| CMSEF |
SEF Rulebook Amendment |
07/31/2015 |
Certified |
08/14/2015 |
|
3 |
| CMSEF |
SEF Rulebook Amendment |
04/28/2016 |
Certified |
05/12/2016 |
|
1 |
| CMSEF |
SEF Rulebook Amendment |
08/03/2016 |
Certified |
08/17/2016 |
|
1 |
| CMSEF |
SEF Rulebook Amendment Certification |
06/29/2015 |
Certified |
07/14/2015 |
|
1 |
| CMSEF |
SEF Rulebook Amendment Certification |
07/20/2015 |
Withdrawn |
07/28/2015 |
|
1 |
| TDERIV |
self certification of fees for the SEF Trading System |
11/06/2016 |
Certified |
11/21/2016 |
|
1 |
| TDERIV |
self certification of fees on the SEF Trading System |
08/16/2016 |
Certified |
08/30/2016 |
|
1 |
| 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 |
| RTX |
Self Certification of our Fee Schedule |
10/03/2023 |
Certified |
10/18/2023 |
|
2 |
| LGX |
Self certification of revisions to compliance manual. |
10/03/2022 |
Certified |
10/18/2022 |
|
3 |
| TDERIV |
Self certification of SEF fees |
10/17/2017 |
Certified |
10/30/2017 |
|
1 |
| TDERIV |
self-certification of fees on the SEF Trading System |
12/09/2015 |
Certified |
12/23/2015 |
|
1 |
| TDERIV |
self-certification of fees on the SEF Trading System |
03/17/2016 |
Certified |
03/31/2016 |
|
1 |
| TDERIV |
Self-certification of fees to be charged to Participants on the SEF Trading System. |
04/19/2018 |
Certified |
05/03/2018 |
|
1 |
| RTX |
Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) |
11/07/2023 |
Certified |
11/22/2023 |
|
2 |
| LGX |
Self-certification of revisions to LLC Operating Agreement |
07/07/2023 |
Certified |
07/21/2023 |
|
1 |
| TDERIV |
Self-certification of rule amendments |
10/30/2014 |
Certified |
11/14/2014 |
|
1 |
| TDERIV |
Self-certification of rule amendments |
08/07/2014 |
Certified |
08/21/2014 |
|
4 |
| TDERIV |
Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. |
10/05/2015 |
Certified |
10/20/2015 |
|
1 |
| CBOESEF |
Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 |
12/16/2013 |
Certified |
01/01/2014 |
|
1 |
| LGX |
Submission of Revised fee schedule |
03/04/2020 |
Certified |
03/18/2020 |
|
2 |
| LGX |
Submission of revised fee schedule. |
03/27/2018 |
Certified |
04/10/2018 |
|
1 |
| LGX |
Submission of revised fee schedule. |
02/13/2018 |
Certified |
02/28/2018 |
|
1 |
| RADSEF |
Submission of TeraExchange LLC updated rulebook adding 3 swaps to the product terms and conditions that have been filed with the commission for certification and removing 7 instruments that reference LIBOR which have been delisted. |
06/21/2023 |
Certified |
07/06/2023 |
|
2 |
| TPSEF |
Supplement to Exhibit N to Form SEF |
10/11/2016 |
Certified |
10/25/2016 |
|
1 |
| DWSEF |
SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 |
05/22/2014 |
Certified |
06/07/2014 |
|
1 |
| SWAPX |
SwapEX LLC - Amendment to Application for Registration as a Swap Execution Facility, letter dated November 4, 2013. (amendments from its July 30, 2013 application) |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| SWAPX |
SwapEX LLC - Rule Amendments - effective July 15, 2014 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| SWAPX |
SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) |
04/01/2014 |
Certified |
04/16/2014 |
|
1 |
| SWAPX |
SwapEx, LLC amendment to its application for registration as a swap execution facility. (October 25, 2013) |
10/28/2013 |
Certified |
11/13/2013 |
|
0 |
| SWAPX |
SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| BGC |
Technical corrections and amendments to rules. |
05/27/2015 |
Certified |
06/10/2015 |
|
1 |
| RADSEF |
TeraExchange 40.6 Filing 15-01 - Rulebook Amendments |
01/19/2015 |
Certified |
02/02/2015 |
|
1 |
| RADSEF |
TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants |
06/15/2016 |
Certified |
06/29/2016 |
|
3 |
| RADSEF |
TeraExchange response to Staff's supplemental 43 and 45 reporting questions. |
12/19/2014 |
Certified |
01/06/2015 |
|
1 |
| RADSEF |
TeraExchange Rule Implementation Submission 2014-02 Rules amended: 101 (Definitions), 310 (Application of Rules and Jurisdiction, 513(b) (Block Trades) and 818 (Sanctions) TERAEXC 2014-02 |
02/24/2014 |
Certified |
03/11/2014 |
|
1 |
| RADSEF |
TeraExchange, LLC - Amended Rulebook Submission 2013-01 |
11/26/2013 |
Certified |
12/12/2013 |
|
1 |
| RADSEF |
TeraExchange, LLC - Rule Amendments - Amended Rulebook TERAEXC #2014-21 |
04/16/2014 |
Certified |
05/01/2014 |
|
1 |
| 360T |
terminology update |
03/24/2023 |
Certified |
04/07/2023 |
|
7 |
| 360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
08/10/2017 |
Certified |
08/24/2017 |
|
5 |
| 360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
07/19/2017 |
Withdrawn |
07/24/2017 |
|
5 |
| 360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
12/01/2017 |
Certified |
12/15/2017 |
|
5 |
| 360T |
The 360T Rulebook has been amended in response to regulatory development. Added Rule 527 (Post-Trade Name Give-Up). |
11/12/2020 |
Certified |
11/27/2020 |
|
8 |
| CBOESEF |
The Amendment clarifies the recordkeeping requirements of Participants. |
07/08/2022 |
Certified |
07/22/2022 |
|
1 |
| CBOESEF |
The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. |
03/22/2023 |
Certified |
04/05/2023 |
|
2 |
| CBOESEF |
The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
| CBOESEF |
The Amendment will memorialize Cboe SEF's Statement of Commitment to the FX Global Code. |
12/01/2022 |
Certified |
12/15/2022 |
|
1 |
| BGC |
The attached amendments are made in response to suggestions and guidance from staff. |
08/31/2015 |
Certified |
09/15/2015 |
|
1 |
| BGC |
The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
| ICE SEF |
The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. |
09/20/2017 |
Certified |
10/04/2017 |
|
4 |
