| 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 |
| NEXSEF |
Amendments to NEX SEF Rule 901(e) ("NEX SEF NDF System Protocol" - "The Matching Process") (Form SEF Exhibit M) in Connection with the Adoption of Conditional Price Increments for Certain Products. |
08/07/2024 |
Certified |
08/21/2024 |
|
1 |
| RF SEF |
Incorporate rules requiring SEF Participants to notify LSEG SEF, prior to entering into any Prime Broker Trades, of their intent to use the services of Prime Broker(s) as well as identity the name of such Prime Broker(s). |
08/02/2024 |
Certified |
08/16/2024 |
|
1 |
| RTX |
RTX Fintech & Research LLC Amended Fee Schedule |
07/22/2024 |
Certified |
08/05/2024 |
|
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 |
| ISBV |
Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct 24). \r\nPage 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. |
07/16/2024 |
Certified |
07/29/2024 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for Various Administrative Amendments |
07/03/2024 |
Certified |
07/18/2024 |
|
2 |
| 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 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-09. |
06/13/2024 |
Certified |
06/28/2024 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook BSEF Submission No. 2024-R-08. |
06/13/2024 |
Certified |
06/28/2024 |
|
1 |
| LGX |
Privacy Policy updates |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
Updates to User Agreement |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
Updates to Participant Agreement |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| NEXSEF |
Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2024-01 Regarding Amendments to the Operational Parameters Annex |
06/05/2024 |
Certified |
06/20/2024 |
|
2 |
| GFISEF |
Amended Rule 406(b) to include 37.6(b) and 37.6(b)(1) incorporating documents for uncleared swaps and the ability to request docs for regulatory review should the commission ask for specific documents. \r\n Amended Rule 541(a) for SEF notification. |
05/30/2024 |
Certified |
06/13/2024 |
|
2 |
| BGC |
Amended Rule 403(b) to reference Rule 515. |
05/30/2024 |
Certified |
06/13/2024 |
|
2 |
| RF SEF |
Removal of reference to CFTC NAL 17-17. |
05/30/2024 |
Certified |
06/12/2024 |
|
2 |
| 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 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendment to the Bloomberg SEF LLC Rulebook |
05/23/2024 |
Certified |
06/07/2024 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Rule 312(c) ("Enforceability of Transactions - Issuance of Facility Confirmations for Uncleared Transactions") of the NEX SEF Rulebook (Form SEF Exhibit M) |
05/22/2024 |
Certified |
06/06/2024 |
|
1 |
| TPSEF |
Amendments to Rule 4012 (Confirmations and USIs) of the tpSEF Rulebook. |
05/21/2024 |
Certified |
06/05/2024 |
|
1 |
| IGDL |
Amendments to ICAP Global Derivatives Limiteds Rulebook |
05/21/2024 |
Certified |
06/05/2024 |
|
1 |
| TRAD |
CFTC Submission 2024-01; Amendment regarding intended to be cleared swaps and uncleared swaps confirmations and other amendments to reflect expiration of No-Action Letter 17-17. We will not be relying on No Action Letter 17-17 after May 31, 2024. |
05/20/2024 |
Certified |
06/04/2024 |
|
6 |
| 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 |
| RTX |
Revision of the RTX Fintech & Research LLC Rulebook |
05/10/2024 |
Certified |
05/24/2024 |
|
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 |
| IGDL |
Amendments to the IGDL SEF Discount Structure Appendix |
04/24/2024 |
Certified |
05/08/2024 |
|
1 |
| RF SEF |
The rule amendments have been made to introduce voluntary clearing of NDFs. |
03/11/2024 |
Certified |
03/25/2024 |
|
2 |
| RTX |
Revision of SEF Compliance Manual |
03/07/2024 |
Certified |
03/21/2024 |
|
3 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. |
02/23/2024 |
Certified |
03/08/2024 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. |
01/29/2024 |
Certified |
02/12/2024 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
01/12/2024 |
Certified |
01/29/2024 |
|
1 |
| SPECTR |
Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program |
01/05/2024 |
Certified |
01/22/2024 |
|
4 |
| TPSEF |
Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. |
12/18/2023 |
Certified |
01/03/2024 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Increase in Basis Risk Reduction Services Crossing Access Fee |
12/14/2023 |
Certified |
12/29/2023 |
|
2 |
| TPSEF |
Updates to tpSEF Inc. Risk Mitigation Procedures |
11/30/2023 |
Certified |
12/14/2023 |
|
1 |
| AEGIS |
Amended AEGIS SEF Exhibit K - Fee Schedule |
11/29/2023 |
Certified |
12/13/2023 |
|
3 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Product Related Amendment to the BSEF LLC Rulebook. |
11/29/2023 |
Certified |
12/13/2023 |
|
1 |
| LGX |
LedgerX SEF Rulebook Revisions |
11/15/2023 |
Certified |
11/30/2023 |
|
3 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 |
11/09/2023 |
Certified |
11/27/2023 |
|
1 |
| RTX |
Self-certification of liquidity-provider program (23_LP01) under 40.6(a) |
11/07/2023 |
Certified |
11/22/2023 |
|
2 |
| CBOESEF |
Extending current market maker program. |
11/01/2023 |
Certified |
11/16/2023 |
|
1 |
| CBOESEF |
Cboe SEF is amending Rule 909 to add exceptions to the definition of Confidential Information. |
11/01/2023 |
Certified |
11/16/2023 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. |
10/26/2023 |
Certified |
11/09/2023 |
|
3 |
| RTX |
RTX revised Fee Schedule |
10/19/2023 |
Certified |
11/02/2023 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Renewal of the LATAM EBS NDF Connectivity Incentive Program and Expiration of the EBS on-SEF UK/US Crossover Market Maker Program |
10/17/2023 |
Certified |
10/31/2023 |
|
2 |
| RTX |
Self Certification of our Fee Schedule |
10/03/2023 |
Certified |
10/18/2023 |
|
2 |
| BSEF |
CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. |
09/28/2023 |
Certified |
10/13/2023 |
|
1 |
| AEGIS |
Amendments to Rulebook and Market Participant Addendum |
09/08/2023 |
Certified |
09/22/2023 |
|
4 |
| BSEF |
BSEF fee schedule amendment |
08/29/2023 |
Certified |
09/13/2023 |
|
1 |
