TDERIV |
Non-substantive and typographical and grammatical rulebook revisions. |
07/22/2014 |
Certified |
08/05/2014 |
|
2 |
TDERIV |
Weekly notification of non-substantive rulebook revisions. |
08/05/2014 |
Notified |
08/05/2014 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is revising its Trade Error Policy. |
07/21/2014 |
Certified |
08/04/2014 |
|
4 |
CBOESEF |
Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. |
07/21/2014 |
Certified |
08/04/2014 |
|
3 |
CMESEF |
Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief |
07/18/2014 |
Certified |
08/01/2014 |
|
2 |
BGC |
Resubmission of Rule 505 - Contract Specifications are being amended to provide that persons entering into pre-discussed trades or cross trades in the specified Interest Rate Swaps, must wait at least 5 seconds after the Initial Order. BGC #2013-03 |
01/30/2014 |
Certified |
07/29/2014 |
|
7 |
BSEF |
Bloomberg SEF LLC - Rule amendment - Amended Rulebook, (letter dated November 8, 2013) : Exhibit A, Exhibit B, Exhibit C, Cover Sheet 2013-R-7 |
11/12/2013 |
Certified |
07/29/2014 |
|
1 |
TPSEF |
tpSEF Inc. Amended Fee Schedule (January 31, 2014) |
02/03/2014 |
Certified |
07/29/2014 |
|
1 |
TPSEF |
tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) |
02/21/2014 |
Certified |
07/29/2014 |
|
1 |
MKAXSEF |
Amended MarketAxess application for registration as a SEF. (September 30, 2013) |
09/30/2013 |
Certified |
07/29/2014 |
|
2 |
ICAPSEF |
Amendment to SEF Registration (9-27-13) |
09/27/2013 |
Certified |
07/29/2014 |
|
1 |
ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - Specifically Rules 204, 404, 503 and 506 ICAP 2014-R-6 |
07/11/2014 |
Certified |
07/25/2014 |
|
0 |
IGDL |
ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook IGDL - 2014-R-4 |
07/11/2014 |
Certified |
07/25/2014 |
|
0 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees |
07/10/2014 |
Certified |
07/24/2014 |
|
1 |
RF SEF |
Thomas Reuters - Amendments to Rulebook - Submission #14-03 |
07/08/2014 |
Certified |
07/23/2014 |
|
1 |
GFISEF |
GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. |
07/03/2014 |
Certified |
07/19/2014 |
|
1 |
LATAM |
LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 |
07/03/2014 |
Certified |
07/19/2014 |
|
1 |
ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 |
07/02/2014 |
Certified |
07/18/2014 |
|
1 |
RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 |
07/02/2014 |
Certified |
07/18/2014 |
|
1 |
IGDL |
Revised Facility Rulebook |
07/15/2014 |
Withdrawn |
07/18/2014 |
|
5 |
GFISEF |
GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 |
07/01/2014 |
Certified |
07/17/2014 |
|
1 |
TDERIV |
Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S |
06/30/2014 |
Certified |
07/16/2014 |
|
1 |
TDERIV |
Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR |
06/30/2014 |
Certified |
07/16/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective July 1, 2014 Submission #2014-R-4 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
IGDL |
ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
GFISEF |
Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
SWAPX |
SwapEX LLC - Rule Amendments - effective July 15, 2014 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
TDERIV |
Rulebook amendments to remove all references to Regulatory Service Provider and related terms. TRUEEX #2014-11S |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
IGDL |
Rulebook Amendment, specifically Rule 204. IGDL #2014-R-3 |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
ICAPSEF |
ICAP SEF - Amended Rulebook - ICAPSEF #2014-R4 |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
TRAD |
Tradition SEF, Inc. - Rulebook Amendments - TRAD #14-18 |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
TPSEF |
tpSEF Inc - Rulebook Amendments - effective July 14, 2014 (Submission 14-04R) |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
TDERIV |
Various Rule Amendments - TRUEEX #2014-12S |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
TRAD |
Notification of Amendments to Tradition SEF, Onc. Rulebook. TRAD #14-18 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC - Rulebook Amendments - Effective July 9, 2014 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
GFISEF |
Withdrawal of Registration Submission #14-0012W |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
ICE SEF |
ICE Swap Trade LLC - Rule Amendment - Revised Error Trade Policy. ICE SEF #14-20 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
MKAXSEF |
MarketAxess SEF Corporation - Updated Rulebook - effective July 11, 2014 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective June 21, 2014 |
06/20/2014 |
Certified |
07/08/2014 |
|
1 |
GFISEF |
GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M |
06/18/2014 |
Certified |
07/03/2014 |
|
1 |
MKAXSEF |
MarketAxess SEF Corporation - Updated its Rulebook to reflect recent developments and to provide clarity. Effective June 30, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
GTX |
GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
TPSEF |
tpSEF Inc. Rulebook Amendments - Submission #14-03R - July 1, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
GTX |
GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
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 |
TPSEF |
tpSEF Inc. - Amending its Fee Schedule -- TPSEF Submission #14-02F |
06/12/2014 |
Certified |
06/27/2014 |
|
1 |
GFISEF |
GFI Swaps Exchange Submission #14-0012 - Rule Amendments to GFI Rules 101, 401, 405, 525, 538, 541 |
06/11/2014 |
Certified |
06/26/2014 |
|
1 |
CBOESEF |
Javelin SEF, LLC - New Fee Schedule - Submission #14-07 |
06/10/2014 |
Certified |
06/25/2014 |
|
0 |
GFISEF |
GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M |
06/09/2014 |
Certified |
06/24/2014 |
|
1 |