BGC |
Rule amendments |
01/14/2015 |
Certified |
01/29/2015 |
|
1 |
SWAPX |
Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments |
06/15/2016 |
Certified |
06/29/2016 |
|
4 |
SWAPX |
Rule Amendment to Refer to Recent No-Action Letter |
06/02/2017 |
Certified |
06/16/2017 |
|
4 |
CBOESEF |
Rule Amendment related to CFTC No-Action Letter 16-84 |
06/16/2016 |
Certified |
06/30/2016 |
|
3 |
CBOESEF |
Rule amendment made provide more flexibility in the types of records a principal must retain to document trading authorization. Rule amendments made to conform definition of Sponsored Person with prior amendments to Sponsored Access. |
04/10/2015 |
Certified |
04/24/2015 |
|
1 |
AEGIS |
Rule Amendment - 4.10.2 - Removes No Action Letter language which is no longer needed per adoption by CFTC of amended rule §37.6 |
05/20/2024 |
Notified |
05/20/2024 |
|
3 |
CMSEF |
Rule Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
IGDL |
Rule 40.6(a) Rule Certification |
01/20/2016 |
Certified |
02/03/2016 |
|
4 |
IGDL |
Rule 40.6 Rule Change for revised Fee Card. I received an error message when I submitted submission 1501-1517-2029-78 that indicated the files did not upload. I am therefore resubmitting to ensure the files were included. |
01/15/2015 |
Certified |
01/30/2015 |
|
6 |
IGDL |
Rule 40.6 Rule Change for revised Fee Card |
01/15/2015 |
Certified |
01/30/2015 |
|
2 |
RTX |
RTX revised Fee Schedule |
10/19/2023 |
Certified |
11/02/2023 |
|
2 |
RTX |
RTX Fintech & Research LLC Amended Fee Schedule |
07/22/2024 |
Certified |
08/05/2024 |
|
2 |
RF SEF |
RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). |
12/12/2022 |
Certified |
12/27/2022 |
|
2 |
TRAD |
Revisions to the StreamGlobal Platform Supplement |
12/21/2016 |
Certified |
01/06/2017 |
|
2 |
NEXSEF |
Revisions to the rulebook of NEX SEF Limited. |
10/13/2017 |
Certified |
10/27/2017 |
|
3 |
IGDL |
Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook |
07/31/2023 |
Certified |
08/14/2023 |
|
1 |
LGX |
Revisions to SEF Rulebook |
08/20/2024 |
10 Day Review |
08/20/2024 |
|
3 |
TPSEF |
Revisions to Rules 4003.D(e) and 4019(a) of the tpSEF Rulebook. |
07/07/2021 |
Certified |
07/21/2021 |
|
1 |
TPSEF |
Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. |
07/31/2023 |
Certified |
08/14/2023 |
|
1 |
NEXSEF |
Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider |
08/17/2020 |
Certified |
08/31/2020 |
|
4 |
NEXSEF |
Revisions to NEX SEF Limited Form SEF Exhibits to Reflect Changes to the Board of Directors and Officer Composition and, Administrative Amendments NEX/CME Group integration and minor edits to the Compliance Manual. |
05/04/2022 |
Certified |
05/18/2022 |
|
2 |
CMESEF |
Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 |
09/22/2015 |
Certified |
10/06/2015 |
|
1 |
LGX |
Revision to LedgerX Rulebook |
05/29/2020 |
Certified |
06/12/2020 |
|
1 |
RTX |
Revision of the RTX Fintech & Research LLC Rulebook |
05/10/2024 |
Certified |
05/24/2024 |
|
2 |
RTX |
Revision of SEF Compliance Manual |
03/07/2024 |
Certified |
03/21/2024 |
|
3 |
360T |
Revision of Rulebook and User Guides. |
09/13/2016 |
Certified |
09/27/2016 |
|
7 |
360T |
Revision of Rulebook and User Guides |
11/26/2015 |
Certified |
12/09/2015 |
|
14 |
NEXSEF |
Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. |
04/21/2020 |
Certified |
05/05/2020 |
|
3 |
LGX |
Revised SEF Rulebook |
08/04/2022 |
Certified |
08/18/2022 |
|
2 |
ICAPSEF |
Revised SEF Rulebook |
09/16/2014 |
Withdrawn |
10/01/2014 |
|
1 |
LGX |
Revised SEF Exhibit B |
09/19/2017 |
Notified |
09/19/2017 |
|
1 |
TPSEF |
Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. |
08/04/2015 |
Certified |
08/18/2015 |
|
1 |
IGDL |
Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. |
01/30/2015 |
Certified |
02/13/2015 |
|
3 |
ICAPSEF |
Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. |
01/30/2015 |
Certified |
02/13/2015 |
|
3 |
TRAD |
Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. |
04/01/2021 |
Notified |
04/01/2021 |
|
3 |
IGDL |
Revised Rulebook and Confidential Chapter 9 |
05/16/2016 |
Certified |
05/31/2016 |
|
4 |
IGDL |
Revised Rulebook |
05/28/2015 |
Certified |
06/11/2015 |
|
7 |
ICAPSEF |
Revised Rulebook |
05/28/2015 |
Certified |
06/11/2015 |
|
7 |
LGX |
Revised operations manual |
11/14/2017 |
Certified |
11/29/2017 |
|
3 |
LGX |
Revised Operations Manual |
10/23/2021 |
Certified |
11/05/2021 |
|
3 |
IGDL |
Revised Market Maker Program Rulebook |
09/17/2014 |
Certified |
10/01/2014 |
|
3 |
GFISEF |
Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) |
02/19/2014 |
Certified |
03/06/2014 |
|
1 |
NEXSEF |
Revised Fee Schedule, market maker program and discount program |
06/12/2017 |
Certified |
06/26/2017 |
|
4 |
ICAPSEF |
Revised Fee Schedule and New Market Maker Incentive Programs |
03/06/2015 |
Certified |
03/20/2015 |
|
2 |
IGDL |
Revised Fee Schedule |
02/12/2015 |
Certified |
02/27/2015 |
|
2 |
GFISEF |
Revised Fee Schedule |
09/08/2014 |
Certified |
09/22/2014 |
|
2 |
GFISEF |
Revised fee schedule |
11/25/2014 |
Certified |
12/10/2014 |
|
2 |
GFISEF |
Revised fee schedule |
10/30/2014 |
Certified |
11/14/2014 |
|
2 |
NEXSEF |
Revised Fee Program to include new market maker program for certain Non Deliverable Forwards |
09/17/2019 |
Certified |
10/01/2019 |
|
2 |
NEXSEF |
Revised Fee Program discount programs |
07/17/2018 |
Certified |
07/31/2018 |
|
2 |