IGDL |
Amendment to reflect NAL 16-58 |
06/28/2016 |
Certified |
07/13/2016 |
|
3 |
LGX |
Amendment to Participant Agreement |
08/04/2022 |
Certified |
08/18/2022 |
|
2 |
NEXSEF |
AMENDMENT TO NEX SEF LIMITED RULEBOOK RELATING TO SUMMARY FINES, AUDIT TRAIL REQUIRMENTS AND ERROR CORRECTION PROCESSES; ISSUANCE OF NEX SEF LIMITED MARKET REGULATION ADVISORY NOTICES MRAN 2021-01 AND 2021-02 |
02/09/2021 |
Certified |
02/24/2021 |
|
2 |
NEXSEF |
Amendment to Market Regulation Advisory Notice 2018-04 |
02/15/2019 |
Certified |
03/04/2019 |
|
2 |
TWSEF |
Amendment to include new Rule 419 to prohibit post-trade name give up |
11/05/2020 |
Certified |
11/20/2020 |
|
6 |
IGDL |
Amendment to IGDL's Rulebook. |
12/18/2017 |
Certified |
01/03/2018 |
|
1 |
IGDL |
Amendment to IGDL Facility Rulebook pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a). |
11/29/2018 |
Certified |
12/13/2018 |
|
1 |
GTX |
Amendment to Fee schedule. |
02/10/2015 |
Certified |
02/25/2015 |
|
1 |
TRAD |
Amendment to Fee Schedule |
04/18/2022 |
Certified |
05/02/2022 |
|
4 |
NEXSEF |
Amendment to Facility Rulebook |
05/31/2017 |
Certified |
06/14/2017 |
|
7 |
CBOESEF |
Amendment to Exhibit A to Form SEF |
10/18/2022 |
Certified |
11/01/2022 |
|
1 |
TDERIV |
Amendment to Designated Market Maker Program |
09/04/2019 |
Certified |
09/18/2019 |
|
1 |
IGDL |
Amendment to Confidential Rule 902. |
09/23/2015 |
Certified |
10/07/2015 |
|
2 |
IGDL |
Amendment to Confidential Chapter 9 Trading Protocols |
03/10/2017 |
Certified |
03/24/2017 |
|
2 |
BSEF |
Amendment to Compliance Manual |
06/28/2017 |
Certified |
07/13/2017 |
|
2 |
BSEF |
Amendment to BSEF Rule 533 |
09/02/2016 |
Certified |
09/19/2016 |
|
1 |
SWAPX |
Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 |
12/04/2013 |
Certified |
12/19/2013 |
|
0 |
SWAPX |
Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) |
11/15/2013 |
Certified |
12/03/2013 |
|
1 |
BGC |
Amendment raising 5 second cross-delay to 15 seconds. |
04/10/2015 |
Certified |
04/24/2015 |
|
1 |
CBOESEF |
Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." |
02/27/2017 |
Certified |
03/13/2017 |
|
4 |
TPSEF |
Amendment of tpSEF Inc. Terms of Use |
09/14/2017 |
Certified |
09/28/2017 |
|
1 |
SWAPX |
amendment of rule concerning policies on screening of customers |
03/05/2015 |
Certified |
03/19/2015 |
|
4 |
SWAPX |
Amendment of Rule 525 to reflect recent CFTC no-action letter |
03/31/2017 |
Certified |
04/14/2017 |
|
4 |
TWSEF |
Amendment of Rule 205 (Regulatory Oversight Committee) |
02/03/2022 |
Certified |
02/17/2022 |
|
4 |
SWAPX |
Amendment of certain trade practice and disciplinary rules |
09/15/2016 |
Certified |
09/29/2016 |
|
4 |
TDERIV |
Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 |
12/31/2017 |
Certified |
01/16/2018 |
|
1 |
SWAPX |
Amendment of a market advisory notice previously certified as a rule |
07/14/2015 |
Certified |
07/28/2015 |
|
3 |
CBOESEF |
Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
CMSEF |
Amendment and revision to rulebook. |
07/13/2017 |
Certified |
07/27/2017 |
|
1 |
BGC |
Amending the rulebook to include additional clearing organizations. |
03/31/2016 |
Certified |
04/14/2016 |
|
1 |
BGC |
Amending rules for determining speculative position limits or position accountability. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
SPECTR |
Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program |
01/05/2024 |
Certified |
01/22/2024 |
|
4 |
SPECTR |
Amending Rulebook to add references to Spot Stops and Time Stops, add reference to APIs, add reference to NDOs, change user ID notification requirement, remove redundancies, fix grammar inconsistencies, and add clarifying language. |
06/17/2024 |
Certified |
07/02/2024 |
|
1 |
BSEF |
Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. |
09/13/2013 |
Certified |
09/28/2013 |
|
5 |
DWSEF |
Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
SWAPX |
Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 |
10/18/2013 |
Certified |
11/02/2013 |
|
1 |
TPSEF |
Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
ICE SEF |
Amending its Rulebook in order to accommodate trading in commodities by users of IST's swap execution facility and to remove the obligation for Participants to enter into a swap intermediation arrangement. |
09/25/2013 |
Certified |
10/10/2013 |
|
1 |
BSEF |
Amending Bloomberg SEF Rulebook. - Rule 533. Cleared Swaps |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
AEGIS |
Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule |
07/26/2022 |
Notified |
07/26/2022 |
|
4 |
TWSEF |
Amended TW SEF Rules |
12/10/2015 |
Certified |
12/24/2015 |
|
4 |
TWSEF |
Amended TW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. |
06/09/2015 |
Certified |
06/23/2015 |
|
6 |
TWSEF |
Amended TW SEF Rulebook |
10/03/2016 |
Certified |
10/18/2016 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
TWSEF |
Amended TW SEF Rulebook |
10/29/2015 |
Certified |
11/13/2015 |
|
4 |
TWSEF |
Amended TW SEF Fees Schedule |
06/02/2016 |
Certified |
06/16/2016 |
|
3 |
IGDL |
Amended SEF Rulebook to reflect updated NAL references |
06/20/2017 |
Certified |
07/05/2017 |
|
3 |
ICAPSEF |
Amended SEF Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |