| GFISEF |
GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 |
07/01/2014 |
Certified |
07/17/2014 |
|
1 |
| CBOESEF |
Amendments to Rule 318 and addition of new definition for Market Maker Program. |
05/08/2015 |
Certified |
05/22/2015 |
|
1 |
| DWSEF |
DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
| CBOESEF |
Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. |
08/04/2020 |
Certified |
08/18/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-03) |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| SWAPX |
Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. |
06/16/2021 |
Certified |
07/01/2021 |
|
4 |
| TDERIV |
Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S |
06/30/2014 |
Certified |
07/16/2014 |
|
1 |
| TPSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended, and Section 40.6(a) of the regulations of the CFTC, tpSEF Inc. hereby notifies the CFTC that it wishes to amend its Rulebook and Risk Mitigation Procedures. |
04/29/2016 |
Certified |
05/13/2016 |
|
1 |
| BSEF |
Rulebook Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
| BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Rulebook |
07/25/2018 |
Certified |
08/08/2018 |
|
1 |
| CBOESEF |
Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. |
05/08/2020 |
Certified |
05/22/2020 |
|
1 |
| LGX |
LedgerX Amended Rulebook |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| LGX |
Operations manual update reflecting process changes related to ACH deposits. |
10/11/2022 |
Certified |
10/25/2022 |
|
3 |
| TRAD |
Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. |
03/23/2015 |
Certified |
04/06/2015 |
|
2 |
| MKAXSEF |
MarketAxess SEF Corporation has updated its Rulebook and Exhibit Q-2 to reflect recent developments and provide clarity. |
11/23/2015 |
Certified |
12/08/2015 |
|
6 |
| NEXSEF |
Amendment to Facility Rulebook |
05/31/2017 |
Certified |
06/14/2017 |
|
7 |
| LGX |
Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. |
10/19/2018 |
Certified |
11/02/2018 |
|
1 |
| TRAD |
Notice to Participants announcing revisions to Rulebook that update references to expired no action relief. |
12/03/2020 |
Certified |
12/17/2020 |
|
1 |
| TRAD |
Amendment to the Tradition SEF fee schedule. |
03/23/2015 |
Certified |
04/06/2015 |
|
2 |
| TRAD |
Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program |
06/12/2020 |
Certified |
06/26/2020 |
|
1 |
| SPECTR |
Amending Rulebook to add references to Spot Stops and Time Stops, add reference to APIs, add reference to NDOs, change user ID notification requirement, remove redundancies, fix grammar inconsistencies, and add clarifying language. |
06/17/2024 |
Certified |
07/02/2024 |
|
1 |
| TWSEF |
TW SEF Rulebook Amendments |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
| BSEF |
Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) |
06/28/2023 |
Certified |
07/13/2023 |
|
1 |
| DWSEF |
SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 |
05/22/2014 |
Certified |
06/07/2014 |
|
1 |
| TDERIV |
Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR |
06/30/2014 |
Certified |
07/16/2014 |
|
1 |
| DWSEF |
DW SEF Rulebook Amendments |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
| IGDL |
Amendments to Fee Card |
06/16/2015 |
Certified |
06/30/2015 |
|
1 |
| RF SEF |
Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. |
10/08/2015 |
Certified |
10/23/2015 |
|
2 |
| NEXSEF |
Revised Fee Program |
03/16/2018 |
Certified |
03/30/2018 |
|
2 |
| LGX |
LedgerX Unredacted Operations Manual |
03/12/2021 |
Certified |
03/26/2021 |
|
2 |
| IGDL |
Amendments to Fee Card |
03/24/2015 |
Certified |
04/07/2015 |
|
1 |
| LGX |
LedgerX Redacted Operations Manual |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| ISBV |
Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. |
06/29/2023 |
Certified |
07/14/2023 |
|
11 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
09/13/2024 |
Certified |
09/27/2024 |
|
1 |
| SWAPX |
SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) |
04/01/2014 |
Certified |
04/16/2014 |
|
1 |
| ICAPSEF |
ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 |
07/02/2014 |
Certified |
07/18/2014 |
|
1 |
| SWAPX |
Amendments and updates to various rules. |
12/14/2015 |
Certified |
12/29/2015 |
|
10 |
| CMSEF |
Rule Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Certification 2021-R-09 (Notice to Participants) |
11/24/2021 |
Certified |
12/09/2021 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 |
07/02/2014 |
Certified |
07/18/2014 |
|
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. |
11/24/2015 |
Certified |
12/09/2015 |
|
1 |
| TWSEF |
Amended TW SEF Fees Schedule |
06/02/2016 |
Certified |
06/16/2016 |
|
3 |
| BSEF |
Compliance Manual Amendment |
11/30/2016 |
Certified |
12/14/2016 |
|
4 |
| BSEF |
CFTC Regulation 40.6(a) Certification - Amendment to the Bloomberg SEF LLC Rulebook - BSEF Submission No. 2024-R-06 |
05/16/2024 |
Certified |
05/31/2024 |
|
1 |
| IGDL |
Revised Facility Rulebook |
03/24/2015 |
Certified |
04/07/2015 |
|
4 |
| TWSEF |
Market Regulation Advisory Notice to TW SEF Participants re straight through processing. |
06/02/2016 |
Certified |
06/16/2016 |
|
2 |
| LGX |
LedgerX Revised Participant Agreement |
03/12/2021 |
Certified |
03/26/2021 |
|
1 |
| SWAPX |
The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. |
01/28/2022 |
Certified |
02/11/2022 |
|
1 |
| BSEF |
Notice to Participants |
06/01/2017 |
Certified |
06/15/2017 |
|
1 |
| BSEF |
Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) |
07/26/2018 |
Certified |
08/09/2018 |
|
2 |
