| SWAPX |
SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) |
04/01/2014 |
Certified |
04/16/2014 |
|
1 |
| SWAPX |
Amendments and updates to various rules. |
12/14/2015 |
Certified |
12/29/2015 |
|
10 |
| SWAPX |
The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. |
01/28/2022 |
Certified |
02/11/2022 |
|
1 |
| SWAPX |
Rule Amendment to Refer to Recent No-Action Letter |
06/02/2017 |
Certified |
06/16/2017 |
|
4 |
| SWAPX |
SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| SWAPX |
Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 |
10/18/2013 |
Certified |
11/02/2013 |
|
1 |
| SWAPX |
Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) |
11/15/2013 |
Certified |
12/03/2013 |
|
1 |
| SWAPX |
Advisory Notices to SwapEx Market Participants |
01/20/2015 |
Certified |
02/03/2015 |
|
1 |
| SWAPX |
The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 |
01/28/2021 |
Certified |
02/11/2021 |
|
4 |
| SWAPX |
Amendment of certain trade practice and disciplinary rules |
09/15/2016 |
Certified |
09/29/2016 |
|
4 |
| SWAPX |
Non-substantive amendment of Rule 513(c) regarding Post-Trade Anonymity. |
06/30/2021 |
Notified |
06/30/2021 |
|
3 |
| SWAPX |
Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments |
06/15/2016 |
Certified |
06/29/2016 |
|
4 |
| SWAPX |
amendment of rule concerning policies on screening of customers |
03/05/2015 |
Certified |
03/19/2015 |
|
4 |
| SWAPX |
Various amendments that generally clarify existing rules. |
11/25/2014 |
Certified |
12/10/2014 |
|
4 |
| SWAPX |
Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. |
06/02/2015 |
Certified |
06/16/2015 |
|
4 |
| SWAPX |
Rulebook amendments in response to comments and questions received from potential users of SwapEx's SEF. (January 22, 2014) |
01/22/2014 |
Certified |
02/06/2014 |
|
1 |
| SWAPX |
Amendments to SwapEx Rulebook |
07/13/2015 |
Certified |
07/27/2015 |
|
4 |
| SWAPX |
Amendment of a market advisory notice previously certified as a rule |
07/14/2015 |
Certified |
07/28/2015 |
|
3 |
| SWAPX |
Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". |
06/03/2019 |
Certified |
06/17/2019 |
|
1 |
| SWAPX |
SwapEx, LLC amendment to its application for registration as a swap execution facility. (October 25, 2013) |
10/28/2013 |
Certified |
11/13/2013 |
|
0 |
| SWAPX |
SwapEX LLC - Amendment to Application for Registration as a Swap Execution Facility, letter dated November 4, 2013. (amendments from its July 30, 2013 application) |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| SWAPX |
Updates to the SwapEx SEF Rulebook to align with relevant regulation. |
02/19/2020 |
Certified |
03/04/2020 |
|
2 |
| 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 |
Submission of SpectrAxe's Reverse Give Up Credit Program |
08/29/2024 |
Certified |
09/13/2024 |
|
3 |
| 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 |
| 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 |
| RTX |
RTX Fintech & Research LLC Amended Fee Schedule |
07/22/2024 |
Certified |
08/05/2024 |
|
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 |
Fee Schedule Amendment |
11/26/2024 |
Certified |
12/11/2024 |
|
1 |
| 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 |
| 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 |
