| 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 |
| 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 |
| ISBV |
Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated |
04/29/2024 |
Certified |
05/13/2024 |
|
4 |
| RF SEF |
Amendments to its application for TR SEF and request for Confidential Treatment. October 18, 2013 |
10/21/2013 |
Certified |
11/05/2013 |
|
0 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. |
07/17/2015 |
Certified |
07/31/2015 |
|
4 |
| 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 Fee Schedule. |
12/01/2015 |
Certified |
12/15/2015 |
|
2 |
| GFISEF |
GFI Swaps Exchange LLC Submission #13-0011 (Letter dated December 18, 2013) Amendments to GFI Rules 101, 528, 529, 533, 903, and 914 |
12/19/2013 |
Certified |
01/07/2014 |
|
1 |
| DWSEF |
DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) |
01/07/2016 |
Certified |
01/22/2016 |
|
2 |
| TPSEF |
tpSEF Inc. - Rulebook Amendments - Effective May 23, 2014 TPSEF #14-01R |
05/12/2014 |
Certified |
05/27/2014 |
|
1 |
| RF SEF |
Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. |
06/08/2023 |
Certified |
06/23/2023 |
|
2 |
| RF SEF |
The rule amendments have been made to introduce voluntary clearing of NDFs. |
03/11/2024 |
Certified |
03/25/2024 |
|
2 |
| ISBV |
Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct\r\n24). Page 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. |
07/17/2024 |
Certified |
07/31/2024 |
|
3 |
| SEED CX |
Certification of new Rule 203 to establish procedures for adding Directors to the Board. |
09/21/2016 |
Certified |
10/05/2016 |
|
1 |
| TWSEF |
The Rulebook has been amended in order to implement certain requirements with respect to error trades related to CFTC No-Action Letter 20-01. |
04/09/2020 |
Certified |
04/23/2020 |
|
2 |
| BSEF |
Amending Bloomberg SEF Rulebook. - Rule 533. Cleared Swaps |
10/17/2013 |
Certified |
11/01/2013 |
|
0 |
| GFISEF |
GFI Swaps Exchange LLC Submission #13-0012 |
12/19/2013 |
Certified |
01/07/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants attached as Exhibit A to this certification on November 14, 2014. |
10/29/2014 |
Certified |
11/13/2014 |
|
1 |
| LATAM |
CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook |
09/22/2016 |
Certified |
10/06/2016 |
|
1 |
| RADSEF |
Correct reference or clarify Rules 536 and 537Add product terms and conditions |
10/29/2021 |
Certified |
11/15/2021 |
|
4 |
| LATAM |
Update to LatAM SEF Rule Book Version 1.5 |
09/22/2016 |
Certified |
10/06/2016 |
|
2 |
| ICAPSEF |
Revised exhibit to Rule 901 |
11/15/2016 |
Certified |
11/30/2016 |
|
2 |
| IGDL |
Changes to SEF's rulebook |
02/08/2017 |
Certified |
02/23/2017 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to error trades under Commission Regulation 37.9(e) |
02/17/2021 |
Certified |
03/03/2021 |
|
2 |
| GFISEF |
Please find attached changes to certain rules to align more closely with the language of the Commission Rules and also amendments made in response to guidance of Commission staff. |
02/28/2022 |
Certified |
03/14/2022 |
|
1 |
| RF SEF |
Pursuant to the instructions in Form SEF regarding amendments to exhibits filed in connection with and approved order of registration, Refinitiv US SEF LLC ("RSEF") hereby submits an amended Exhibit B-1 to its SEF application |
04/11/2022 |
Certified |
04/25/2022 |
|
1 |
| TRAD |
Emergency Rule Certification - amended to comply with the conditions for the time-limited no-action relief provided in CFTC Letter No. 13-58 TRAD #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| BSEF |
Rulebook Amendments - Amending the October 17 Rulebook Certification to respond to comments from Commission staff. (2013R-6 10/29/13) |
10/29/2013 |
Certified |
11/14/2013 |
|
1 |
| IGDL |
Revised Fee Card and Discount Program |
02/16/2016 |
Certified |
03/01/2016 |
|
2 |
| NEXSEF |
Updates to rulebook that specify Pre-Arranged Crosses may only be intermediated by bulk risk mitigation services. Update to table of contents. |
02/13/2020 |
Certified |
02/28/2020 |
|
3 |
| TRAD |
Representation in Connection with Notice of Intent to Rely on Time-Limited No-Action Relief provided by CFTC Letter No. 13-62 from requirement to comply with Commission Regulation 37.702(b) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| TDERIV |
LCH trueEX Execution Venue Agreement |
10/30/2013 |
Certified |
11/15/2013 |
|
0 |
| TDERIV |
Self-certification of rule amendments |
10/30/2014 |
Certified |
11/14/2014 |
|
1 |
| NEXSEF |
Amended Rulebook |
08/27/2018 |
Certified |
09/11/2018 |
|
3 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-04) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| BGC |
Amending the rulebook to include additional clearing organizations. |
03/31/2016 |
Certified |
04/14/2016 |
|
1 |
| AEGIS |
Contract Position Accountability Levels Table |
08/30/2022 |
Certified |
09/14/2022 |
|
1 |
| ICE SEF |
Listingof Commodity Swaps and Related Rule Amendments. ICE SEF #13-02 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| RF SEF |
Thomas Reuters SEF - Amendments to Rulebook (Submission 13-05) October 30, 2013 |
10/31/2013 |
Certified |
11/16/2013 |
|
1 |
| ICAPSEF |
Amended Rulebook |
09/23/2016 |
Certified |
10/07/2016 |
|
7 |
| SPECTR |
In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. |
03/20/2023 |
Certified |
04/03/2023 |
|
1 |
