| TWSEF |
Market Participant Notice- SDR reporting |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
| DWSEF |
Notice to participants- SDR rewrite |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. |
11/21/2022 |
Certified |
12/06/2022 |
|
2 |
| AEGIS |
Amendments to Rulebook and Participant Agreement |
11/21/2022 |
Certified |
12/06/2022 |
|
4 |
| BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) |
11/18/2022 |
Certified |
12/05/2022 |
|
1 |
| LATAM |
40.6(a) certification of LatAm SEF Rulebook, version 1.12 |
11/16/2022 |
Certified |
12/01/2022 |
|
1 |
| LGX |
40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. |
11/16/2022 |
Notified |
11/16/2022 |
|
1 |
| CBOESEF |
Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
| CBOESEF |
Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). |
11/04/2022 |
Certified |
11/21/2022 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-05) |
11/03/2022 |
Certified |
11/18/2022 |
|
1 |
| AEGIS |
Amendments to Exhibit N-1 Participant Agreement |
11/03/2022 |
Notified |
11/03/2022 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program |
10/28/2022 |
Certified |
11/14/2022 |
|
2 |
| AEGIS |
The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. |
10/19/2022 |
Certified |
11/02/2022 |
|
6 |
| CBOESEF |
Amendment to Exhibit A to Form SEF |
10/18/2022 |
Certified |
11/01/2022 |
|
1 |
| AEGIS |
The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. |
10/14/2022 |
Certified |
10/28/2022 |
|
3 |
| TWSEF |
TW SEF Fee Schedule Update |
10/11/2022 |
Certified |
10/25/2022 |
|
2 |
| LGX |
Operations manual update reflecting process changes related to ACH deposits. |
10/11/2022 |
Certified |
10/25/2022 |
|
3 |
| LGX |
Self certification of revisions to compliance manual. |
10/03/2022 |
Certified |
10/18/2022 |
|
3 |
| ISBV |
Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives |
09/30/2022 |
Certified |
10/14/2022 |
|
3 |
| AEGIS |
The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. |
09/22/2022 |
Certified |
10/06/2022 |
|
2 |
| NEXSEF |
Amendments to the NEX SEF Limited Trading Participant Holder Agreement |
09/15/2022 |
Certified |
09/29/2022 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) |
09/15/2022 |
Certified |
09/29/2022 |
|
1 |
| AEGIS |
The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. |
09/13/2022 |
Certified |
09/27/2022 |
|
3 |
| AEGIS |
Contract Position Accountability Levels Table |
08/30/2022 |
Certified |
09/14/2022 |
|
1 |
| CBOESEF |
Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. |
08/18/2022 |
Certified |
09/01/2022 |
|
1 |
| CBOESEF |
Update the appeal provisions under Cboe SEF's Rules. |
08/18/2022 |
Certified |
09/01/2022 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS On-SEF UK/US Crossover Market Maker Program |
08/17/2022 |
Certified |
08/31/2022 |
|
2 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
08/17/2022 |
Notified |
08/17/2022 |
|
1 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
08/10/2022 |
Certified |
08/24/2022 |
|
1 |
| LGX |
Revised SEF Rulebook |
08/04/2022 |
Certified |
08/18/2022 |
|
2 |
| LGX |
Amendment to Participant Agreement |
08/04/2022 |
Certified |
08/18/2022 |
|
2 |
| LGX |
Amendments to Participant Agreement |
07/28/2022 |
Certified |
08/11/2022 |
|
2 |
| LGX |
Rulebook Amendment |
07/27/2022 |
Certified |
08/10/2022 |
|
2 |
| 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 |
| AEGIS |
Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. |
07/21/2022 |
Notified |
07/21/2022 |
|
3 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/18/2022 |
Certified |
08/01/2022 |
|
1 |
| CBOESEF |
The Amendment clarifies the recordkeeping requirements of Participants. |
07/08/2022 |
Certified |
07/22/2022 |
|
1 |
| ISBV |
Updated Fee Structure and Incentives to reflect volatile markets. No substantive changes to the quantum of fees or incentives. In addition some conformance changes |
07/08/2022 |
Certified |
07/22/2022 |
|
4 |
| CBOESEF |
Updates Cboe SEF's governance arrangements. |
07/01/2022 |
Certified |
07/18/2022 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook and Fee schedule, both effective as of July 1, 2022. |
07/01/2022 |
Notified |
07/01/2022 |
|
2 |
| CBOESEF |
(1) clarify the types and functionality of Orders that may be entered into Cboe SEF's order books and (2) change how Cboe SEF's trading system treats Orders submitted with decimal Notional Amounts. |
06/24/2022 |
Certified |
07/11/2022 |
|
1 |
| IGDL |
IGDL-2022-R-2 - 40.6(a) Rule Certification (6.16.22) |
06/16/2022 |
Certified |
07/01/2022 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program |
06/15/2022 |
Certified |
06/30/2022 |
|
2 |
| NEXSEF |
Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) |
06/14/2022 |
Certified |
06/29/2022 |
|
2 |
| BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to more closely align with CFTC Regulations. |
06/07/2022 |
Certified |
06/22/2022 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-03) |
05/20/2022 |
Certified |
06/06/2022 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/20/2022 |
Notified |
05/20/2022 |
|
1 |
| TRAD |
Updated SEF Fee Schedule amending Section D (Trade Processing Fees). |
05/12/2022 |
Certified |
05/26/2022 |
|
3 |
| 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 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/03/2022 |
Notified |
05/03/2022 |
|
1 |
