AEGIS |
Modifications to - Exhibit N1a Market Participant Agreement |
08/26/2024 |
Notified |
08/26/2024 |
|
2 |
AEGIS |
The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. |
10/19/2022 |
Certified |
11/02/2022 |
|
6 |
AEGIS |
Amendments to Rulebook and Participant Agreement. |
03/07/2023 |
Certified |
03/21/2023 |
|
4 |
AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
11/29/2023 |
Certified |
12/13/2023 |
|
3 |
AEGIS |
The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. |
09/13/2022 |
Certified |
09/27/2022 |
|
3 |
AEGIS |
Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. |
07/21/2022 |
Notified |
07/21/2022 |
|
3 |
AEGIS |
NEW - Exhibit N1a Participant Agreement for Market Participants |
07/11/2024 |
Notified |
07/11/2024 |
|
2 |
AEGIS |
Amendments to Exhibit N-1 Participant Agreement |
11/03/2022 |
Notified |
11/03/2022 |
|
2 |
AEGIS |
Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule |
07/26/2022 |
Notified |
07/26/2022 |
|
4 |
AEGIS |
Contract Position Accountability Levels Table |
08/30/2022 |
Certified |
09/14/2022 |
|
1 |
AEGIS |
The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. |
09/22/2022 |
Certified |
10/06/2022 |
|
2 |
360T |
Various amendments to 360T Rulebook |
12/24/2014 |
Certified |
01/09/2015 |
|
5 |
360T |
terminology update |
03/24/2023 |
Certified |
04/07/2023 |
|
7 |
360T |
The Rulebook has been amended in response to 360T functionality development. |
04/17/2020 |
Certified |
05/01/2020 |
|
6 |
360T |
360 Trading Networks, Inc. amendment to Form SEF |
11/27/2013 |
Certified |
12/13/2013 |
|
0 |
360T |
Rulebook and User Guides updated in view of CFTC comments and participant queries. |
09/30/2015 |
Certified |
10/14/2015 |
|
5 |
360T |
360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. |
03/13/2015 |
Certified |
03/27/2015 |
|
4 |
360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
08/10/2017 |
Certified |
08/24/2017 |
|
5 |
360T |
Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. |
08/04/2015 |
Certified |
08/17/2015 |
|
4 |
360T |
360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 |
02/25/2014 |
Certified |
03/12/2014 |
|
1 |
360T |
Amendments to 360T SEF Application for Registration and documents with request for confidential treatment. October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
360T |
Revision of Rulebook and User Guides. |
09/13/2016 |
Certified |
09/27/2016 |
|
7 |
360T |
rule changes and additions |
05/21/2015 |
Certified |
06/04/2015 |
|
3 |
360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
07/19/2017 |
Withdrawn |
07/24/2017 |
|
5 |
360T |
Revision of Rulebook and User Guides |
11/26/2015 |
Certified |
12/09/2015 |
|
14 |
360T |
360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) |
04/03/2014 |
Certified |
04/18/2014 |
|
1 |
360T |
360 Trading Networks Inc. ("360T") hereby files the attached amendments to its Fee Schedule for 360T Participants. The Fee Schedule has been amended in response to 360T business development. |
04/30/2019 |
Certified |
05/14/2019 |
|
3 |
360T |
The 360T Rulebook has been amended in response to regulatory development. Added Rule 527 (Post-Trade Name Give-Up). |
11/12/2020 |
Certified |
11/27/2020 |
|
8 |
360T |
The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. |
12/01/2017 |
Certified |
12/15/2017 |
|
5 |
360T |
360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. |
11/26/2013 |
Certified |
12/12/2013 |
|
3 |