| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. |
12/01/2015 |
Certified |
12/15/2015 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on April 12, 2016. |
03/28/2016 |
Certified |
04/11/2016 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on December 23, 2015. |
12/08/2015 |
Certified |
12/22/2015 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on January 27, 2016. |
01/12/2016 |
Certified |
01/27/2016 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The date of intended implementation of the amended Rulebook is January 15, 2016. |
12/30/2015 |
Certified |
01/14/2016 |
|
1 |
| 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 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(d) of the CFTC Regulations, tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B of the tpSEF Rulebook effective as of the date hereof. |
05/17/2016 |
Notified |
05/17/2016 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, tpSEF Inc. ("tpSEF") wishes to amend its rulebook as provided in Exhibit A. |
11/04/2014 |
Certified |
11/19/2014 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. |
02/02/2015 |
Certified |
02/17/2015 |
|
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 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
06/06/2017 |
Certified |
06/20/2017 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
03/27/2017 |
Certified |
04/10/2017 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF Inc. hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. |
06/13/2016 |
Certified |
06/27/2016 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(d), tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B to its Rulebook effective as of the date hereof. |
12/18/2015 |
Notified |
12/18/2015 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the CFTC, Bloomberg SEF LLC hereby notifies the CFTC that it has amended its Rulebook. The amended Rulebook will become effective on June 22, 2015. |
06/08/2015 |
Certified |
06/22/2015 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has amended itsRulebook. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that it has amended its Compliance Manual. |
08/03/2016 |
Certified |
08/17/2016 |
|
5 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook, effective August 1, 2016. |
07/15/2016 |
Certified |
07/29/2016 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook. |
05/13/2015 |
Certified |
05/28/2015 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby submits to the Commission certain rule amendment. |
08/01/2016 |
Certified |
08/15/2016 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. |
01/16/2015 |
Certified |
02/02/2015 |
|
2 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(d) of the CFTC's regulations, tpSEF Inc. hereby notifies the CFTC that it has amended Appendix B of the tpSEF Inc. Rulebook effective as of May 3, 2016. |
05/04/2016 |
Notified |
05/04/2016 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended, and Section 40.6(a) of the regulations of the CFTC, tpSEF Inc. hereby notifies the CFTC that it wishes to amend its Rulebook and Risk Mitigation Procedures. |
04/29/2016 |
Certified |
05/13/2016 |
|
1 |
| TDERIV |
Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. |
03/19/2015 |
Certified |
04/02/2015 |
|
1 |
| RF SEF |
Pursuant to the instructions in Form SEF regarding amendments to exhibits filed in connection with and approved order of registration, Refinitiv US SEF LLC ("RSEF") hereby submits an amended Exhibit B-1 to its SEF application |
04/11/2022 |
Certified |
04/25/2022 |
|
1 |
| RF SEF |
Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. |
05/02/2022 |
Certified |
05/16/2022 |
|
2 |
| RF SEF |
Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. |
06/08/2023 |
Certified |
06/23/2023 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. |
11/21/2022 |
Certified |
12/06/2022 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) |
11/20/2020 |
Certified |
12/07/2020 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) |
11/09/2020 |
Certified |
11/24/2020 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to error trades under Commission Regulation 37.9(e) |
02/17/2021 |
Certified |
03/03/2021 |
|
2 |
| TPSEF |
Regulation 40.6 certification of tpSEF's procedures for risk mitigation sessions. |
01/20/2015 |
Certified |
02/03/2015 |
|
1 |
| TPSEF |
Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. |
02/03/2015 |
Certified |
02/18/2015 |
|
1 |
| IGDL |
Regulation 40.6(a) Rule Certification of Managed Order Rule |
08/20/2015 |
Withdrawn |
08/21/2015 |
|
3 |
| IGDL |
Regulation 40.6(a) Rule Certification of Managed Order Rule |
08/20/2015 |
Certified |
09/03/2015 |
|
3 |
| IGDL |
Regulation 40.6(a) Rule Certification. |
05/09/2018 |
Certified |
05/23/2018 |
|
1 |
| RF SEF |
Removal of reference to CFTC NAL 17-17. |
05/30/2024 |
Certified |
06/12/2024 |
|
2 |
| TRAD |
Representation in Connection with Notice of Intent to Rely on Time-Limited No-Action Relief provided by CFTC Letter No. 13-62 from requirement to comply with Commission Regulation 37.702(b) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| CBOESEF |
Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| 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 |
| CBOESEF |
Revised - Javelin Determination of Made Available to Trade of certain Interest Rate Swaps (Submission 13-06R(3)) |
01/08/2014 |
90 Day Review |
01/14/2014 |
|
0 |
| DWSEF |
Revised and amended Rulebook for DW SEF LLC. |
07/29/2014 |
Certified |
08/12/2014 |
|
13 |
| TWSEF |
Revised and amended Rulebook for TW SEF LLC. |
07/29/2014 |
Certified |
08/12/2014 |
|
13 |
| BSEF |
Revised BSEF fee schedule |
03/14/2018 |
Certified |
03/28/2018 |
|
2 |
