DWSEF |
Amended DW SEF Rulebook |
09/12/2016 |
Certified |
09/26/2016 |
|
4 |
CBOESEF |
Bats Hotspot SEF has revised its rulebook in order to remove interest rate swaps, add non-deliverable forwards and reflect changes to governance and disciplinary processes resulting from ownership changes. |
04/21/2017 |
Certified |
05/05/2017 |
|
2 |
ICE SEF |
Rulebook amendments to reflect upcoming changes by the index provider for Singapore Gasoil (0.05% sulfur Gasoil grade). |
07/14/2017 |
Notified |
07/14/2017 |
|
3 |
NEXSEF |
Weekly Submission of Rule Amendments |
02/02/2018 |
Notified |
02/02/2018 |
|
2 |
TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/19/2021 |
Notified |
03/19/2021 |
|
1 |
LGX |
Self-certification of revisions to LLC Operating Agreement |
07/07/2023 |
Certified |
07/21/2023 |
|
1 |
BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. |
09/28/2023 |
Certified |
10/13/2023 |
|
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 |
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 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
09/11/2015 |
Certified |
09/25/2015 |
|
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 (the "Commission"), Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has amended itsRulebook. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
TWSEF |
Amended Fees Schedules |
09/12/2016 |
Certified |
09/26/2016 |
|
3 |
NEXSEF |
Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider |
08/17/2020 |
Certified |
08/31/2020 |
|
4 |
GFISEF |
Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
IGDL |
Regulation 40.6(a) Rule Certification of Managed Order Rule |
08/20/2015 |
Withdrawn |
08/21/2015 |
|
3 |
TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF Inc. hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. |
06/13/2016 |
Certified |
06/27/2016 |
|
1 |
BSEF |
Pursuant to Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants. |
08/04/2016 |
Certified |
08/18/2016 |
|
2 |
BSEF |
Rulebook amendment |
04/21/2017 |
Certified |
05/05/2017 |
|
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 |
MKAXSEF |
Amended MarketAxess application for registration as a SEF. (October 17, 2013) |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
TWSEF |
TW SEF LLC - Rule Amendments - Amended SEF Rulebook Effective June 9, 2014 |
05/22/2014 |
Certified |
06/07/2014 |
|
1 |
SWAPX |
Advisory Notices to SwapEx Market Participants |
01/20/2015 |
Certified |
02/03/2015 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. |
05/18/2015 |
Certified |
06/02/2015 |
|
2 |
IGDL |
Regulation 40.6(a) Rule Certification of Managed Order Rule |
08/20/2015 |
Certified |
09/03/2015 |
|
3 |
CBOESEF |
Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. |
09/17/2018 |
Certified |
10/01/2018 |
|
1 |
CMSEF |
Rule Certification |
11/06/2020 |
Certified |
11/23/2020 |
|
2 |
MKAXSEF |
Updating the Rulebook to reflect recent developments and to provide clarity. (10-17-13) |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
ICE SEF |
ICE Swap Trade LLC - Fee Schedule Amendment - Submission 14-16 |
06/04/2014 |
Certified |
06/19/2014 |
|
1 |
TPSEF |
Regulation 40.6 certification of tpSEF's procedures for risk mitigation sessions. |
01/20/2015 |
Certified |
02/03/2015 |
|
1 |
IGDL |
Revised Discount Structure Appendix |
03/17/2016 |
Certified |
03/31/2016 |
|
2 |
BSEF |
Compliance Manual amendment |
04/21/2017 |
Certified |
05/05/2017 |
|
1 |
LATAM |
Mexican TIIE Fixed/Floating Interest Rate Swap, Mexican TIIE/U.S. Dollar 1-Month Libor Cross-Currency Basis Swap, Mexican UDI/TIIE Interest Rate Swap, Mexican UDI/U.S. Dollar 6-Month Libor Cross-Currency Basis Swap, Peruvian PEN/TIS Interest Rate Swap, Me |
07/17/2017 |
Certified |
07/31/2017 |
|
1 |
LGX |
Amended Operations Manual |
10/18/2017 |
Certified |
11/01/2017 |
|
4 |
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 |
TWSEF |
TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
TPSEF |
tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) |
02/21/2014 |
Certified |
07/29/2014 |
|
1 |
TRAD |
Tradition SEF, Inc. - Amendments to Trad-X Platform Supplement - TRAD #14-17 |
06/05/2014 |
Certified |
06/20/2014 |
|
1 |
TPSEF |
This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. |
07/02/2015 |
Certified |
07/17/2015 |
|
1 |
LGX |
Submission of revised fee schedule. |
03/27/2018 |
Certified |
04/10/2018 |
|
1 |
BSEF |
Addendum to BSEF-NFA Regulatory Services Agreement |
09/22/2020 |
Certified |
10/06/2020 |
|
2 |
CBOESEF |
Amendment to Exhibit A to Form SEF |
10/18/2022 |
Certified |
11/01/2022 |
|
1 |
NEXSEF |
Amendments to NEX SEF Rule 901 ("System Protocols") of the NEX SEF Rulebook (Form SEF Exhibit M) and the Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2023-01 |
08/15/2023 |
Certified |
08/29/2023 |
|
2 |
DWSEF |
DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
INFXSEF |
Rulebook amendments to incorporate non-material changes requested by Commission Staff. Amendments will become effective on November 25, 2013. |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
TDERIV |
This is an EMERGENY RULE CERTIFICATION to incorporate the reference to CFTC no-action letter 16-58 and the new expiration date, and to remove reference to CFTC no-action letter 15-24 and its June 15, 2016 expiration. |
06/14/2016 |
Certified |
06/27/2016 |
|
1 |
360T |
Revision of Rulebook and User Guides. |
09/13/2016 |
Certified |
09/27/2016 |
|
7 |
INFXSEF |
Amendments to Rulebook clarify the process of submitting an RFQ onto the INFX SEF RFQ Platform. (10-22-13) |
10/22/2013 |
Certified |
11/06/2013 |
|
1 |
GFISEF |
Various Rulebook Amendments |
02/25/2015 |
Certified |
03/11/2015 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook. |
04/02/2015 |
Certified |
04/16/2015 |
|
4 |
360T |
rule changes and additions |
05/21/2015 |
Certified |
06/04/2015 |
|
3 |