BSEF |
Compliance Manual Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
4 |
BGC |
As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. |
11/29/2016 |
Certified |
12/13/2016 |
|
1 |
CMESEF |
Amendments to Chapter 4 ("Enforcement of Rules") |
11/29/2016 |
Certified |
12/13/2016 |
|
5 |
TWSEF |
Amended Fee Schedule for CAD Swaps for API Participants |
11/28/2016 |
Certified |
12/12/2016 |
|
1 |
ICAPSEF |
Revised exhibit to Rule 901 |
11/15/2016 |
Certified |
11/30/2016 |
|
2 |
ICAPSEF |
Revised Fee Card market maker program |
11/11/2016 |
Certified |
11/28/2016 |
|
2 |
MKAXSEF |
Rulebook changes to reflect recent developments and to provide clarity. |
11/09/2016 |
Certified |
11/25/2016 |
|
4 |
TDERIV |
self certification of fees for the SEF Trading System |
11/06/2016 |
Certified |
11/21/2016 |
|
1 |
ICAPSEF |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
IGDL |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
ICAPSEF |
Amended Rulebook to reflect NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
IGDL |
Amended Rulebook reflecting NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
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 |
TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. |
10/27/2016 |
Certified |
11/10/2016 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. |
10/26/2016 |
Certified |
11/09/2016 |
|
4 |
DWSEF |
DW SEF Amended IRS Fee Schedule |
10/24/2016 |
Certified |
11/07/2016 |
|
1 |
BSEF |
Rulebook Amendment |
10/21/2016 |
Certified |
11/04/2016 |
|
1 |
TPSEF |
Supplement to Exhibit N to Form SEF |
10/11/2016 |
Certified |
10/25/2016 |
|
1 |
CBOESEF |
To prevent inconsistency with Rule 319 "Withdrawal of a Participant", and conform with market practice. |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
CMESEF |
Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
TWSEF |
Amended TW SEF Rulebook |
10/03/2016 |
Certified |
10/18/2016 |
|
4 |
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 submission. |
10/03/2016 |
Certified |
10/18/2016 |
|
1 |
ICAPSEF |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
7 |
IGDL |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
3 |
LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
09/22/2016 |
Certified |
10/06/2016 |
|
1 |
LATAM |
Update to LatAM SEF Rule Book Version 1.5 |
09/22/2016 |
Certified |
10/06/2016 |
|
2 |
TDERIV |
Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. |
09/21/2016 |
Certified |
10/05/2016 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
SEED CX |
Certification of new Rule 203 to establish procedures for adding Directors to the Board. |
09/21/2016 |
Certified |
10/05/2016 |
|
1 |
TRAD |
Amendments to Tradition SEF Rulebook. |
09/16/2016 |
Certified |
09/30/2016 |
|
2 |
SWAPX |
Amendment of certain trade practice and disciplinary rules |
09/15/2016 |
Certified |
09/29/2016 |
|
4 |
360T |
Revision of Rulebook and User Guides. |
09/13/2016 |
Certified |
09/27/2016 |
|
7 |
TWSEF |
Amended TW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
DWSEF |
Amended DW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
TWSEF |
Amended Fees Schedules |
09/12/2016 |
Certified |
09/26/2016 |
|
3 |
ICAPSEF |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
IGDL |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
CMSEF |
Update of Exhibit N |
09/08/2016 |
Certified |
09/22/2016 |
|
1 |
CMSEF |
Amendment to Rule 406 |
09/07/2016 |
Certified |
09/21/2016 |
|
2 |
BSEF |
Amendment to BSEF Rule 533 |
09/02/2016 |
Certified |
09/19/2016 |
|
1 |
CBOESEF |
Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. |
08/26/2016 |
Certified |
09/12/2016 |
|
1 |
RADSEF |
Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. |
08/25/2016 |
Certified |
09/09/2016 |
|
3 |
TRAD |
Amendments to Tradition SEF Rulebook |
08/25/2016 |
Certified |
09/09/2016 |
|
3 |
TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the CFTC that it wishes to amend its Rulebook as provided in the attached submission. |
08/23/2016 |
Certified |
09/07/2016 |
|
1 |
TRAD |
Emergency Rule Submission. Amendments to Tradition SEF Trad-X Platform Supplement. |
08/19/2016 |
Certified |
09/02/2016 |
|
2 |
CMSEF |
SEF Rule Amendment |
08/19/2016 |
Certified |
09/02/2016 |
|
1 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
08/18/2016 |
Certified |
09/01/2016 |
|
2 |
IGDL |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |
ICAPSEF |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |