| RF SEF |
The Rulebook has been amended to incorporate amendments to CFTC Regulation 37.6(b) relating to uncleared swap confirmation requirements. |
05/29/2024 |
10 Day Review |
05/29/2024 |
|
2 |
| RF SEF |
Removal of reference to CFTC NAL 17-17. |
05/30/2024 |
Certified |
06/12/2024 |
|
2 |
| BGC |
Amended Rule 403(b) to reference Rule 515. |
05/30/2024 |
Certified |
06/13/2024 |
|
2 |
| 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 |
| NEXSEF |
Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2024-01 Regarding Amendments to the Operational Parameters Annex |
06/05/2024 |
Certified |
06/20/2024 |
|
2 |
| LGX |
Inclusion of new d/b/a MIAX Derivatives Exchange in Rulebooks |
06/07/2024 |
Notified |
06/07/2024 |
|
1 |
| LGX |
Updates to Participant Agreement |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
Updates to User Agreement |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
Privacy Policy updates |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook BSEF Submission No. 2024-R-08. |
06/13/2024 |
Certified |
06/28/2024 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-09. |
06/13/2024 |
Certified |
06/28/2024 |
|
1 |
| 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 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for Various Administrative Amendments |
07/03/2024 |
Certified |
07/18/2024 |
|
2 |
| AEGIS |
NEW - Exhibit N1a Participant Agreement for Market Participants |
07/11/2024 |
Notified |
07/11/2024 |
|
2 |
| ISBV |
Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct 24). \r\nPage 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. |
07/16/2024 |
Certified |
07/29/2024 |
|
2 |
| ISBV |
Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct\r\n24). Page 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. |
07/17/2024 |
Certified |
07/31/2024 |
|
3 |
| RTX |
RTX Fintech & Research LLC Amended Fee Schedule |
07/22/2024 |
Certified |
08/05/2024 |
|
2 |
| RF SEF |
Incorporate rules requiring SEF Participants to notify LSEG SEF, prior to entering into any Prime Broker Trades, of their intent to use the services of Prime Broker(s) as well as identity the name of such Prime Broker(s). |
08/02/2024 |
Certified |
08/16/2024 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Rule 901(e) ("NEX SEF NDF System Protocol" - "The Matching Process") (Form SEF Exhibit M) in Connection with the Adoption of Conditional Price Increments for Certain Products. |
08/07/2024 |
Certified |
08/21/2024 |
|
1 |
| TRAD |
Modifications to Rules 101, 102, 209, 304, 308, 309, 311, 403, 404, 405, 409, 412, 503, 509, 510, 511, 512, 529, 706, and 902 within Tradition SEF's Rulebook, as well as other non-substantive revisions. |
08/09/2024 |
Certified |
08/23/2024 |
|
3 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
08/15/2024 |
Certified |
08/29/2024 |
|
1 |
| LGX |
Revisions to SEF Rulebook |
08/20/2024 |
Certified |
09/04/2024 |
|
3 |
| AEGIS |
Modifications to - Exhibit N1a Market Participant Agreement |
08/26/2024 |
Notified |
08/26/2024 |
|
2 |
| SPECTR |
Submission of SpectrAxe's Reverse Give Up Credit Program |
08/29/2024 |
Certified |
09/13/2024 |
|
3 |
| BSEF |
Amendments to the Bloomberg SEF LLC Rulebook |
08/29/2024 |
Certified |
09/13/2024 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Rule 902 Appendix 1 ("Shield System Protocol" - "Contracts offered for trading") (Form SEF Exhibit M) to Include Non-Deliverable Forwards ("NDFs") on the Shield Order Book and the Issuance of NEX SEF Market Regulation Advisory Notice |
09/12/2024 |
Certified |
09/26/2024 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
09/13/2024 |
Certified |
09/27/2024 |
|
1 |
| CBOESEF |
Clarifying definition of API and new definition of Participant API. Clarifying that prior to commencing trading activity on the SEF, each Authorized Trader must register an order entry operator ID (OEOID) with the SEF. |
09/13/2024 |
Certified |
09/27/2024 |
|
1 |
| TPSEF |
Amendments to Rule 3109 (Authorized Traders) and Rule 4013.A. (Cleared Swaps) of the tpSEF Rulebook. |
09/16/2024 |
Certified |
09/30/2024 |
|
1 |
| RF SEF |
Amendments to i) accommodate the execution of Block Trades; and ii) describe the manner in which participants elect to treat such trades as Block Trades. |
09/20/2024 |
Certified |
10/04/2024 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees (2024-R-13) |
10/02/2024 |
Certified |
10/17/2024 |
|
1 |
| TRAD |
Amendment of platform trading hours for USD, EUR and GBP currencies on Tradition SEF Platform Supplement 1 effective October 17, 2024. |
10/02/2024 |
Certified |
10/17/2024 |
|
3 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
10/16/2024 |
Certified |
10/30/2024 |
|
1 |
| ISBV |
Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Nov '24, Dec '24 and Jan '25). Page 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. |
10/24/2024 |
Certified |
11/07/2024 |
|
3 |
| LGX |
New Fee Schedule |
10/25/2024 |
Certified |
11/08/2024 |
|
1 |
| ISBV |
iSwap Euro B.V. - Rulebook Amendment |
11/01/2024 |
Certified |
11/15/2024 |
|
8 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendment to the Bloomberg SEF LLC Rulebook |
11/15/2024 |
Certified |
12/02/2024 |
|
1 |
| AEGIS |
Rule 4.4 - Clean up of description of `electronic messaging capability' Rule 4.15.2 - Remove reference to 'electronic communications capability'Rule 9.8 - Correction of rule reference |
11/19/2024 |
Notified |
11/19/2024 |
|
3 |
| RF SEF |
Incentive program waiving the API fee for new liquidity providers pricing on PriceStream only until June 30, 2025 |
11/25/2024 |
Certified |
12/10/2024 |
|
1 |
| GFISEF |
GFI is amending the terms and conditions of its Rulebook, GFI SEF Rule 1101, and Appendix A - Contract Specifications to incorporate equity index swaps, option on variance swaps, and volatility swaps, as well as additional underlying indices for equities. |
11/26/2024 |
Certified |
12/10/2024 |
|
3 |
| BSEF |
CFTC Regulation 40.6(a) Certification - Issuance of BSEF Notice to Participants |
11/26/2024 |
Certified |
12/11/2024 |
|
1 |
| RTX |
Fee Schedule Amendment |
11/26/2024 |
Certified |
12/11/2024 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees (2024-R-18) |
12/03/2024 |
Certified |
12/17/2024 |
|
1 |
| TPSEF |
Amendments to Rules 4003.A. (Execution of Transactions) and 4011 (Time Delay Requirement for Required Cross Transactions) of the tpSEF Rulebook. |
12/03/2024 |
Certified |
12/17/2024 |
|
1 |
| TPSEF |
Amendments to tpSEF Inc. Risk Mitigation Procedures. |
12/03/2024 |
Certified |
12/17/2024 |
|
1 |
| AEGIS |
Updates to AEGIS Markets Rulebook and Exhibit K (Fee Schedule) |
12/05/2024 |
Notified |
12/05/2024 |
|
5 |
| AEGIS |
Updates to AEGIS Markets Rulebook and Exhibit K (Fee Schedule) |
12/09/2024 |
10 Day Review |
12/09/2024 |
|
5 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-19. |
12/09/2024 |
10 Day Review |
12/09/2024 |
|
1 |
| AEGIS |
Rulebook and Exhibit N-1 Participant Agreement amended to allow for Block Trades |
12/10/2024 |
10 Day Review |
12/10/2024 |
|
4 |
| ISBV |
iSwap submits amendments to its Fee Structures and Incentives, which has been amended to highlight transaction and execution fees for the Targeted Streaming Market. The Program will incentivize liquidity and volume on the iSwap Venue. |
12/13/2024 |
10 Day Review |
12/13/2024 |
|
3 |
