| MKAXSEF |
MarketAxess SEF Corporation - Rulebook updated to reflect recent developments and to provide clarity. Letter dated November 5, 2013. Amended Rulebook will be effective November 21, 2013. |
11/05/2013 |
Certified |
11/21/2013 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Updated its Rulebook to reflect recent developments and to provide clarity. Effective June 30, 2014 |
06/16/2014 |
Certified |
07/01/2014 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| MKAXSEF |
Rulebook update |
08/31/2021 |
Notified |
08/31/2021 |
|
3 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| LGX |
Amendments to Participant Agreement |
07/28/2022 |
Certified |
08/11/2022 |
|
2 |
| LGX |
LedgerX revised Rulebook |
12/15/2021 |
Certified |
12/30/2021 |
|
2 |
| 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 |
Revised Fee Schedule |
12/17/2024 |
10 Day Review |
12/17/2024 |
|
1 |
| LGX |
Fee Schedule Amendmenet |
12/06/2019 |
Notified |
12/06/2019 |
|
2 |
| 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 |
| LGX |
LedgerX Revised Rulebook |
06/10/2021 |
Certified |
06/24/2021 |
|
3 |
| LGX |
Revision to LedgerX Rulebook |
05/29/2020 |
Certified |
06/12/2020 |
|
1 |
| LGX |
Inclusion of new d/b/a MIAX Derivatives Exchange in Rulebooks |
06/07/2024 |
Notified |
06/07/2024 |
|
1 |
| LGX |
Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. |
06/11/2018 |
Certified |
06/25/2018 |
|
4 |
| LGX |
Weekly notification, withdrawal fee change |
11/12/2021 |
Notified |
11/12/2021 |
|
1 |
| LGX |
Updates to Participant Agreement |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
Submission of Revised fee schedule |
03/04/2020 |
Certified |
03/18/2020 |
|
2 |
| LGX |
Updates to User Agreement |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
Self certification of revisions to compliance manual. |
10/03/2022 |
Certified |
10/18/2022 |
|
3 |
| LGX |
Privacy Policy updates |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
LedgerX Updated BCDR Plan |
06/13/2021 |
Certified |
06/25/2021 |
|
4 |
| LGX |
Revised operations manual |
11/14/2017 |
Certified |
11/29/2017 |
|
3 |
| LGX |
LedgerX Revised Operations Manual |
06/15/2021 |
Certified |
06/30/2021 |
|
5 |
| LGX |
Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. |
05/01/2018 |
Certified |
05/15/2018 |
|
3 |
| LGX |
LedgerX Amended Rulebook |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| LGX |
Operations manual update reflecting process changes related to ACH deposits. |
10/11/2022 |
Certified |
10/25/2022 |
|
3 |
| LGX |
Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. |
10/19/2018 |
Certified |
11/02/2018 |
|
1 |
| LGX |
LedgerX Unredacted Operations Manual |
03/12/2021 |
Certified |
03/26/2021 |
|
2 |
| LGX |
LedgerX Redacted Operations Manual |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| LGX |
LedgerX Revised Participant Agreement |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| LGX |
Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. |
10/22/2018 |
Certified |
11/05/2018 |
|
1 |
| LGX |
Revised Enterprise Risk Management Plan |
06/18/2019 |
Certified |
07/02/2019 |
|
3 |
| LGX |
Fee Schedule Change |
12/09/2020 |
Notified |
12/09/2020 |
|
1 |
| LGX |
LedgerX Liquidity Provider Program |
06/23/2021 |
Certified |
07/08/2021 |
|
3 |
| LGX |
Rulebook for LedgerX DCM |
06/24/2019 |
Certified |
07/09/2019 |
|
2 |
| LGX |
LedgerX Updated Fee Schedule |
06/23/2021 |
Notified |
06/23/2021 |
|
3 |
| LGX |
Revisions to SEF Rulebook |
08/20/2024 |
Certified |
09/04/2024 |
|
3 |
| LGX |
LedgerX SEF Rulebook Revisions |
11/15/2023 |
Certified |
11/30/2023 |
|
3 |
| LGX |
Self-certification of revisions to LLC Operating Agreement |
07/07/2023 |
Certified |
07/21/2023 |
|
1 |
| LGX |
Amended Operations Manual |
10/18/2017 |
Certified |
11/01/2017 |
|
4 |
| LGX |
Submission of revised fee schedule. |
03/27/2018 |
Certified |
04/10/2018 |
|
1 |
| LGX |
New Fee Schedule |
10/25/2024 |
Certified |
11/08/2024 |
|
1 |
| LGX |
Updated Operations Manual |
12/03/2021 |
Certified |
12/17/2021 |
|
3 |
| LGX |
LedgerX Fee Schedule Update |
09/23/2020 |
Notified |
09/23/2020 |
|
1 |
| LGX |
Compliance Manual Version Control |
10/22/2021 |
Notified |
10/22/2021 |
|
3 |
| LGX |
Revised Operations Manual |
10/23/2021 |
Certified |
11/05/2021 |
|
3 |
| LGX |
LedgerX Updated Rulebook |
01/31/2021 |
Certified |
02/12/2021 |
|
1 |
| LGX |
LedgerX Participant Incentive Program |
03/20/2020 |
Certified |
04/03/2020 |
|
3 |
