| BSEF |
Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) |
05/12/2023 |
Certified |
05/26/2023 |
|
1 |
| TRAD |
Modifications to Rules 101, 102, 209, 304, 308, 309, 311, 403, 404, 405, 409, 412, 503, 509, 510, 511, 512, 529, 706, and 902 within Tradition SEF's Rulebook, as well as other non-substantive revisions. |
08/09/2024 |
Certified |
08/23/2024 |
|
3 |
| GFISEF |
Various Rulebook Amendments |
08/14/2015 |
Certified |
08/28/2015 |
|
2 |
| BSEF |
Rulebook Amendment |
10/21/2016 |
Certified |
11/04/2016 |
|
1 |
| CMESEF |
Amendments to Chapter 4 ("Enforcement of Rules") |
11/29/2016 |
Certified |
12/13/2016 |
|
5 |
| GFISEF |
Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. |
01/09/2017 |
Certified |
01/24/2017 |
|
1 |
| TPSEF |
Rulebook amendment |
10/11/2017 |
Certified |
10/25/2017 |
|
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. |
11/20/2015 |
Certified |
12/07/2015 |
|
1 |
| TWSEF |
TW SEF Fee Schedule Update |
10/11/2022 |
Certified |
10/25/2022 |
|
2 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook Submission #14-01 |
01/13/2014 |
Certified |
01/29/2014 |
|
1 |
| CBOESEF |
The Amendment clarifies the recordkeeping requirements of Participants. |
07/08/2022 |
Certified |
07/22/2022 |
|
1 |
| BGC |
Rule amendments |
01/14/2015 |
Certified |
01/29/2015 |
|
1 |
| ISBV |
Updated Fee Structure and Incentives to reflect volatile markets. No substantive changes to the quantum of fees or incentives. In addition some conformance changes |
07/08/2022 |
Certified |
07/22/2022 |
|
4 |
| TPSEF |
tpSEF - Amendments to Rulebook (dated January 10, 2014) |
01/13/2014 |
Certified |
01/29/2014 |
|
0 |
| MKAXSEF |
MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. |
08/25/2014 |
Certified |
09/09/2014 |
|
4 |
| CBOESEF |
Amendments to Rule 318 and addition of new definition for Market Maker Program |
05/08/2015 |
Certified |
05/22/2015 |
|
1 |
| TWSEF |
TW SEF Cover Letter re Fees (11.23.15)TW SEF FOIA Request with Justification (11.23.15)App. A1 - TW SEF Exhibit K (Fees) (Clean 11.23.15)App. A2 - TW SEF Exhibit K (Fees) (Marked 11.23.15)App. A3 - TW SEF Fees Schedules |
11/23/2015 |
Certified |
12/08/2015 |
|
1 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached filing. |
07/22/2016 |
Certified |
08/05/2016 |
|
1 |
| DWSEF |
DW SEF Amended IRS Fee Schedule |
10/24/2016 |
Certified |
11/07/2016 |
|
1 |
| 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 |
