| CBOESEF |
Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. |
05/08/2020 |
Certified |
05/22/2020 |
|
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 |
| TRAD |
Amendment to Rule 412(a), (b), (d) and (e) to permit confirmation to e directed to Broker Firm Participants. Amendment to Rule 508 to permit a work-up process to commence upon execution via a Request for Continuous Stream. |
04/30/2020 |
Certified |
05/14/2020 |
|
1 |
| TPSEF |
Amendments to tpSEF's Rulebook and Compliance Manual. |
04/29/2020 |
Certified |
05/13/2020 |
|
2 |
| NEXSEF |
Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. |
04/21/2020 |
Certified |
05/05/2020 |
|
3 |
| 360T |
The Rulebook has been amended in response to 360T functionality development. |
04/17/2020 |
Certified |
05/01/2020 |
|
6 |
| TPSEF |
Updates to the tpSEF Inc. Risk Mitigation Procedures |
04/13/2020 |
Certified |
04/27/2020 |
|
1 |
| 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 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc. notifies the CFTC that it will release the attached Notice to Participants on March 26, 2020. |
03/26/2020 |
Certified |
04/09/2020 |
|
1 |
| IGDL |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), ICAP Global Derivatives Limited notifies the CFTC that it will release the attached Market Regulation Advisory Notice on March 26, 2020. |
03/26/2020 |
Certified |
04/09/2020 |
|
1 |
| IGDL |
Amendments to ICAP Global Derivatives Limited's Rulebook, Governance Policy and Compliance Manual. |
03/24/2020 |
Certified |
04/07/2020 |
|
2 |
| TWSEF |
TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
| DWSEF |
DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
| LGX |
LedgerX Participant Incentive Program |
03/20/2020 |
Certified |
04/03/2020 |
|
3 |
| NEXSEF |
Self certification of NEX SEF Market Regulation Advisory Notice for update of Quote Fill Ratio Thresholds. |
03/18/2020 |
Certified |
04/01/2020 |
|
2 |
| CBOESEF |
Cboe SEF is adding a new rule to govern its full amount platform. |
03/13/2020 |
Certified |
03/27/2020 |
|
1 |
| TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of March 20, 2020. |
03/26/2020 |
Notified |
03/26/2020 |
|
1 |
| LGX |
Submission of Revised fee schedule |
03/04/2020 |
Certified |
03/18/2020 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual |
02/26/2020 |
Certified |
03/11/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook |
02/26/2020 |
Certified |
03/11/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2020-R-03 (Notice to Participants) Rule 516.A: Alleged Error Trade Correction |
02/26/2020 |
Certified |
03/11/2020 |
|
1 |
| TWSEF |
Amendments to TW SEF's Fully Integrated API Services Fee Schedule (Emerging Market Currencies) |
02/21/2020 |
Certified |
03/06/2020 |
|
2 |
| TPSEF |
tpSEF is adopting the attached form of Prime Broker Acknowledgment Letter as provided in Exhibit A. |
02/21/2020 |
Certified |
03/06/2020 |
|
1 |
| SWAPX |
Updates to the SwapEx SEF Rulebook to align with relevant regulation. |
02/19/2020 |
Certified |
03/04/2020 |
|
2 |
| NEXSEF |
Updates to rulebook that specify Pre-Arranged Crosses may only be intermediated by bulk risk mitigation services. Update to table of contents. |
02/13/2020 |
Certified |
02/28/2020 |
|
3 |
| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
02/13/2020 |
Certified |
02/28/2020 |
|
1 |
| TPSEF |
Amendments to tpSEF Fee Schedule |
02/04/2020 |
Certified |
02/19/2020 |
|
2 |
| CBOESEF |
Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. |
01/16/2020 |
Certified |
01/31/2020 |
|
2 |
| TPSEF |
Amendments to Exhibit Q to tpSEF's Form SEF. |
12/23/2019 |
Certified |
01/08/2020 |
|
2 |
| TWSEF |
TW SEF made certain updates to its Fully Integrated API Services Fee Schedule (Rate Swaps Currencies - Tokyo Hours Only) |
01/07/2020 |
Notified |
01/07/2020 |
|
2 |
| NEXSEF |
Market Regulation Advisory Notice 2020-01 and related rulebook amendment |
12/18/2019 |
Certified |
01/03/2020 |
|
2 |
| TPSEF |
Amendments to tpSEF Fee Schedule |
12/13/2019 |
Certified |
12/30/2019 |
|
2 |
| TPSEF |
Amendments to tpSEF Fee Schedule |
12/09/2019 |
Certified |
12/23/2019 |
|
2 |
| LGX |
Fee Schedule Amendmenet |
12/06/2019 |
Notified |
12/06/2019 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook |
11/20/2019 |
Certified |
12/05/2019 |
|
1 |
| CBOESEF |
Cboe SEF, LLC, is amending its rules to clarify certain trading conventions in respect of Contracts listed for trading on Cboe SEF, and to modify the Minimum Tick Size applicable in respect of the USD/RUB Contract. |
11/05/2019 |
Certified |
11/20/2019 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2019-R-10). |
11/01/2019 |
Certified |
11/18/2019 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2019-R-09). |
11/01/2019 |
Certified |
11/18/2019 |
|
1 |
| TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of November 4, 2019. |
11/14/2019 |
Notified |
11/14/2019 |
|
1 |
| TRAD |
Amendments to Fee Schedule |
10/07/2019 |
Certified |
10/22/2019 |
|
2 |
| TWSEF |
Weekly Notification of Rule Amendments for TW SEF - Week of September 30, 2019 |
10/07/2019 |
Notified |
10/07/2019 |
|
2 |
| NEXSEF |
Revised Fee Program to include new market maker program for certain Non Deliverable Forwards |
09/17/2019 |
Certified |
10/01/2019 |
|
2 |
| TDERIV |
Amendment to Designated Market Maker Program |
09/04/2019 |
Certified |
09/18/2019 |
|
1 |
| TDERIV |
Amendments related to name change of the trueDigital Division to Tassat Division, and clarifying amendments to trading rules and protocols. |
09/04/2019 |
Certified |
09/17/2019 |
|
1 |
| TPSEF |
Amendments to Exhibit Q to tpSEF's Form SEF. |
08/30/2019 |
Certified |
09/16/2019 |
|
2 |
| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
08/30/2019 |
Certified |
09/16/2019 |
|
1 |
| SEED CX |
Updating Various Rules in the Seed SEF Rulebook |
08/14/2019 |
Certified |
08/28/2019 |
|
1 |
| NEXSEF |
Update Chapter 8 to incorporate changes made to the terms of existing products (made in separately filed 40.2(a) filings) and make various substantive formatting and clean-up changes throughout the rule book. |
08/27/2019 |
Notified |
08/27/2019 |
|
1 |
| TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of August 21, 2019. |
08/26/2019 |
Notified |
08/26/2019 |
|
1 |
| SEED CX |
Seed SEF LLC Rule Submission - Amending Various Rules Related to Execution and Settlement of Transactions (SCXS Submission #19-001) |
08/02/2019 |
Certified |
08/16/2019 |
|
1 |
