| 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 |
| GFISEF |
Various Rulebook amendments |
12/23/2014 |
Withdrawn |
01/05/2015 |
|
1 |
| BGC |
The attached amendments are made in response to suggestions and guidance from staff. |
08/31/2015 |
Certified |
09/15/2015 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
08/18/2016 |
Certified |
09/01/2016 |
|
2 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
09/01/2021 |
Certified |
09/16/2021 |
|
2 |
| DWSEF |
Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| MKAXSEF |
MarketAxess SEF Corporation - Amended Request for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 |
11/05/2013 |
Certified |
11/21/2013 |
|
0 |
| ICE SEF |
Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 |
11/25/2013 |
Certified |
12/11/2013 |
|
0 |
| TDERIV |
trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker |
07/25/2023 |
Certified |
08/08/2023 |
|
1 |
| TWSEF |
Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TPSEF |
tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. |
11/06/2013 |
Certified |
11/22/2013 |
|
0 |
| TDERIV |
Self-certification of rule amendments |
08/07/2014 |
Certified |
08/21/2014 |
|
4 |
| GFISEF |
Holiday Closures |
12/23/2014 |
Certified |
01/08/2015 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| TDERIV |
Changes to Trading Hours on the SEF Trading System. PTC system closes at 5 pm Eastern time effective May 1, 2019. |
05/10/2019 |
Notified |
05/10/2019 |
|
1 |
| SWAPX |
Updates to the SwapEx SEF Rulebook to align with relevant regulation. |
02/19/2020 |
Certified |
03/04/2020 |
|
2 |
| CBOESEF |
Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. |
07/13/2020 |
Certified |
07/27/2020 |
|
1 |
| TRAD |
Notification of Amendments to Tradition SEF, Inc. Rulebook |
10/16/2020 |
Certified |
10/30/2020 |
|
5 |
| TWSEF |
Emergency Rule Certification- provided by CFTC Letter No. 13-58 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| TDERIV |
Policies and Procedures regarding Post-Trade Allocation of Bunched Orders. TRUSEF #2013-18 |
12/20/2013 |
Certified |
01/08/2014 |
|
1 |
| CMSEF |
SEF Rulebook Amendment Certification |
07/20/2015 |
Withdrawn |
07/28/2015 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
03/27/2017 |
Certified |
04/10/2017 |
|
1 |
| NEXSEF |
Amendments to Quote Fill Ratios for Certain Currency Pairs and Issuance of NEX SEF Market Regulation Advisory Notice 2021-03 |
06/01/2021 |
Certified |
06/15/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual |
01/05/2022 |
Certified |
01/20/2022 |
|
1 |
| CBOESEF |
The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. |
03/22/2023 |
Certified |
04/05/2023 |
|
2 |
| TWSEF |
Emergency Rule Certification - no-action relief in CFTC Letter 13-57 |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| GFISEF |
GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| GFISEF |
GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M |
06/18/2014 |
Certified |
07/03/2014 |
|
1 |
| BSEF |
Rulebook amendment |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| TRAD |
Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. |
05/31/2018 |
Certified |
06/14/2018 |
|
3 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
10/16/2020 |
Certified |
10/30/2020 |
|
2 |
| DWSEF |
DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has |
11/03/2015 |
Certified |
11/18/2015 |
|
1 |
| CMESEF |
Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) |
12/03/2015 |
Certified |
12/17/2015 |
|
1 |
| BSEF |
Compliance Manual amendment |
12/07/2017 |
Certified |
12/21/2017 |
|
2 |
| CMESEF |
Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. |
07/11/2018 |
Certified |
07/25/2018 |
|
1 |
| NEXSEF |
Form SEF Exhibit updates related to NEX SEF integration with CME, as well as miscellaneous changes. |
09/09/2020 |
Certified |
09/23/2020 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF African & Middle East NDFs Market Maker Program |
10/16/2020 |
Certified |
10/30/2020 |
|
2 |
| TWSEF |
Fee Updates |
06/02/2021 |
Certified |
06/16/2021 |
|
2 |
| TWSEF |
TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 |
11/01/2013 |
Certified |
11/19/2013 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Compliance Manual 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. |
02/23/2016 |
Certified |
03/08/2016 |
|
5 |
| NEXSEF |
Amended Fee Program |
08/08/2017 |
Certified |
08/22/2017 |
|
2 |
| BSEF |
Notice to Participants |
12/07/2017 |
Certified |
12/21/2017 |
|
1 |
| DWSEF |
Fee Updates |
06/02/2021 |
Certified |
06/16/2021 |
|
2 |
| AEGIS |
The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. |
09/22/2022 |
Certified |
10/06/2022 |
|
2 |
| GFISEF |
Rulebook Amendments - GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| 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 |
| CMSEF |
SEF Rule Amendment |
08/19/2016 |
Certified |
09/02/2016 |
|
1 |
| TDERIV |
notification of non-substantive amendments. |
06/18/2017 |
Notified |
06/18/2017 |
|
1 |
