| SWAPX |
Rule Amendment to Refer to Recent No-Action Letter |
06/02/2017 |
Certified |
06/16/2017 |
|
4 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Initial Administrator(s) Authorization Form (BSEF-2021-R-04) |
03/15/2021 |
Certified |
03/29/2021 |
|
2 |
| CBOESEF |
Clarifying definition of API and new definition of Participant API. Clarifying that prior to commencing trading activity on the SEF, each Authorized Trader must register an order entry operator ID (OEOID) with the SEF. |
09/13/2024 |
Certified |
09/27/2024 |
|
1 |
| NEXSEF |
Revisions to the rulebook of NEX SEF Limited. |
10/13/2017 |
Certified |
10/27/2017 |
|
3 |
| NEXSEF |
Rulebook updated to reflect certain new trading hours and updated product information |
01/17/2019 |
Certified |
02/01/2019 |
|
3 |
| NEXSEF |
Amendment to Market Regulation Advisory Notice 2018-04 |
02/15/2019 |
Certified |
03/04/2019 |
|
2 |
| GFISEF |
Addition of Addendum A to Fee Schedule |
05/13/2015 |
Certified |
05/28/2015 |
|
2 |
| MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. |
12/14/2015 |
Certified |
12/29/2015 |
|
4 |
| CMESEF |
Weekly Notification of Rule Amendments - Week of December 4, 2017 |
12/14/2017 |
Notified |
12/14/2017 |
|
2 |
| NEXSEF |
Revised Fee Program |
06/18/2018 |
Certified |
07/02/2018 |
|
4 |
| NEXSEF |
Updated Fee Program |
01/17/2019 |
Certified |
02/01/2019 |
|
2 |
| LGX |
Revised Enterprise Risk Management Plan |
06/18/2019 |
Certified |
07/02/2019 |
|
3 |
| RADSEF |
Inclusion of Product Terms and Conditions |
12/21/2022 |
Certified |
01/06/2023 |
|
4 |
| RF SEF |
Thomas Reuters - Amendments to Rulebook - Submission #14-03 |
07/08/2014 |
Certified |
07/23/2014 |
|
1 |
| NEXSEF |
Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 |
02/15/2019 |
Notified |
02/15/2019 |
|
3 |
| 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 |
| TRAD |
CFTC Submission 2024-01; Amendment regarding intended to be cleared swaps and uncleared swaps confirmations and other amendments to reflect expiration of No-Action Letter 17-17. We will not be relying on No Action Letter 17-17 after May 31, 2024. |
05/20/2024 |
Certified |
06/04/2024 |
|
6 |
| ICE SEF |
ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. |
03/24/2015 |
Certified |
04/07/2015 |
|
2 |
| ICAPSEF |
Amended fee card and discount program documents. |
04/12/2017 |
Certified |
04/26/2017 |
|
2 |
| GTX |
Fee Schedule |
08/24/2017 |
Certified |
09/08/2017 |
|
1 |
| NEXSEF |
Amendment to Rule 802(1) IRS Specifications |
05/07/2018 |
Certified |
05/21/2018 |
|
3 |
| BSEF |
Rulebook Amendment |
08/02/2019 |
Certified |
08/16/2019 |
|
1 |
| CBOESEF |
Cboe SEF is adding a new rule to govern its full amount platform. |
03/13/2020 |
Certified |
03/27/2020 |
|
1 |
| CBOESEF |
Amendments to Rules 515 and 606 to conform those rules with NAL 14-118, Expiring December 15, 2015. |
09/30/2014 |
Certified |
10/15/2014 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation has updated its Rulebook to specify the methods of execution available for packages trades. |
02/17/2015 |
Certified |
03/03/2015 |
|
4 |
| CMSEF |
Amendment to Rule 406 |
09/07/2016 |
Certified |
09/21/2016 |
|
2 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. |
10/27/2016 |
Certified |
11/10/2016 |
|
1 |
| TRAD |
Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. |
06/18/2018 |
Certified |
07/02/2018 |
|
3 |
| TRAD |
Implementation of a Trad-X USD IRS Liquidity Provider Program (the "LPP"). |
08/02/2019 |
Certified |
08/16/2019 |
|
4 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. |
08/29/2014 |
Certified |
09/15/2014 |
|
2 |
| ICE SEF |
ICE Swap Trade, LLC's weekly notification of rule changes. |
02/18/2015 |
Notified |
02/18/2015 |
|
4 |
| CBOESEF |
Bats Hotspot SEF is amending its rulebook to (a) more closely align its disciplinary procedures with those of its affiliate, CBOE Futures Exchange LLC, and (b) make certain other changes relating to the trading of non-deliverable forwards. |
08/25/2017 |
Certified |
09/11/2017 |
|
3 |
| CBOESEF |
Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. |
05/07/2018 |
Certified |
05/21/2018 |
|
1 |
| CBOESEF |
Amendments to Rules 523, 706, 720, 807, 904, 905 and various definitions to correct typographical errors and clarify definitions. |
09/30/2014 |
Certified |
10/15/2014 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(d) of the CFTC's regulations, tpSEF Inc. hereby notifies the CFTC that it has amended Appendix B of the tpSEF Inc. Rulebook effective as of May 3, 2016. |
05/04/2016 |
Notified |
05/04/2016 |
|
1 |
| GTX |
Rulebook Amendments |
07/11/2017 |
Certified |
07/25/2017 |
|
1 |
| NEXSEF |
Revised Fee Program to include new market maker program for certain Non Deliverable Forwards |
09/17/2019 |
Certified |
10/01/2019 |
|
2 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
08/15/2024 |
Certified |
08/29/2024 |
|
1 |
| TPSEF |
Amendments to the tpSEF Fee Schedule |
02/22/2023 |
Certified |
03/08/2023 |
|
2 |
| AEGIS |
Rule Amendment - 4.10.2 - Removes No Action Letter language which is no longer needed per adoption by CFTC of amended rule 37.6 |
05/20/2024 |
Notified |
05/20/2024 |
|
3 |
| CBOESEF |
Rule amendments regarding trading protocols and scope of disciplinary proceedings |
01/15/2015 |
Certified |
01/30/2015 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Trading Hours. |
02/18/2015 |
Certified |
03/04/2015 |
|
3 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
03/25/2015 |
Certified |
04/08/2015 |
|
2 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook. |
05/13/2015 |
Certified |
05/28/2015 |
|
1 |
| NEXSEF |
Amendments to the NEX SEF Limited Governance Policy and Compliance Manual |
08/06/2021 |
Certified |
08/20/2021 |
|
2 |
| 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 |
| CBOESEF |
Rule filing to (a) change the name of Bats Hotspot SEF LLC to Cboe SEF, LLC, and (b) make certain other changes as more fully set forth in the submission. |
10/17/2017 |
Certified |
10/30/2017 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
05/07/2021 |
Notified |
05/07/2021 |
|
1 |
| CMSEF |
Rulebook Amendments |
06/21/2021 |
Certified |
07/06/2021 |
|
1 |
| AEGIS |
Rule 4.4 - Clean up of description of `electronic messaging capability' Rule 4.15.2 - Remove reference to 'electronic communications capability'Rule 9.8 - Correction of rule reference |
11/19/2024 |
Notified |
11/19/2024 |
|
3 |
