BSEF |
Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) |
05/21/2020 |
Certified |
06/05/2020 |
|
1 |
RF SEF |
This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF |
11/20/2023 |
Notified |
11/20/2023 |
|
3 |
SPECTR |
Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program |
01/05/2024 |
Certified |
01/22/2024 |
|
4 |
MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) |
12/12/2013 |
Certified |
12/28/2013 |
|
1 |
ICAPSEF |
ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. |
04/03/2014 |
Certified |
04/18/2014 |
|
1 |
NEXSEF |
Revised Fee Schedule, market maker program and discount program |
06/12/2017 |
Certified |
06/26/2017 |
|
4 |
DWSEF |
DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice |
03/20/2020 |
Certified |
04/03/2020 |
|
2 |
NEXSEF |
Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) |
05/21/2020 |
Certified |
06/05/2020 |
|
3 |
LGX |
Revised Operations Manual |
10/23/2021 |
Certified |
11/05/2021 |
|
3 |
ICAPSEF |
Amendment to SEF Registration (9-27-13) |
09/27/2013 |
Certified |
07/29/2014 |
|
1 |
BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF - effective June 21, 2014 BSEF 2014-R-3 |
06/06/2014 |
Certified |
06/21/2014 |
|
1 |
TDERIV |
self certification of fees for the SEF Trading System |
11/06/2016 |
Certified |
11/21/2016 |
|
1 |
TRAD |
Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement |
03/29/2018 |
Certified |
04/12/2018 |
|
3 |
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 |
LGX |
LedgerX Updated Rulebook |
01/31/2021 |
Certified |
02/12/2021 |
|
1 |
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 |
CBOESEF |
Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 |
04/04/2014 |
Certified |
04/19/2014 |
|
1 |
GFISEF |
GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M |
06/09/2014 |
Certified |
06/24/2014 |
|
1 |
360T |
Revision of Rulebook and User Guides |
11/26/2015 |
Certified |
12/09/2015 |
|
14 |
BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
RADSEF |
Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters |
03/30/2018 |
Certified |
04/13/2018 |
|
3 |
LGX |
LedgerX Participant Incentive Program |
03/20/2020 |
Certified |
04/03/2020 |
|
3 |
BSEF |
Amended governance documentation (Operating Agreement and Information About Board of Directors) |
05/22/2020 |
Certified |
06/05/2020 |
|
1 |
IGDL |
Amendments to IGDL rulebook and compliance manual. |
12/07/2021 |
Certified |
12/21/2021 |
|
2 |
DWSEF |
DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) |
12/21/2015 |
Certified |
01/06/2016 |
|
1 |
BSEF |
Emergency Rule Certification |
12/09/2016 |
Certified |
12/23/2016 |
|
1 |
TPSEF |
Updates to Appendix B to the tpSEF Rulebook - Swap Specifications |
12/15/2017 |
Notified |
12/15/2017 |
|
1 |
NEXSEF |
Update to Effective Date of MRAN 2019-01 |
03/04/2019 |
Notified |
03/04/2019 |
|
2 |
TPSEF |
Amendments to tpSEF rulebook and compliance manual. |
12/07/2021 |
Certified |
12/21/2021 |
|
2 |
DWSEF |
Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
TDERIV |
Notification of SEF pricing structure effective 11/3/15 |
10/20/2015 |
Certified |
11/03/2015 |
|
1 |
NEXSEF |
Market Regulation Advisory Notices and Rulebook Amendment |
12/15/2017 |
Certified |
01/02/2018 |
|
4 |
BSEF |
Amended Compliance Manual |
04/02/2018 |
Certified |
04/16/2018 |
|
2 |
RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
08/10/2018 |
Certified |
08/24/2018 |
|
2 |
TWSEF |
TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
IGDL |
Weekly Notification of Rule Amendments pursuant to CFTC Regulation 40.6(d)(x); reduction in minimum price fluctuation for certain contracts. |
04/06/2015 |
Notified |
04/06/2015 |
|
2 |
TRAD |
Amendments to Tradition SEF Rulebook. |
08/31/2017 |
Certified |
09/15/2017 |
|
2 |
TPSEF |
Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of February 28, 2019. |
03/04/2019 |
Notified |
03/04/2019 |
|
1 |
ICE SEF |
ICE Swap Trade, LLC is revising its Trade Error Policy. |
07/21/2014 |
Certified |
08/04/2014 |
|
4 |
BGC |
Amendment to the Volume Match and Volume Match prices rules. |
05/27/2015 |
Certified |
06/10/2015 |
|
1 |
TRAD |
Amendments to the StreamGlobal Platform Supplement. |
08/31/2017 |
Certified |
09/15/2017 |
|
2 |
IGDL |
Notification of certain non-substantive revisions to the ICAP Global Derivatives Limited Rulebook effective as of March 1, 2019. |
03/04/2019 |
Notified |
03/04/2019 |
|
1 |
DWSEF |
Rule book amendments in response to recent changes to the SEF rules by the CFTC |
02/02/2021 |
Certified |
02/17/2021 |
|
3 |
BGC |
Technical corrections and amendments to rules. |
05/27/2015 |
Certified |
06/10/2015 |
|
1 |
TWSEF |
TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. |
12/10/2018 |
Notified |
12/10/2018 |
|
2 |
TDERIV |
Notice of change to execution fees charged to respondents trading on the trueEX Trading System. |
03/04/2019 |
Certified |
03/18/2019 |
|
3 |
TWSEF |
Rule book amendments in response to recent changes to the SEF rules by the CFTC |
02/02/2021 |
Certified |
02/17/2021 |
|
3 |
BSEF |
CFTC Regulation 40.6(a) Certification: Amendment to the Bloomberg SEF LLC Rulebook |
05/23/2024 |
Certified |
06/07/2024 |
|
1 |
CBOESEF |
Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. |
07/21/2014 |
Certified |
08/04/2014 |
|
3 |
TRAD |
Amendments to Tradition SEF Rulebook |
07/09/2015 |
Certified |
07/23/2015 |
|
2 |