| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
03/25/2015 |
Certified |
04/08/2015 |
|
2 |
| RF SEF |
Thomas Reuters - Submission 14-02 - Amendments to Rulebook - Effective June 13, 2014 |
05/30/2014 |
Certified |
06/14/2014 |
|
1 |
| RF SEF |
Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. |
05/02/2022 |
Certified |
05/16/2022 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
05/10/2016 |
Certified |
05/24/2016 |
|
2 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 |
05/30/2014 |
Certified |
06/14/2014 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
01/16/2015 |
Certified |
02/02/2015 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
09/11/2015 |
Certified |
09/25/2015 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. |
03/01/2019 |
Certified |
03/15/2019 |
|
2 |
| RF SEF |
This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF |
11/20/2023 |
Notified |
11/20/2023 |
|
3 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
08/10/2018 |
Certified |
08/24/2018 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
12/22/2015 |
Certified |
01/07/2016 |
|
2 |
| 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 |
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 |
| RF SEF |
Removal of reference to CFTC NAL 17-17. |
05/30/2024 |
Certified |
06/12/2024 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) |
11/09/2020 |
Certified |
11/24/2020 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
05/23/2018 |
Certified |
06/07/2018 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
10/24/2014 |
Certified |
11/07/2014 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
12/01/2017 |
Certified |
12/15/2017 |
|
2 |
| RF SEF |
Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 |
11/22/2013 |
Certified |
12/10/2013 |
|
1 |
| RF SEF |
Thomas Reuters (SEF) amending its rulebook in response to comments and questions regarding TR SEF. Submission 13-03 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| RF SEF |
The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) |
02/12/2021 |
Certified |
03/01/2021 |
|
2 |
| RF SEF |
Amendments to its application for TR SEF and request for Confidential Treatment. October 18, 2013 |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| RF SEF |
Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. |
06/08/2023 |
Certified |
06/23/2023 |
|
2 |
| RF SEF |
The rule amendments have been made to introduce voluntary clearing of NDFs. |
03/11/2024 |
Certified |
03/25/2024 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to error trades under Commission Regulation 37.9(e) |
02/17/2021 |
Certified |
03/03/2021 |
|
2 |
| RF SEF |
Pursuant to the instructions in Form SEF regarding amendments to exhibits filed in connection with and approved order of registration, Refinitiv US SEF LLC ("RSEF") hereby submits an amended Exhibit B-1 to its SEF application |
04/11/2022 |
Certified |
04/25/2022 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-04) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-05) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
02/17/2016 |
Withdrawn |
02/24/2016 |
|
4 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
09/20/2017 |
Certified |
10/04/2017 |
|
2 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
08/18/2016 |
Certified |
09/01/2016 |
|
2 |
| RTX |
Revision of the RTX Fintech & Research LLC Rulebook |
05/10/2024 |
Certified |
05/24/2024 |
|
2 |
| RTX |
Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) |
11/07/2023 |
Certified |
11/22/2023 |
|
2 |
| RTX |
Self Certification of our Fee Schedule |
10/03/2023 |
Certified |
10/18/2023 |
|
2 |
| RTX |
RTX revised Fee Schedule |
10/19/2023 |
Certified |
11/02/2023 |
|
2 |
| RTX |
Revision of SEF Compliance Manual |
03/07/2024 |
Certified |
03/21/2024 |
|
3 |
| RTX |
Weekly Notification of Rule Amendments |
08/31/2023 |
Notified |
08/31/2023 |
|
1 |
| SEED CX |
Weekly Notification of Rule Amendments |
03/05/2018 |
Notified |
03/05/2018 |
|
1 |
| SEED CX |
Seed SEF is amending various rules to clarify certain definitions and to make substantive revisions to Chapters 7 (Contract Settlement) and 9 (Arbitration) |
01/12/2018 |
Withdrawn |
01/16/2018 |
|
2 |
| SEED CX |
Seed SEF LLC Rule Submission - Amending Various Rules Related to Execution and Settlement of Transactions (SCXS Submission #19-001) |
08/02/2019 |
Certified |
08/16/2019 |
|
1 |
| SEED CX |
An updated rulebook, modified during usual review of rule consistencies and market structure. |
09/01/2017 |
Certified |
09/18/2017 |
|
3 |
| SEED CX |
Updating Various Rules in the Seed SEF Rulebook |
08/14/2019 |
Certified |
08/28/2019 |
|
1 |
| SEED CX |
As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. |
09/11/2017 |
Certified |
09/25/2017 |
|
3 |
| SEED CX |
Certification of new Rule 203 to establish procedures for adding Directors to the Board. |
09/21/2016 |
Certified |
10/05/2016 |
|
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 |
| SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
02/27/2023 |
Certified |
03/13/2023 |
|
1 |
| SPECTR |
Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program |
01/05/2024 |
Certified |
01/22/2024 |
|
4 |
| SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
03/20/2023 |
Certified |
04/03/2023 |
|
1 |
| SWAPX |
Amendment of Rule 525 to reflect recent CFTC no-action letter |
03/31/2017 |
Certified |
04/14/2017 |
|
4 |
| SWAPX |
Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 |
12/04/2013 |
Certified |
12/19/2013 |
|
0 |
