| BSEF |
CFTC Regulation 40.6(a) Certification. Product Related Amendment to the BSEF LLC Rulebook. |
11/29/2023 |
Certified |
12/13/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees (2024-R-13) |
10/02/2024 |
Certified |
10/17/2024 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) |
08/16/2018 |
Certified |
08/30/2018 |
|
1 |
| BSEF |
Notice to Participants regarding trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. |
07/02/2018 |
Certified |
07/17/2018 |
|
1 |
| BSEF |
Notice to Participants regarding the lifting of a trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. |
07/02/2018 |
Certified |
07/17/2018 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees |
07/10/2014 |
Certified |
07/24/2014 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
01/12/2024 |
Certified |
01/29/2024 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook |
11/20/2019 |
Certified |
12/05/2019 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-05) |
11/03/2022 |
Certified |
11/18/2022 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-03) |
05/20/2022 |
Certified |
06/06/2022 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification Delisting of Two (2) LIBOR-related Contracts (BSEF-2023-R-06). |
06/07/2023 |
Certified |
06/22/2023 |
|
1 |
| BSEF |
Notice to Participants informing Participants of certain amendments to Rule 301(e) (re: Trading Account information being kept up-to-date)and Rule 516.E(iv) (re: BSEF ability to cancel trades due to insufficient Trading Account information) |
08/08/2016 |
Certified |
08/22/2016 |
|
2 |
| BSEF |
CFTC Regulation 40.6(a) Certification - Issuance of BSEF Notice to Participants |
11/26/2024 |
Certified |
12/11/2024 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) |
09/15/2022 |
Certified |
09/29/2022 |
|
1 |
| BSEF |
BSEF fee schedule amendment |
08/29/2023 |
Certified |
09/13/2023 |
|
1 |
| BSEF |
Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-06) |
07/09/2021 |
Certified |
07/23/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC Compliance Manual |
05/02/2019 |
Certified |
05/16/2019 |
|
2 |
| BSEF |
Bloomberg SEF LLC Rulebook |
05/02/2019 |
Certified |
05/16/2019 |
|
1 |
| BSEF |
Non-substantive amendment of rules to incorporate recent CFTC rule amendments which codified prior CFTC no-action relief |
02/16/2021 |
Notified |
02/16/2021 |
|
1 |
| BSEF |
Amending Bloomberg SEF Rulebook. - Rule 533. Cleared Swaps |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| BSEF |
Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants attached as Exhibit A to this certification on November 14, 2014. |
10/29/2014 |
Certified |
11/13/2014 |
|
1 |
| BSEF |
Rulebook Amendments - Amending the October 17 Rulebook Certification to respond to comments from Commission staff. (2013R-6 10/29/13) |
10/29/2013 |
Certified |
11/14/2013 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2019-R-10). |
11/01/2019 |
Certified |
11/18/2019 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2019-R-09). |
11/01/2019 |
Certified |
11/18/2019 |
|
1 |
| BSEF |
BSEF Rulebook Amendment |
12/21/2018 |
Certified |
01/08/2019 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (Amend December 9 Rulebook Certification) Letter dated December 19, 2013 2013-R-10A |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual |
01/05/2022 |
Certified |
01/20/2022 |
|
1 |
| BSEF |
Rulebook amendment |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| BSEF |
Compliance Manual amendment |
12/07/2017 |
Certified |
12/21/2017 |
|
2 |
| BSEF |
Notice to Participants |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| 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 |
| 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 |
| BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify rules 203, 204, and 603, and to remove unutilized subsets of rules 602 and 703. |
11/05/2021 |
Certified |
11/22/2021 |
|
1 |
| BGC |
The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules are technical corrections, clarifications and adjustments to rule language based upon guidance received from the staff of the Commodity Futures Trading Commission ("CFTC"). |
11/03/2014 |
Certified |
11/18/2014 |
|
2 |
| BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify Rules 604 and 704 with respect to Post-Trade Name Give-Up and to update various CFTC No Action Letters. |
11/24/2020 |
Certified |
12/09/2020 |
|
2 |
| BGC |
Resubmission of Rule 505 - Contract Specifications are being amended to provide that persons entering into pre-discussed trades or cross trades in the specified Interest Rate Swaps, must wait at least 5 seconds after the Initial Order. BGC #2013-03 |
01/30/2014 |
Certified |
07/29/2014 |
|
7 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker |
08/01/2023 |
Certified |
08/15/2023 |
|
1 |
| BGC |
The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. |
09/17/2014 |
Withdrawn |
09/18/2014 |
|
4 |
| BGC |
More detail regarding the Voice Work-Up trading process |
01/15/2016 |
Certified |
02/01/2016 |
|
1 |
| BGC |
The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
| BGC |
As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. |
11/29/2016 |
Certified |
12/13/2016 |
|
1 |
| BGC |
Amending rules for determining speculative position limits or position accountability. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
| BGC |
Amendments to the fee schedule. |
10/06/2015 |
Certified |
10/21/2015 |
|
2 |
| BGC |
These rule amendments are cumulative and are in response to suggestions and guidance from the staff. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
| BGC |
Rule amendments |
01/14/2015 |
Certified |
01/29/2015 |
|
1 |
| BGC |
We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed amendments to the Code of Ethics. Confidential treatment is requested. |
06/08/2016 |
Certified |
06/22/2016 |
|
1 |
| BGC |
Notice of BGC Derivative Markets, L.P. Claiming Relief Under CFTC Letter No. 13-62 October 8, 2013 (2013-01) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. |
12/14/2020 |
Certified |
12/29/2020 |
|
1 |
| BGC |
Amendment to the Volume Match and Volume Match prices rules. |
05/27/2015 |
Certified |
06/10/2015 |
|
1 |
