| 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 |
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 |
| TRAD |
Amendments to Tradition SEF Rulebook. |
08/31/2017 |
Certified |
09/15/2017 |
|
2 |
| 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 |
| 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 |
| 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 |
| RTX |
Self Certification of our Fee Schedule |
10/03/2023 |
Certified |
10/18/2023 |
|
2 |
| GFISEF |
GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) |
03/18/2014 |
Certified |
04/02/2014 |
|
0 |
| ICAPSEF |
Amended Rulebook |
10/10/2014 |
Certified |
10/27/2014 |
|
1 |
| TWSEF |
Market Regulation Advisory Notice: Trading and Execution Protocols |
04/06/2015 |
Certified |
04/20/2015 |
|
2 |
| BSEF |
Rulebook Amendment |
04/27/2017 |
Certified |
05/11/2017 |
|
1 |
| NEXSEF |
Rule change to reflect that interest rate swaps in SGD are now cleared. |
11/02/2018 |
Certified |
11/19/2018 |
|
3 |
| NEXSEF |
Conforming Amendments to NEX SEF Limited Form SEF to Reflect Revisions to the NEX SEF Board of Directors Composition |
12/14/2020 |
Certified |
12/29/2020 |
|
2 |
| SPECTR |
Submission of SpectrAxe's Reverse Give Up Credit Program |
08/29/2024 |
Certified |
09/13/2024 |
|
3 |
| SEED CX |
An updated rulebook, modified during usual review of rule consistencies and market structure. |
09/01/2017 |
Certified |
09/18/2017 |
|
3 |
| TRAD |
Updated SEF Fee Schedule amending Section D (Trade Processing Fees). |
05/12/2022 |
Certified |
05/26/2022 |
|
3 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook related to 37.6 amendments and other grammatical amendments |
05/24/2024 |
Certified |
06/10/2024 |
|
1 |
| TWSEF |
TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
| MKAXSEF |
Rulebook changes to reflect recent developments and to provide clarity. |
11/09/2016 |
Certified |
11/25/2016 |
|
4 |
| IGDL |
Amendment to IGDL's Rulebook. |
12/18/2017 |
Certified |
01/03/2018 |
|
1 |
| TRAD |
Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. |
06/30/2021 |
Certified |
07/15/2021 |
|
1 |
| BSEF |
Amendments to the Bloomberg SEF LLC Rulebook |
08/29/2024 |
Certified |
09/13/2024 |
|
1 |
| CBOESEF |
Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 |
06/09/2014 |
Certified |
06/24/2014 |
|
1 |
| DWSEF |
DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) |
12/22/2015 |
Certified |
01/07/2016 |
|
4 |
| TRAD |
Amendments to Tradition SEF Rulebook. |
11/28/2017 |
Certified |
12/12/2017 |
|
2 |
| DWSEF |
DW SEF LLC Amendment of Rule 901 (Swap Specifications) |
12/09/2021 |
Certified |
12/23/2021 |
|
3 |
| 360T |
360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) |
04/03/2014 |
Certified |
04/18/2014 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF LATAM EBS NDF Streaming Incentive Program |
02/11/2022 |
Certified |
02/28/2022 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for Various Administrative Amendments |
07/03/2024 |
Certified |
07/18/2024 |
|
2 |
| TPSEF |
This submission contains a selfcertification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit A. |
10/14/2014 |
Certified |
10/27/2014 |
|
2 |
| DWSEF |
DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) |
11/30/2015 |
Certified |
12/14/2015 |
|
4 |
| IGDL |
Amended Rulebook |
11/29/2017 |
Certified |
12/13/2017 |
|
1 |
| SEED CX |
Updating Various Rules in the Seed SEF Rulebook |
08/14/2019 |
Certified |
08/28/2019 |
|
1 |
| BSEF |
Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. |
09/13/2013 |
Certified |
09/28/2013 |
|
5 |
| GTX |
Fee schedule Amendment |
10/22/2015 |
Certified |
11/05/2015 |
|
1 |
| TWSEF |
TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) |
11/30/2015 |
Certified |
12/14/2015 |
|
4 |
