| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. |
03/01/2019 |
Certified |
03/15/2019 |
|
2 |
| CBOESEF |
To prevent inconsistency with Rule 319 "Withdrawal of a Participant", and conform with market practice. |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
| TPSEF |
tpSEF - Amendments to Rulebook (dated January 10, 2014) |
01/13/2014 |
Certified |
01/29/2014 |
|
0 |
| TPSEF |
tpSEF 20-09R - 40.6(a) Rule Certification (10.19.2020) |
10/19/2020 |
Certified |
11/02/2020 |
|
2 |
| TPSEF |
tpSEF Inc - Rulebook Amendments - effective July 14, 2014 (Submission 14-04R) |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
| TPSEF |
tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) |
02/21/2014 |
Certified |
07/29/2014 |
|
1 |
| TPSEF |
tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F |
05/19/2014 |
Certified |
06/04/2014 |
|
1 |
| TPSEF |
tpSEF Inc. - Amended Swap Execution Facility Application Exhibits. |
06/02/2014 |
Certified |
06/17/2014 |
|
0 |
| TPSEF |
tpSEF Inc. - Amending its Fee Schedule -- TPSEF Submission #14-02F |
06/12/2014 |
Certified |
06/27/2014 |
|
1 |
| TPSEF |
tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. |
11/06/2013 |
Certified |
11/22/2013 |
|
0 |
| TPSEF |
tpSEF Inc. - Rulebook Amendments - Effective May 23, 2014 TPSEF #14-01R |
05/12/2014 |
Certified |
05/27/2014 |
|
1 |
| TPSEF |
tpSEF Inc. Amended Fee Schedule (January 31, 2014) |
02/03/2014 |
Certified |
07/29/2014 |
|
1 |
| TPSEF |
tpSEF Inc. Emergency Rule Certification letter dated November 1, 2013. Amended its Rulebook in response to Commission Letter No. 13-66, regarding the resubmission of swaps rejected for clearing. |
11/04/2013 |
Certified |
11/20/2013 |
|
1 |
| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
08/30/2019 |
Certified |
09/16/2019 |
|
1 |
| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
11/02/2018 |
Certified |
11/19/2018 |
|
1 |
| TPSEF |
tpSEF Inc. is amending its Rulebook as provided in Exhibit A. |
02/13/2020 |
Certified |
02/28/2020 |
|
1 |
| TPSEF |
tpSEF Inc. Rulebook Amendments - Submission #14-03R - July 1, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| TPSEF |
tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) |
02/10/2014 |
Certified |
02/26/2014 |
|
1 |
| 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 |
| TPSEF |
tpSEF Submission #14-02R -- Rulebook Amendments - Rule 1000 and Rule 4013 |
06/04/2014 |
Certified |
06/19/2014 |
|
1 |
| TPSEF |
tpSEF, Amendment to its Rulebook, as provided in Exhibit B (10-24-13) |
10/24/2013 |
Certified |
11/08/2013 |
|
1 |
| TPSEF |
tpSEF, Inc. Rulebook Amendments to Rules 1000, 4003, 4011, 4016 and 8001. Letter dated February 14, 2014 |
02/18/2014 |
Certified |
03/05/2014 |
|
1 |
| TRAD |
Tradition SEF Rulebook and Form SEF Exhibits Q and V Amendments, letter dated January 3, 2014 Trad #14-0001 |
01/03/2014 |
Certified |
01/18/2014 |
|
1 |
| TRAD |
Tradition SEF, Inc. - Amendments to Trad-X Platform Supplement - TRAD #14-17 |
06/05/2014 |
Certified |
06/20/2014 |
|
1 |
| TRAD |
Tradition SEF, Inc. - Notification of Amendments to Tradition SEF, Inc. Rulebook TRAD #14-0002 |
04/15/2014 |
Certified |
04/30/2014 |
|
2 |
| TRAD |
Tradition SEF, Inc. - Rulebook Amendments - TRAD #14-18 |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
| TRAD |
Tradition SEF, Inc. Notice #14-03 - Observing the Martin Luther King Holiday on Monday, January 20, 2014 |
01/14/2014 |
Certified |
01/30/2014 |
|
0 |
| TDERIV |
trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| TDERIV |
trueEX LLC Rule Amendments, Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-07S |
04/09/2014 |
Certified |
04/24/2014 |
|
1 |
| TWSEF |
TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| TWSEF |
TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
| TWSEF |
TW SEF Cover Letter re Fees (11.23.15)TW SEF FOIA Request with Justification (11.23.15)App. A1 - TW SEF Exhibit K (Fees) (Clean 11.23.15)App. A2 - TW SEF Exhibit K (Fees) (Marked 11.23.15)App. A3 - TW SEF Fees Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
| TWSEF |
TW SEF Cover Letter re MRAN (12.16.15)TW SEF MRAN - Hours of Trading (12.16.15) |
12/16/2015 |
Certified |
12/31/2015 |
|
3 |
| TWSEF |
TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| TWSEF |
TW SEF Fee Schedule Update |
10/11/2022 |
Certified |
10/25/2022 |
|
2 |
| TWSEF |
TW SEF Fee update for Canadian Dollar Swaps |
07/08/2021 |
Certified |
07/22/2021 |
|
2 |
| TWSEF |
TW SEF Fee update for GBP swaps |
08/30/2021 |
Certified |
09/14/2021 |
|
3 |
| TWSEF |
TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
| TWSEF |
TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
| TWSEF |
TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) |
11/30/2015 |
Certified |
12/14/2015 |
|
4 |
| TWSEF |
TW SEF LLC - Amended Rulebook |
12/01/2014 |
Certified |
12/15/2014 |
|
4 |
| TWSEF |
TW SEF LLC - Rule Amendments - Amended SEF Rulebook Effective June 9, 2014 |
05/22/2014 |
Certified |
06/07/2014 |
|
1 |
| TWSEF |
TW SEF LLC - Rule Amendments - Amended SEF Rulebook: (1) Staff Guidance and (2) comments and questions received on TW's SEF. (January 31, 2014) |
01/31/2014 |
Certified |
02/15/2014 |
|
1 |
| TWSEF |
TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| TWSEF |
TW SEF LLC Rulebook Amendments |
01/16/2015 |
Certified |
02/02/2015 |
|
4 |
| TWSEF |
TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. |
12/10/2018 |
Notified |
12/10/2018 |
|
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 |
| TWSEF |
TW SEF Rulebook Amendments |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
| 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 |
| CBOESEF |
Update Fee Schedule |
12/15/2022 |
Certified |
12/30/2022 |
|
1 |
