ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook. |
04/02/2015 |
Certified |
04/16/2015 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is amending its Trading Hours. |
02/18/2015 |
Certified |
03/04/2015 |
|
3 |
ICE SEF |
ICE Swap Trade, LLC is issuing guidance with respect to Rule 525(g) "Mid-Market Order" type. |
12/16/2015 |
Certified |
12/31/2015 |
|
3 |
ICE SEF |
ICE Swap Trade, LLC is revising its Error Trade Policy. |
03/20/2015 |
Certified |
04/03/2015 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is revising its Error Trade Policy. |
03/20/2015 |
Certified |
04/03/2015 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is revising its Error Trade Policy. |
03/06/2015 |
Certified |
03/20/2015 |
|
6 |
ICE SEF |
ICE Swap Trade, LLC is revising its Trade Error Policy. |
07/21/2014 |
Certified |
08/04/2014 |
|
4 |
ICE SEF |
ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. |
03/24/2015 |
Certified |
04/07/2015 |
|
2 |
ICE SEF |
ICE Swap Trade, LLC is submitting Certification under 40.6(a) amending its current SEF Fee Schedule. Please note that ICE Swap Trade has requested confidential treatment for this filing. |
10/02/2014 |
Certified |
10/17/2014 |
|
3 |
ICE SEF |
ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. |
12/19/2016 |
Certified |
01/04/2017 |
|
5 |
ICE SEF |
ICE Swap Trade, LLC Rule Amendment - Amended Rulebook Submission 13-07 The Rulebook will become effective on November 7, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. |
12/14/2015 |
Certified |
12/29/2015 |
|
3 |
ICE SEF |
ICE Swap Trade, LLC's Weekly Notification of Rule Amendments |
05/26/2017 |
Notified |
05/26/2017 |
|
3 |
ICE SEF |
ICE Swap Trade, LLC's weekly notification of rule changes. |
02/18/2015 |
Notified |
02/18/2015 |
|
4 |
IGDL |
IGDL has revised its Fee Schedule |
10/15/2015 |
Certified |
10/29/2015 |
|
2 |
IGDL |
IGDL-2020-R-6 - 40.6(a) Rule Certification (10.19.2020) |
10/19/2020 |
Certified |
11/02/2020 |
|
2 |
IGDL |
IGDL-2021-R-4 - 40.6(a) Rule Certification (4.1.2021) |
04/01/2021 |
Certified |
04/15/2021 |
|
2 |
IGDL |
IGDL-2021-R-6 - 40.6(a) Rule Certification (7.7.21) |
07/07/2021 |
Certified |
07/21/2021 |
|
1 |
IGDL |
IGDL-2022-R-1 - 40.6(a) Rule Certification (3.1.2022) |
03/01/2022 |
Certified |
03/15/2022 |
|
2 |
IGDL |
IGDL-2022-R-2 - 40.6(a) Rule Certification (6.16.22) |
06/16/2022 |
Certified |
07/01/2022 |
|
2 |
BGC |
Implementation document for an incentive program. |
04/10/2015 |
Certified |
04/24/2015 |
|
2 |
TRAD |
Implementation of a Trad-X USD IRS Liquidity Provider Program (the "LPP"). |
08/02/2019 |
Certified |
08/16/2019 |
|
4 |
CBOESEF |
Implementation of market maker program. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
02/27/2023 |
Certified |
03/13/2023 |
|
1 |
SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
03/20/2023 |
Certified |
04/03/2023 |
|
1 |
RF SEF |
Incentive program waiving the API fee for new liquidity providers pricing on PriceStream only until June 30, 2025 |
11/25/2024 |
Certified |
12/10/2024 |
|
1 |
LGX |
Inclusion of new d/b/a MIAX Derivatives Exchange in Rulebooks |
06/07/2024 |
Notified |
06/07/2024 |
|
1 |
RADSEF |
Inclusion of Product Terms and Conditions |
12/21/2022 |
Certified |
01/06/2023 |
|
4 |
RF SEF |
Incorporate rules requiring SEF Participants to notify LSEG SEF, prior to entering into any Prime Broker Trades, of their intent to use the services of Prime Broker(s) as well as identity the name of such Prime Broker(s). |
08/02/2024 |
Certified |
08/16/2024 |
|
1 |
NEXSEF |
Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 |
02/15/2019 |
Notified |
02/15/2019 |
|
3 |
INFXSEF |
INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
INFXSEF |
INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) |
12/17/2013 |
Certified |
01/03/2014 |
|
1 |
INFXSEF |
INFX SEF, Inc. - Amendments to Rulebook: incorporated requested changes by Commission staff - Notice 13-06(a) (Letter dated December 20, 2013) |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
CBOESEF |
Introduction of Order Operator ID and amendments to Authorized Trader registration. |
05/31/2023 |
Certified |
06/14/2023 |
|
1 |
CBOESEF |
Introduction of second SEF Trading System in LD4. |
05/02/2023 |
Certified |
05/16/2023 |
|
1 |
ICE SEF |
Issuance of a "SEF Notice" concerning acceptable trading protocols under SEF Rule 702 (Brokered Trades). ICE SEF #14-09 |
03/19/2014 |
Certified |
04/03/2014 |
|
1 |
NEXSEF |
Issuance of Market Advisory Regulatory Notice and Amended Rulebook |
08/14/2017 |
Certified |
08/28/2017 |
|
4 |
NEXSEF |
Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. |
11/17/2021 |
Certified |
12/02/2021 |
|
1 |
NEXSEF |
Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2024-01 Regarding Amendments to the Operational Parameters Annex |
06/05/2024 |
Certified |
06/20/2024 |
|
2 |
ISBV |
iSwap Euro B.V. - Rulebook Amendment |
11/01/2024 |
Certified |
11/15/2024 |
|
8 |
ISBV |
iSwap Euro B.V. hereby submits a notification regarding products listed for trading andamendments to its Rulebook related to the definition of a "Business Day" and revisions toRule 18.4. |
12/16/2020 |
Certified |
12/31/2020 |
|
8 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. |
04/19/2021 |
Certified |
05/03/2021 |
|
4 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. |
06/11/2021 |
Certified |
06/25/2021 |
|
4 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. |
05/14/2021 |
Certified |
05/28/2021 |
|
4 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Rulebook. |
02/25/2021 |
Certified |
03/11/2021 |
|
12 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Rulebook. |
04/20/2021 |
Certified |
05/04/2021 |
|
8 |
ISBV |
iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. |
05/12/2021 |
Certified |
05/26/2021 |
|
4 |
ISBV |
iSwap submits amendments to its Fee Structures and Incentives, which has been amended to highlight transaction and execution fees for the Targeted Streaming Market. The Program will incentivize liquidity and volume on the iSwap Venue. |
12/13/2024 |
10 Day Review |
12/13/2024 |
|
3 |
CBOESEF |
Javelin Rule Amendments to Rules 302, ..., 323, 407, 408, 504, ..., 523, ..., 901 JAVSEF #14-01 |
01/30/2014 |
Certified |
02/14/2014 |
|
1 |
CBOESEF |
Javelin SEF amended Rules 203, 311, 313, 408, 504,..., 727. Submission No. 14-04 March 21, 2014 |
03/21/2014 |
Certified |
04/05/2014 |
|
1 |