| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(d) of the CFTC Regulations, tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B of the tpSEF Rulebook effective as of the date hereof. |
05/17/2016 |
Notified |
05/17/2016 |
|
1 |
| MKAXSEF |
MarketAxess SEF Update Rulebook to reflect recent developments and to provide clarity. (February 14, 2014) |
02/14/2014 |
Certified |
03/04/2014 |
|
1 |
| LGX |
Revised Enterprise Risk Management Plan |
05/31/2019 |
Certified |
06/14/2019 |
|
1 |
| RTX |
Fee Schedule Amendment |
11/26/2024 |
Certified |
12/11/2024 |
|
1 |
| INFXSEF |
INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. |
10/25/2013 |
Certified |
11/09/2013 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. |
09/21/2016 |
Certified |
10/05/2016 |
|
1 |
| 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 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
12/18/2020 |
Notified |
12/18/2020 |
|
1 |
| INFXSEF |
INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) |
12/17/2013 |
Certified |
01/03/2014 |
|
1 |
| ICAPSEF |
Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. |
01/30/2015 |
Certified |
02/13/2015 |
|
3 |
| GFISEF |
Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions |
01/04/2016 |
Certified |
01/19/2016 |
|
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. The amended Rulebook will become effective on April 12, 2016. |
03/28/2016 |
Certified |
04/11/2016 |
|
1 |
| ICAPSEF |
Amended Form SEF pursuant to Regulation 37.3(b)(3) |
08/11/2016 |
Certified |
08/25/2016 |
|
5 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook. |
09/21/2016 |
Certified |
10/05/2016 |
|
4 |
| BSEF |
Bloomberg SEF LLC Compliance Manual |
05/02/2019 |
Certified |
05/16/2019 |
|
2 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
12/18/2020 |
Certified |
01/05/2021 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program |
03/14/2023 |
Certified |
03/28/2023 |
|
2 |
| RTX |
Revision of SEF Compliance Manual |
03/07/2024 |
Certified |
03/21/2024 |
|
3 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
04/24/2024 |
Certified |
05/08/2024 |
|
1 |
| GFISEF |
Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 |
12/17/2013 |
Certified |
01/03/2014 |
|
2 |
| IGDL |
Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. |
01/30/2015 |
Certified |
02/13/2015 |
|
3 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook |
12/01/2017 |
Certified |
12/15/2017 |
|
2 |
| BSEF |
Bloomberg SEF LLC Rulebook |
05/02/2019 |
Certified |
05/16/2019 |
|
1 |
| GFISEF |
GFI Swaps is publishing certain revisions to its fee schedule. GFISEF #14-0010 |
05/06/2014 |
Certified |
05/21/2014 |
|
1 |
| BGC |
We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed rule amendments. |
01/05/2016 |
Certified |
01/20/2016 |
|
1 |
| TDERIV |
Expansion of trading hours for IRS products |
02/16/2018 |
Notified |
02/16/2018 |
|
1 |
| TPSEF |
Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. |
02/11/2021 |
Notified |
02/11/2021 |
|
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 |
| RF SEF |
Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 |
11/22/2013 |
Certified |
12/10/2013 |
|
1 |
| RADSEF |
TeraExchange response to Staff's supplemental 43 and 45 reporting questions. |
12/19/2014 |
Certified |
01/06/2015 |
|
1 |
| ICAPSEF |
Amendment to reflect NAL 16-58 |
06/28/2016 |
Certified |
07/13/2016 |
|
3 |
| TPSEF |
Rulebook amendment |
12/04/2017 |
Certified |
12/18/2017 |
|
1 |
| TDERIV |
Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 |
12/31/2017 |
Certified |
01/16/2018 |
|
1 |
| IGDL |
Non-substantive revisions to the IGDL Rulebook effective February 12, 2021. |
02/11/2021 |
Notified |
02/11/2021 |
|
1 |
| LGX |
Rulebook updates |
04/08/2022 |
Certified |
04/22/2022 |
|
2 |
| ICE SEF |
ICE Swap Trade - Rule Amendment - Amended Rulebook - Submission 14-10 March 25, 2014 |
03/25/2014 |
Certified |
04/09/2014 |
|
1 |
| IGDL |
Amendment to reflect NAL 16-58 |
06/28/2016 |
Certified |
07/13/2016 |
|
3 |
| ICE SEF |
Part 40 Rule Amendment - Amended Fee Schedule |
05/09/2017 |
Certified |
05/23/2017 |
|
3 |
| LGX |
A routine update to reflect details of intermediated trading on LedgerX's exchange. |
12/04/2017 |
Certified |
12/18/2017 |
|
1 |
| GTX |
Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. |
02/16/2018 |
Certified |
03/05/2018 |
|
1 |
| TRAD |
Amendments to Tradition SEF Rulebook |
06/03/2015 |
Certified |
06/17/2015 |
|
2 |
| CMESEF |
Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 |
09/22/2015 |
Certified |
10/06/2015 |
|
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 and Risk Mitigation Procedures. |
10/30/2015 |
Certified |
11/16/2015 |
|
1 |
| NEXSEF |
Amendments to Rules 802(1) ("Fixed for Floating IRS") and 802(4) ("Non Deliverable Swaps") in Connection with the Implementation of the 2021 IDSA Interest Rate Derivatives Definitions. |
09/17/2021 |
Certified |
10/01/2021 |
|
1 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
02/25/2022 |
Notified |
02/25/2022 |
|
1 |
| RF SEF |
Thomas Reuters (SEF) amending its rulebook in response to comments and questions regarding TR SEF. Submission 13-03 |
10/17/2013 |
Certified |
11/01/2013 |
|
2 |
| IGDL |
Amendment to Confidential Rule 902. |
09/23/2015 |
Certified |
10/07/2015 |
|
2 |
| 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. |
12/01/2015 |
Certified |
12/15/2015 |
|
1 |
| TPSEF |
Updates to the tpSEF Inc. Risk Mitigation Procedures |
12/17/2020 |
Certified |
01/04/2021 |
|
1 |
| RF SEF |
The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) |
02/12/2021 |
Certified |
03/01/2021 |
|
2 |
