DWSEF |
DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
DWSEF |
DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
DWSEF |
DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
DWSEF |
DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
DWSEF |
DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
DWSEF |
DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) |
11/30/2015 |
Certified |
12/14/2015 |
|
4 |
DWSEF |
DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) |
01/07/2016 |
Certified |
01/22/2016 |
|
2 |
DWSEF |
DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) |
12/16/2015 |
Certified |
12/31/2015 |
|
3 |
DWSEF |
DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) |
12/21/2015 |
Certified |
01/06/2016 |
|
1 |
DWSEF |
DW SEF Amended Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |
DWSEF |
DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
DWSEF |
DW SEF Amended Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
DWSEF |
DW SEF Amended Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
DWSEF |
DW SEF Amended IRS Fee Schedule |
10/24/2016 |
Certified |
11/07/2016 |
|
1 |
DWSEF |
DW SEF - Work-Up Protocol |
12/29/2014 |
Certified |
01/13/2015 |
|
2 |
GFISEF |
Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
TPSEF |
Deletion of Rules 4013(e) and (f) to reflect the expiration of the no-action relief granted in CFTC 14-121. |
03/11/2015 |
Certified |
03/25/2015 |
|
1 |
CBOESEF |
Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
NEXSEF |
Correction of typographical error in Rule 315 |
06/08/2018 |
Notified |
06/08/2018 |
|
3 |
CBOESEF |
Corrected cross-reference in Rule 512(4) from 513(3) to 512(3). |
06/30/2023 |
Notified |
06/30/2023 |
|
1 |
RADSEF |
Correct reference or clarify Rules 536 and 537Add product terms and conditions |
10/29/2021 |
Certified |
11/15/2021 |
|
4 |
AEGIS |
Contract Position Accountability Levels Table |
08/30/2022 |
Certified |
09/14/2022 |
|
1 |
CMESEF |
Conforming Amendments to Various CME SEF Rules. |
12/14/2017 |
Certified |
12/29/2017 |
|
2 |
NEXSEF |
Conforming Amendments to NEX SEF Limited Form SEF to Reflect Revisions to the NEX SEF Board of Directors Composition |
12/14/2020 |
Certified |
12/29/2020 |
|
2 |
LGX |
Compliance Manual Version Control |
10/22/2021 |
Notified |
10/22/2021 |
|
3 |
LGX |
Compliance Manual update |
07/10/2019 |
Certified |
07/24/2019 |
|
2 |
LGX |
Compliance Manual Amendments |
10/27/2021 |
Certified |
11/10/2021 |
|
3 |
BSEF |
Compliance Manual amendment |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
BSEF |
Compliance Manual Amendment |
07/26/2019 |
Certified |
08/09/2019 |
|
2 |
BSEF |
Compliance Manual Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
4 |
BSEF |
Compliance Manual amendment |
04/21/2017 |
Certified |
05/05/2017 |
|
1 |
BSEF |
Compliance Manual amendment |
12/07/2017 |
Certified |
12/21/2017 |
|
2 |
TPSEF |
Commission Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. |
02/05/2015 |
Certified |
02/20/2015 |
|
1 |
CBOESEF |
Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. |
03/23/2023 |
Certified |
04/06/2023 |
|
2 |
CBOESEF |
Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
SWAPX |
Clarifications and updates to existing rules |
09/04/2015 |
Certified |
09/21/2015 |
|
4 |
CBOESEF |
Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. |
09/17/2018 |
Certified |
10/01/2018 |
|
1 |
TDERIV |
Changes to Trading Hours on the SEF Trading System. PTC system closes at 5 pm Eastern time effective May 1, 2019. |
05/10/2019 |
Notified |
05/10/2019 |
|
1 |
CBOESEF |
Changes to the composition of the Business Conduct Committee and Panels. |
03/05/2018 |
Certified |
03/19/2018 |
|
1 |
IGDL |
Changes to SEF's rulebook |
02/08/2017 |
Certified |
02/23/2017 |
|
2 |
TRAD |
Changes to fee schedule |
11/10/2014 |
Certified |
11/25/2014 |
|
2 |
TRAD |
Changes to fee schedule |
11/17/2014 |
Certified |
12/02/2014 |
|
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 |
CBOESEF |
Changes to composition of Business Conduct Committee and Panels, introduction of PEN and RUB Contracts. |
03/05/2018 |
Withdrawn |
03/05/2018 |
|
1 |
TDERIV |
Change of exchange opening hours |
08/14/2018 |
Notified |
08/14/2018 |
|
1 |
CBOESEF |
Change in trading hours |
02/25/2016 |
Certified |
03/10/2016 |
|
1 |
TRAD |
CFTC Submission 2024-01; Amendment regarding intended to be cleared swaps and uncleared swaps confirmations and other amendments to reflect expiration of No-Action Letter 17-17. We will not be relying on No Action Letter 17-17 after May 31, 2024. |
05/20/2024 |
Certified |
06/04/2024 |
|
6 |
TRAD |
CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. |
07/24/2023 |
Certified |
08/07/2023 |
|
3 |
BSEF |
CFTC Regulation 40.6(d) Weekly Notification of Rule Amendments |
02/29/2024 |
Notified |
02/29/2024 |
|
1 |
TPSEF |
CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. |
05/06/2015 |
Certified |
05/20/2015 |
|
1 |