEF Rule 524 ("Uncleared Swaps") |
12/18/2015 |
Certified |
01/05/2016 |
|
1 |
BSEF |
Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
01/29/2021 |
Notified |
01/29/2021 |
|
1 |
BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) |
12/12/2013 |
Certified |
12/28/2013 |
|
1 |
ICAPSEF |
ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. |
04/03/2014 |
Certified |
04/18/2014 |
|
1 |
ICAPSEF |
Amendment to SEF Registration (9-27-13) |
09/27/2013 |
Certified |
07/29/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF - effective June 21, 2014 BSEF 2014-R-3 |
06/06/2014 |
Certified |
06/21/2014 |
|
1 |
TDERIV |
self certification of fees for the SEF Trading System |
11/06/2016 |
Certified |
11/21/2016 |
|
1 |
BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. |
12/14/2020 |
Certified |
12/29/2020 |
|
1 |
LGX |
LedgerX Updated Rulebook |
01/31/2021 |
Certified |
02/12/2021 |
|
1 |
CBOESEF |
Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 |
04/04/2014 |
Certified |
04/19/2014 |
|
1 |
GFISEF |
GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M |
06/09/2014 |
Certified |
06/24/2014 |
|
1 |
BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
BSEF |
Amended governance documentation (Operating Agreement and Information About Board of Directors) |
05/22/2020 |
Certified |
06/05/2020 |
|
1 |
DWSEF |
DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) |
12/21/2015 |
Certified |
01/06/2016 |
|
1 |
BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
TPSEF |
Updates to Appendix B to the tpSEF Rulebook - Swap Specifications |
12/15/2017 |
Notified |
12/15/2017 |
|
1 |
TDERIV |
Notification of SEF pricing structure effective 11/3/15 |
10/20/2015 |
Certified |
11/03/2015 |
|
1 |
TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of February 28, 2019. |
03/04/2019 |
Notified |
03/04/2019 |
|
1 |
BGC |
Amendment to the Volume Match and Volume Match prices rules. |
05/27/2015 |
Certified |
06/10/2015 |
|
1 |
IGDL |
Notification of certain non-substantive revisions to the ICAP Global Derivatives Limited Rulebook effective as of March 1, 2019. |
03/04/2019 |
Notified |
03/04/2019 |
|
1 |
BGC |
Technical corrections and amendments to rules. |
05/27/2015 |
Certified |
06/10/2015 |
|
1 |
BSEF |
CFTC Regulation 40.6(a) Certification: Amendment to the Bloomberg SEF LLC Rulebook |
05/23/2024 |
Certified |
06/07/2024 |
|
1 |
ICAPSEF |
Amended Rulebook |
10/10/2014 |
Certified |
10/27/2014 |
|
1 |
BSEF |
Rulebook Amendment |
04/27/2017 |
Certified |
05/11/2017 |
|
1 |
LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook related to § 37.6 amendments and other grammatical amendments |
05/24/2024 |
Certified |
06/10/2024 |
|
1 |
IGDL |
Amendment to IGDL's Rulebook. |
12/18/2017 |
Certified |
01/03/2018 |
|
1 |
TRAD |
Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. |
06/30/2021 |
Certified |
07/15/2021 |
|
1 |
CBOESEF |
Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 |
06/09/2014 |
Certified |
06/24/2014 |
|
1 |
TDERIV |
Change of exchange opening hours |
08/14/2018 |
Notified |
08/14/2018 |
|
1 |
360T |
360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) |
04/03/2014 |
Certified |
04/18/2014 |
|
1 |
IGDL |
Amended Rulebook |
11/29/2017 |
Certified |
12/13/2017 |
|
1 |
SEED CX |
Updating Various Rules in the Seed SEF Rulebook |
08/14/2019 |
Certified |
08/28/2019 |
|
1 |
GTX |
Fee schedule Amendment |
10/22/2015 |
Certified |
11/05/2015 |
|
1 |
CBOESEF |
Introduction of Order Operator ID and amendments to Authorized Trader registration. |
05/31/2023 |
Certified |
06/14/2023 |
|
1 |
TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. |
02/04/2021 |
Notified |
02/04/2021 |
|
1 |
BSEF |
Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. |
05/31/2023 |
Certified |
06/14/2023 |
|
1 |
IGDL |
Non-substantive revisions to the IGDL Rulebook effective February 12, 2021. |
02/04/2021 |
Notified |
02/04/2021 |
|
1 |
ICE SEF |
ICE Swap Trade - Rulebook amendments: clarify the process by which IST intends to implement and enforce its rules; responding to relevant CFTC guidance/comments. ICE SEF #14-08 |
03/18/2014 |
Certified |
04/02/2014 |
|
1 |