| 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 |
Modifications to the NEX SEF African & Middle East NDFs Market Maker Program |
10/16/2020 |
Certified |
10/30/2020 |
|
2 |
| NEXSEF |
Amended Fee Program |
08/08/2017 |
Certified |
08/22/2017 |
|
2 |
| RADSEF |
TeraExchange, LLC - Amended Rulebook Submission 2013-01 |
11/26/2013 |
Certified |
12/12/2013 |
|
1 |
| RADSEF |
TeraExchange, LLC - Rule Amendments - Amended Rulebook TERAEXC #2014-21 |
04/16/2014 |
Certified |
05/01/2014 |
|
1 |
| RADSEF |
Submission of TeraExchange LLC updated rulebook adding 3 swaps to the product terms and conditions that have been filed with the commission for certification and removing 7 instruments that reference LIBOR which have been delisted. |
06/21/2023 |
Certified |
07/06/2023 |
|
2 |
| RADSEF |
TeraExchange Rule Implementation Submission 2014-02 Rules amended: 101 (Definitions), 310 (Application of Rules and Jurisdiction, 513(b) (Block Trades) and 818 (Sanctions) TERAEXC 2014-02 |
02/24/2014 |
Certified |
03/11/2014 |
|
1 |
| RADSEF |
Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. |
04/15/2016 |
Certified |
04/29/2016 |
|
3 |
| RADSEF |
Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. |
08/25/2016 |
Certified |
09/09/2016 |
|
3 |
| RADSEF |
Inclusion of Product Terms and Conditions |
12/21/2022 |
Certified |
01/06/2023 |
|
4 |
| RADSEF |
New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references |
11/03/2020 |
Certified |
11/18/2020 |
|
4 |
| RADSEF |
TeraExchange 40.6 Filing 15-01 - Rulebook Amendments |
01/19/2015 |
Certified |
02/02/2015 |
|
1 |
| RADSEF |
TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants |
06/15/2016 |
Certified |
06/29/2016 |
|
3 |
| RADSEF |
Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters |
03/30/2018 |
Certified |
04/13/2018 |
|
3 |
| RADSEF |
Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 |
01/16/2014 |
Certified |
02/01/2014 |
|
1 |
| RADSEF |
Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions |
12/16/2020 |
Certified |
12/31/2020 |
|
4 |
| RADSEF |
TeraExchange response to Staff's supplemental 43 and 45 reporting questions. |
12/19/2014 |
Certified |
01/06/2015 |
|
1 |
| RADSEF |
Correct reference or clarify Rules 536 and 537Add product terms and conditions |
10/29/2021 |
Certified |
11/15/2021 |
|
4 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
02/24/2016 |
Certified |
03/09/2016 |
|
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) |
11/20/2020 |
Certified |
12/07/2020 |
|
2 |
| RF SEF |
The Notice to Participants clarifies that RSEF only facilitates the execution of swaps that are not intended to be cleared, and that any decision to clear trades executed on RSEF is considered to be made post-trade and without Refinitiv SEF's involvement |
11/05/2021 |
Certified |
11/22/2021 |
|
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 |
| 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 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook Submission #14-01 |
01/13/2014 |
Certified |
01/29/2014 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
10/08/2015 |
Certified |
10/23/2015 |
|
2 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 |
07/02/2014 |
Certified |
07/18/2014 |
|
1 |
| RF SEF |
Thomas Reuters - Amendments to Rulebook - Submission #14-03 |
07/08/2014 |
Certified |
07/23/2014 |
|
1 |
| 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 |
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 |
| 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 |
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 |
| 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 |
