DWSEF |
Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. |
11/17/2014 |
Certified |
12/02/2014 |
|
4 |
DWSEF |
Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. |
06/09/2015 |
Certified |
06/23/2015 |
|
6 |
DWSEF |
Amended DW SEF Rulebook |
02/21/2017 |
Certified |
03/07/2017 |
|
4 |
DWSEF |
Amended DW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
DWSEF |
Amended DW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
BSEF |
Amended Compliance Manual (BSEF-2018-R-08) |
11/01/2018 |
Certified |
11/16/2018 |
|
2 |
BSEF |
Amended Compliance Manual |
04/02/2018 |
Certified |
04/16/2018 |
|
2 |
ICE SEF |
Amended Block Trade FAQ |
12/19/2017 |
Notified |
12/19/2017 |
|
4 |
AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
02/24/2023 |
Certified |
03/10/2023 |
|
3 |
AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
11/29/2023 |
Certified |
12/13/2023 |
|
3 |
SWAPX |
Advisory Notices to SwapEx Market Participants |
01/20/2015 |
Certified |
02/03/2015 |
|
1 |
SWAPX |
Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". |
06/03/2019 |
Certified |
06/17/2019 |
|
1 |
NEXSEF |
Adoption of New Rule 318 ("Post-Trade Anonymity") |
11/04/2020 |
Certified |
11/19/2020 |
|
3 |
CMESEF |
Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
CMESEF |
Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 |
02/12/2015 |
Certified |
02/27/2015 |
|
1 |
CMESEF |
Adoption of CME SEF Recordkeeping and Reporting Policy |
01/28/2015 |
Certified |
02/11/2015 |
|
1 |
ICE SEF |
Administrative edits to IST Rulebook |
02/15/2021 |
Notified |
02/15/2021 |
|
4 |
ICE SEF |
Administrative changes to Rulebook |
05/14/2021 |
Notified |
05/14/2021 |
|
4 |
AEGIS |
Administrative changes to Participant Agreement and Market Participant Addendum. |
01/27/2023 |
Notified |
01/27/2023 |
|
2 |
ICE SEF |
Adjustment to ICE Swap Trade Trading Hours |
03/30/2021 |
Notified |
03/30/2021 |
|
4 |
ISBV |
Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated |
04/29/2024 |
Certified |
05/13/2024 |
|
4 |
GFISEF |
Addition of Addendum A to Fee Schedule |
05/13/2015 |
Certified |
05/28/2015 |
|
2 |
BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker |
08/01/2023 |
Certified |
08/15/2023 |
|
1 |
BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker |
07/25/2023 |
Certified |
08/08/2023 |
|
1 |
BSEF |
Addendum to BSEF-NFA Regulatory Services Agreement |
09/22/2020 |
Certified |
10/06/2020 |
|
2 |
SWAPX |
Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. |
06/16/2021 |
Certified |
07/01/2021 |
|
4 |
TDERIV |
Added BRL to Core RFQ functionality. It already existed on PTC. |
11/07/2017 |
Notified |
11/07/2017 |
|
1 |
RADSEF |
Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 |
01/16/2014 |
Certified |
02/01/2014 |
|
1 |
LGX |
A routine update to reflect details of intermediated trading on LedgerX's exchange. |
12/04/2017 |
Certified |
12/18/2017 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
11/20/2020 |
Notified |
11/20/2020 |
|
1 |
IGDL |
40.6(d) Weekly Notification of Rule Amendments |
11/20/2020 |
Notified |
11/20/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/16/2021 |
Notified |
04/16/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
02/26/2021 |
Notified |
02/26/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/23/2021 |
Notified |
04/23/2021 |
|
1 |
IGDL |
40.6(d) Weekly Notification of Rule Amendments |
04/23/2021 |
Notified |
04/23/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/05/2021 |
Notified |
03/05/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
08/17/2022 |
Notified |
08/17/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
04/30/2021 |
Notified |
04/30/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/04/2020 |
Notified |
12/04/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/07/2021 |
Notified |
05/07/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/03/2022 |
Notified |
05/03/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/19/2021 |
Notified |
03/19/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/18/2022 |
Notified |
03/18/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/11/2020 |
Notified |
12/11/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
01/29/2021 |
Notified |
01/29/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
07/02/2021 |
Notified |
07/02/2021 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/20/2022 |
Notified |
05/20/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/18/2020 |
Notified |
12/18/2020 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
02/25/2022 |
Notified |
02/25/2022 |
|
1 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/28/2021 |
Notified |
05/28/2021 |
|
1 |