| ICE SEF |
Rule Changes to the ICE Swap Trade Rulebook |
11/03/2020 |
Certified |
11/18/2020 |
|
6 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
11/02/2020 |
Certified |
11/17/2020 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-11) |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) |
10/30/2020 |
Certified |
11/16/2020 |
|
3 |
| BSEF |
Compliance Manual amendment |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective November 1, 2020, and to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 28, 2020. |
10/29/2020 |
Notified |
10/29/2020 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook and IGDL Compliance Manual, both effective as of November 1, 2020. |
10/29/2020 |
Notified |
10/29/2020 |
|
2 |
| NEXSEF |
MRAN update for additional currency pairs |
10/21/2020 |
Certified |
11/04/2020 |
|
1 |
| GFISEF |
Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU |
10/20/2020 |
Certified |
11/03/2020 |
|
1 |
| TWSEF |
Market Regulation Notice Concerning Block Trades |
10/19/2020 |
Certified |
11/02/2020 |
|
1 |
| IGDL |
IGDL-2020-R-6 - 40.6(a) Rule Certification (10.19.2020) |
10/19/2020 |
Certified |
11/02/2020 |
|
2 |
| TPSEF |
tpSEF 20-09R - 40.6(a) Rule Certification (10.19.2020) |
10/19/2020 |
Certified |
11/02/2020 |
|
2 |
| BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to add a definition, update various CFTC No Action Letters and add a rule for the CFTC Post-Trade Name Give-Up rule. |
10/19/2020 |
Certified |
11/02/2020 |
|
1 |
| GFISEF |
Certification that these rules comply with the Commodity Exchange Act and the Commission's regulations. The document includes a concise analysis of the operation, purpose and effect of each of the amended rules. |
10/19/2020 |
Certified |
11/02/2020 |
|
1 |
| TRAD |
Notification of Amendments to Tradition SEF, Inc. Rulebook |
10/16/2020 |
Certified |
10/30/2020 |
|
5 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
10/16/2020 |
Certified |
10/30/2020 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF African & Middle East NDFs Market Maker Program |
10/16/2020 |
Certified |
10/30/2020 |
|
2 |
| LGX |
LedgerX Fee Schedule Update |
09/23/2020 |
Notified |
09/23/2020 |
|
1 |
| BSEF |
Addendum to BSEF-NFA Regulatory Services Agreement |
09/22/2020 |
Certified |
10/06/2020 |
|
2 |
| TWSEF |
Update to Fee Schedule for Cross Currency Swaps |
09/21/2020 |
Certified |
10/05/2020 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-09) |
09/18/2020 |
Certified |
10/02/2020 |
|
1 |
| BSEF |
Amended schedule |
09/17/2020 |
Certified |
10/01/2020 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-08) |
09/17/2020 |
Certified |
10/01/2020 |
|
1 |
| NEXSEF |
Form SEF Exhibit updates related to NEX SEF integration with CME, as well as miscellaneous changes. |
09/09/2020 |
Certified |
09/23/2020 |
|
1 |
| NEXSEF |
Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider |
08/17/2020 |
Certified |
08/31/2020 |
|
4 |
| TRAD |
Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program |
08/10/2020 |
Certified |
08/24/2020 |
|
2 |
| CBOESEF |
Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. |
08/04/2020 |
Certified |
08/18/2020 |
|
1 |
| CBOESEF |
Cboe SEF is seeking to modify certain rules relating to the limitation of its liability and its indemnification obligations to its participants |
07/28/2020 |
Certified |
08/11/2020 |
|
2 |
| TWSEF |
Amendment to TW SEF Rates Fee Schedule |
07/23/2020 |
Certified |
08/05/2020 |
|
4 |
| DWSEF |
Amendments to the DW SEF IRS Fee Schedule |
07/21/2020 |
Certified |
08/04/2020 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
07/17/2020 |
Certified |
07/31/2020 |
|
2 |
| CBOESEF |
Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. |
07/13/2020 |
Certified |
07/27/2020 |
|
1 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
07/01/2020 |
Certified |
07/16/2020 |
|
1 |
| IGDL |
Amendments to ICAP Global Derivatives Limited's Rulebook |
06/19/2020 |
Certified |
07/06/2020 |
|
1 |
| TPSEF |
Amendments to Exhibit Q to tpSEF's Form SEF. |
06/18/2020 |
Certified |
07/02/2020 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
06/16/2020 |
Certified |
06/30/2020 |
|
2 |
| TRAD |
Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program |
06/12/2020 |
Certified |
06/26/2020 |
|
1 |
| TWSEF |
Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). |
06/03/2020 |
Certified |
06/17/2020 |
|
2 |
| LGX |
Revision to LedgerX Rulebook |
05/29/2020 |
Certified |
06/12/2020 |
|
1 |
| BSEF |
Amended governance documentation (Operating Agreement and Information About Board of Directors) |
05/22/2020 |
Certified |
06/05/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
| NEXSEF |
Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) |
05/21/2020 |
Certified |
06/05/2020 |
|
3 |
| TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of May 15, 2020. |
05/20/2020 |
Notified |
05/20/2020 |
|
1 |
| CBOESEF |
Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. |
05/08/2020 |
Certified |
05/22/2020 |
|
1 |
| TRAD |
Amendment to Rule 412(a), (b), (d) and (e) to permit confirmation to e directed to Broker Firm Participants. Amendment to Rule 508 to permit a work-up process to commence upon execution via a Request for Continuous Stream. |
04/30/2020 |
Certified |
05/14/2020 |
|
1 |
| TPSEF |
Amendments to tpSEF's Rulebook and Compliance Manual. |
04/29/2020 |
Certified |
05/13/2020 |
|
2 |
| 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 |
| 360T |
The Rulebook has been amended in response to 360T functionality development. |
04/17/2020 |
Certified |
05/01/2020 |
|
6 |
| TPSEF |
Updates to the tpSEF Inc. Risk Mitigation Procedures |
04/13/2020 |
Certified |
04/27/2020 |
|
1 |
