TRAD |
Amendment to Tradition SEF, Inc. Fee Schedule |
09/06/2018 |
Certified |
09/20/2018 |
|
3 |
NEXSEF |
Amended Rulebook |
08/27/2018 |
Certified |
09/11/2018 |
|
3 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) |
08/16/2018 |
Certified |
08/30/2018 |
|
1 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
08/10/2018 |
Certified |
08/24/2018 |
|
2 |
CBOESEF |
Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. |
08/06/2018 |
Certified |
08/20/2018 |
|
1 |
NEXSEF |
Amended Fee Program |
08/03/2018 |
Certified |
08/17/2018 |
|
2 |
TDERIV |
Change of exchange opening hours |
08/14/2018 |
Notified |
08/14/2018 |
|
1 |
BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) |
07/26/2018 |
Certified |
08/09/2018 |
|
2 |
BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Rulebook |
07/25/2018 |
Certified |
08/08/2018 |
|
1 |
IGDL |
Updates to SEF Discount Structure Appendix to IGDL's fee schedule. |
07/17/2018 |
Certified |
07/31/2018 |
|
1 |
NEXSEF |
Revised Fee Program discount programs |
07/17/2018 |
Certified |
07/31/2018 |
|
2 |
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 |
BSEF |
Notice to Participants regarding trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. |
07/02/2018 |
Certified |
07/17/2018 |
|
1 |
BSEF |
Notice to Participants regarding the lifting of a trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. |
07/02/2018 |
Certified |
07/17/2018 |
|
1 |
NEXSEF |
Revised Fee Program |
06/18/2018 |
Certified |
07/02/2018 |
|
4 |
TRAD |
Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. |
06/18/2018 |
Certified |
07/02/2018 |
|
3 |
LGX |
Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. |
06/11/2018 |
Certified |
06/25/2018 |
|
4 |
TRAD |
Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. |
05/31/2018 |
Certified |
06/14/2018 |
|
3 |
NEXSEF |
Correction of typographical error in Rule 315 |
06/08/2018 |
Notified |
06/08/2018 |
|
3 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
05/23/2018 |
Certified |
06/07/2018 |
|
2 |
LGX |
Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. |
05/23/2018 |
Certified |
06/07/2018 |
|
3 |
IGDL |
Regulation 40.6(a) Rule Certification. |
05/09/2018 |
Certified |
05/23/2018 |
|
1 |
BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") |
05/08/2018 |
Certified |
05/22/2018 |
|
1 |
BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") |
05/08/2018 |
Certified |
05/22/2018 |
|
1 |
ICE SEF |
The trading and holiday schedule for 2018 is being revised to clarify the reserved maintenance window in Commodity Contracts. |
05/22/2018 |
Notified |
05/22/2018 |
|
5 |
NEXSEF |
Amendment to Rule 802(1) IRS Specifications |
05/07/2018 |
Certified |
05/21/2018 |
|
3 |
CBOESEF |
Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. |
05/07/2018 |
Certified |
05/21/2018 |
|
1 |
LGX |
Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. |
05/01/2018 |
Certified |
05/15/2018 |
|
3 |
TDERIV |
Self-certification of fees to be charged to Participants on the SEF Trading System. |
04/19/2018 |
Certified |
05/03/2018 |
|
1 |
NEXSEF |
Certification of amendments to NEX SEF Rulebook and issuance of a Market Regulation Advisory Notice |
04/17/2018 |
Certified |
05/01/2018 |
|
5 |
TDERIV |
name change for GBP OIS floating rate index |
04/30/2018 |
Notified |
04/30/2018 |
|
1 |
TWSEF |
Amendment to TW SEF Rulebook and Fee Schedule |
04/11/2018 |
Certified |
04/25/2018 |
|
6 |
DWSEF |
DW SEF Rulebook Amendments |
04/11/2018 |
Certified |
04/25/2018 |
|
4 |
BSEF |
Amended Compliance Manual |
04/02/2018 |
Certified |
04/16/2018 |
|
2 |
RADSEF |
Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters |
03/30/2018 |
Certified |
04/13/2018 |
|
3 |
TRAD |
Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement |
03/29/2018 |
Certified |
04/12/2018 |
|
3 |
BSEF |
Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it hasamended its Rulebook. The amended Rulebook will become effective on April 13, 2018. |
03/28/2018 |
Certified |
04/11/2018 |
|
1 |
TDERIV |
non-substantive rule changes |
04/11/2018 |
Notified |
04/11/2018 |
|
1 |
LGX |
Submission of revised fee schedule. |
03/27/2018 |
Certified |
04/10/2018 |
|
1 |
NEXSEF |
Revised Fee Program |
03/16/2018 |
Certified |
03/30/2018 |
|
2 |
BSEF |
Revised BSEF fee schedule |
03/14/2018 |
Certified |
03/28/2018 |
|
2 |
CBOESEF |
Changes to the composition of the Business Conduct Committee and Panels. |
03/05/2018 |
Certified |
03/19/2018 |
|
1 |
CBOESEF |
Changes to composition of Business Conduct Committee and Panels, introduction of PEN and RUB Contracts. |
03/05/2018 |
Withdrawn |
03/05/2018 |
|
1 |
SEED CX |
Weekly Notification of Rule Amendments |
03/05/2018 |
Notified |
03/05/2018 |
|
1 |
GTX |
Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. |
02/16/2018 |
Certified |
03/05/2018 |
|
1 |
LGX |
Submission of revised fee schedule. |
02/13/2018 |
Certified |
02/28/2018 |
|
1 |
TDERIV |
Expansion of trading hours for IRS products |
02/16/2018 |
Notified |
02/16/2018 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to clarify the process by which IST intends to implement and enforce certain of its rules. |
02/01/2018 |
Certified |
02/15/2018 |
|
1 |
NEXSEF |
Weekly Submission of Rule Amendments |
02/02/2018 |
Notified |
02/02/2018 |
|
2 |
CBOESEF |
Cboe SEF, LLC is submitting certain changes to its rulebook to, among other things, add a definition of "Minimum Tick Size," clarify the difference between Participant Data and SEF Market Data, and clarify applicable fitness standards. |
01/17/2018 |
Certified |
01/31/2018 |
|
1 |