| BSEF |
Amended schedule |
09/17/2020 |
Certified |
10/01/2020 |
|
2 |
| ICE SEF |
Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 |
11/25/2013 |
Certified |
12/11/2013 |
|
0 |
| ICAPSEF |
Amended Rulebook to reflect updated NAL references |
06/20/2017 |
Certified |
07/05/2017 |
|
3 |
| ICAPSEF |
Amended Rulebook to reflect NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
| ICAPSEF |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
| IGDL |
Amended Rulebook to reflect NAL 16-74 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
| IGDL |
Amended Rulebook reflecting NAL 16-76 |
11/01/2016 |
Certified |
11/16/2016 |
|
3 |
| BSEF |
Amended Rulebook in response to comments and questions received from Commission staff and potential users of BSEF's swap execution facility. |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| ICAPSEF |
Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| NEXSEF |
Amended Rulebook and Confidential Trading Protocols |
12/08/2017 |
Certified |
12/22/2017 |
|
4 |
| ICAPSEF |
Amended Rulebook and Confidential Chapter 9 |
01/05/2017 |
Certified |
01/20/2017 |
|
4 |
| ICAPSEF |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
| IGDL |
Amended Rulebook and Compliance Manual for NAL 15-68 |
02/22/2016 |
Certified |
03/07/2016 |
|
4 |
| IGDL |
Amended Rulebook - specifically the Definitions and Rules 204, 304, 305, 315, 404. IGDL 2014-R-1 |
05/16/2014 |
Certified |
05/31/2014 |
|
1 |
| ICAPSEF |
Amended Rulebook |
10/10/2014 |
Certified |
10/27/2014 |
|
1 |
| IGDL |
Amended Rulebook |
11/29/2017 |
Certified |
12/13/2017 |
|
1 |
| ICAPSEF |
Amended Rulebook |
12/13/2016 |
Certified |
12/28/2016 |
|
3 |
| IGDL |
Amended Rulebook |
12/13/2016 |
Certified |
12/28/2016 |
|
3 |
| NEXSEF |
Amended Rulebook |
08/27/2018 |
Certified |
09/11/2018 |
|
3 |
| ICAPSEF |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
7 |
| IGDL |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
3 |
| GFISEF |
Amended Rule 406(b) to include 37.6(b) and 37.6(b)(1) incorporating documents for uncleared swaps and the ability to request docs for regulatory review should the commission ask for specific documents. \r\n Amended Rule 541(a) for SEF notification. |
05/30/2024 |
Certified |
06/13/2024 |
|
2 |
| BGC |
Amended Rule 403(b) to reference Rule 515. |
05/30/2024 |
Certified |
06/13/2024 |
|
2 |
| MKAXSEF |
Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 |
12/11/2013 |
Certified |
12/27/2013 |
|
1 |
| LGX |
Amended Operations Manual |
10/18/2017 |
Certified |
11/01/2017 |
|
4 |
| MKAXSEF |
Amended MarketAxess application for registration as a SEF. (September 30, 2013) |
09/30/2013 |
Certified |
07/29/2014 |
|
2 |
| MKAXSEF |
Amended MarketAxess application for registration as a SEF. (October 17, 2013) |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TDERIV |
Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
| ICE SEF |
Amended its SEF Fee Schedule ICE SEF Submission #14-03 |
02/21/2014 |
Withdrawn |
02/27/2014 |
|
1 |
| BSEF |
Amended its Rulebook in response to comments and questions; and to add rules regarding methods of using BSEF's SEF. BSEF #2013-R-11 |
01/30/2014 |
Certified |
02/14/2014 |
|
1 |
| BSEF |
Amended governance documentation (Operating Agreement and Information About Board of Directors) |
05/22/2020 |
Certified |
06/05/2020 |
|
1 |
| ICAPSEF |
Amended Form SEF pursuant to Regulation 37.3(b)(3) |
08/11/2016 |
Certified |
08/25/2016 |
|
5 |
| ICAPSEF |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
| IGDL |
Amended Form SEF |
09/23/2016 |
Withdrawn |
09/26/2016 |
|
5 |
| TWSEF |
Amended Fees Schedules |
09/12/2016 |
Certified |
09/26/2016 |
|
3 |
| TWSEF |
Amended Fee Schedule for CAD Swaps for API Participants |
11/28/2016 |
Certified |
12/12/2016 |
|
1 |
| DWSEF |
Amended Fee Schedule |
06/15/2017 |
Certified |
06/29/2017 |
|
1 |
| NEXSEF |
Amended Fee Program |
07/18/2019 |
Certified |
08/01/2019 |
|
2 |
| NEXSEF |
Amended Fee Program |
08/03/2018 |
Certified |
08/17/2018 |
|
2 |
| NEXSEF |
Amended Fee Program |
07/17/2017 |
Certified |
07/31/2017 |
|
2 |
| NEXSEF |
Amended Fee Program |
08/08/2017 |
Certified |
08/22/2017 |
|
2 |
| ICAPSEF |
Amended fee card and discount program documents. |
04/12/2017 |
Certified |
04/26/2017 |
|
2 |
| IGDL |
Amended Fee Card |
10/17/2014 |
Certified |
10/31/2014 |
|
2 |
| IGDL |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |
| ICAPSEF |
Amended Fee Card |
08/17/2016 |
Certified |
08/31/2016 |
|
2 |
| IGDL |
Amended Facility Rulebook and Trading Privilege Holder Agreement |
11/07/2014 |
Certified |
11/24/2014 |
|
1 |
| NEXSEF |
Amended Facility Rulebook |
07/17/2019 |
Certified |
07/31/2019 |
|
6 |
| IGDL |
Amended Facility Rulebook |
01/26/2015 |
Certified |
02/09/2015 |
|
4 |
| ICAPSEF |
Amended EBS Trading Protocol and Rules 202, 208 and 315 |
12/11/2015 |
Certified |
12/28/2015 |
|
4 |
| DWSEF |
Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP |
07/22/2016 |
Certified |
08/05/2016 |
|
6 |
