| ICE SEF |
ICE Swap Trade LLC - Rule Amendment - Amended Rulebook Submission #14-18 Effective June 27, 2014 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
| GFISEF |
Various Rulebook amendments |
12/23/2014 |
Withdrawn |
01/05/2015 |
|
1 |
| BGC |
The attached amendments are made in response to suggestions and guidance from staff. |
08/31/2015 |
Certified |
09/15/2015 |
|
1 |
| TDERIV |
trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker |
07/25/2023 |
Certified |
08/08/2023 |
|
1 |
| GFISEF |
Holiday Closures |
12/23/2014 |
Certified |
01/08/2015 |
|
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. |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| TDERIV |
Changes to Trading Hours on the SEF Trading System. PTC system closes at 5 pm Eastern time effective May 1, 2019. |
05/10/2019 |
Notified |
05/10/2019 |
|
1 |
| CBOESEF |
Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. |
07/13/2020 |
Certified |
07/27/2020 |
|
1 |
| TDERIV |
Policies and Procedures regarding Post-Trade Allocation of Bunched Orders. TRUSEF #2013-18 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| CMSEF |
SEF Rulebook Amendment Certification |
07/20/2015 |
Withdrawn |
07/28/2015 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
03/27/2017 |
Certified |
04/10/2017 |
|
1 |
| NEXSEF |
Amendments to Quote Fill Ratios for Certain Currency Pairs and Issuance of NEX SEF Market Regulation Advisory Notice 2021-03 |
06/01/2021 |
Certified |
06/15/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual |
01/05/2022 |
Certified |
01/20/2022 |
|
1 |
| GFISEF |
GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M |
06/18/2014 |
Certified |
07/03/2014 |
|
1 |
| BSEF |
Rulebook amendment |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| DWSEF |
DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| CMESEF |
Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) |
12/03/2015 |
Certified |
12/17/2015 |
|
1 |
| CMESEF |
Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. |
07/11/2018 |
Certified |
07/25/2018 |
|
1 |
| NEXSEF |
Form SEF Exhibit updates related to NEX SEF integration with CME, as well as miscellaneous changes. |
09/09/2020 |
Certified |
09/23/2020 |
|
1 |
| TWSEF |
TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| BSEF |
Notice to Participants |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| GFISEF |
Rulebook Amendments - GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| CMSEF |
SEF Rule Amendment |
08/19/2016 |
Certified |
09/02/2016 |
|
1 |
| TDERIV |
notification of non-substantive amendments. |
06/18/2017 |
Notified |
06/18/2017 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC - Rule Amendment - Revised Error Trade Policy - Submission 14-12 |
04/14/2014 |
Certified |
04/29/2014 |
|
0 |
| BSEF |
Bloomberg SEF LLC - Amendment to Form SEF and Related Request for Freedom of Information Act Confidential Treatment (November 26, 2013) |
11/27/2013 |
Certified |
12/13/2013 |
|
0 |
| 360T |
360 Trading Networks, Inc. amendment to Form SEF |
11/27/2013 |
Certified |
12/13/2013 |
|
0 |
| BSEF |
Bloomberg SEF LLC - Submission of Bloomberg SEF's Financial Report. |
11/12/2013 |
Certified |
11/27/2013 |
|
0 |
| SWAPX |
Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 |
12/04/2013 |
Certified |
12/19/2013 |
|
0 |
| CBOESEF |
Revised - Javelin Determination of Made Available to Trade of certain Interest Rate Swaps (Submission 13-06R(3)) |
01/08/2014 |
90 Day Review |
01/14/2014 |
|
0 |
| ICAPSEF |
ICAP SEF - Rule Amendments - Amended Rulebook - Definitions and Rules 204, 205, 305, 315, 404. ICAPSEF #2014-R-3 |
05/22/2014 |
Certified |
06/07/2014 |
|
0 |
| TPSEF |
tpSEF - Amendments to Rulebook (dated January 10, 2014) |
01/13/2014 |
Certified |
01/29/2014 |
|
0 |
| IGDL |
US Dollar Interest Swap Rate Swap Central Limit Order Book Market Making Incentive Program. IGDL - 2014-R-2 |
05/30/2014 |
Certified |
06/14/2014 |
|
0 |
| TRAD |
Tradition SEF, Inc. Notice #14-03 - Observing the Martin Luther King Holiday on Monday, January 20, 2014 |
01/14/2014 |
Certified |
01/30/2014 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TPSEF |
tpSEF Inc. - Amended Swap Execution Facility Application Exhibits. |
06/02/2014 |
Certified |
06/17/2014 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| 360T |
Amendments to 360T SEF Application for Registration and documents with request for confidential treatment. October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| GFISEF |
Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| MKAXSEF |
Amended MarketAxess application for registration as a SEF. (October 17, 2013) |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| MKAXSEF |
Updating the Rulebook to reflect recent developments and to provide clarity. (10-17-13) |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TWSEF |
TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| DWSEF |
DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| DWSEF |
Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| TWSEF |
TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
