| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. |
11/06/2015 |
Certified |
11/23/2015 |
|
3 |
| 360T |
360 Trading Networks, Inc. amendment to Form SEF |
11/27/2013 |
Certified |
12/13/2013 |
|
0 |
| DWSEF |
Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. |
06/09/2015 |
Certified |
06/23/2015 |
|
6 |
| 360T |
Rulebook and User Guides updated in view of CFTC comments and participant queries. |
09/30/2015 |
Certified |
10/14/2015 |
|
5 |
| 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 |
| BSEF |
On June 8, 2015, Bloomberg SEF LLC ("BSEF") submitted to the CFTC a certification regarding amendments to the BSEF Rulebook. BSEF hereby notifies the CFTC that it wishes to amend that certification to update the effective date of the BSEF Rulebook. |
06/09/2015 |
Certified |
06/23/2015 |
|
1 |
| TWSEF |
Amended TW SEF Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
| 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 submission. |
10/03/2016 |
Certified |
10/18/2016 |
|
1 |
| NEXSEF |
MRAN update for additional currency pairs |
10/21/2020 |
Certified |
11/04/2020 |
|
1 |
| DWSEF |
DW SEF Amended Rulebook |
09/30/2015 |
Certified |
10/15/2015 |
|
4 |
| IGDL |
Rulebook amendments to set forth new Rules designed to meet the 10-minute AQATP standard; MRAN 2016-7 to explain the new Rules to Participants. |
07/11/2016 |
Certified |
07/25/2016 |
|
9 |
| BGC |
BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify Rules 604 and 704 with respect to Post-Trade Name Give-Up and to update various CFTC No Action Letters. |
11/24/2020 |
Certified |
12/09/2020 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-10) |
12/15/2021 |
Certified |
12/30/2021 |
|
1 |
| LATAM |
40.6(a) certification of LatAm SEF Rulebook, version 1.12 |
11/16/2022 |
Certified |
12/01/2022 |
|
1 |
| BGC |
Resubmission of Rule 505 - Contract Specifications are being amended to provide that persons entering into pre-discussed trades or cross trades in the specified Interest Rate Swaps, must wait at least 5 seconds after the Initial Order. BGC #2013-03 |
01/30/2014 |
Certified |
07/29/2014 |
|
7 |
| TRAD |
Amendments to Tradition SEF's Trad-X USD CME/LCH Auctions. |
06/03/2015 |
Certified |
06/17/2015 |
|
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. The amended Rulebook will become effective on January 27, 2016. |
01/12/2016 |
Certified |
01/27/2016 |
|
1 |
| ICAPSEF |
Rulebook amendments to set forth new Rules designed to meet the 10-minute AQATP standard; MRAN 2016-7 to explain the new Rules to Participants. |
07/11/2016 |
Certified |
07/25/2016 |
|
9 |
| TDERIV |
Self-certification of fees to be charged to Participants on the SEF Trading System. |
04/19/2018 |
Certified |
05/03/2018 |
|
1 |
| ISBV |
iSwap Euro B.V. hereby submits certain amendments to its Rulebook. |
02/25/2021 |
Certified |
03/11/2021 |
|
12 |
| NEXSEF |
Amendments to Rules 802(2) ("Basis Swaps"), 802(3) ("Forward Rate Agreements (FRA)"), and 802(4) ("Non Deliverable Swaps") in Connection with the CFTC Market Risk Advisory Committee Best Practice Advisory re Transition from LIBOR TO SOFR |
11/08/2021 |
Certified |
11/23/2021 |
|
1 |
| CBOESEF |
Javelin Rule Amendments to Rules 302, ..., 323, 407, 408, 504, ..., 523, ..., 901 JAVSEF #14-01 |
01/30/2014 |
Certified |
02/14/2014 |
|
1 |
| CMSEF |
Rulebook Amendments |
01/11/2022 |
Certified |
01/26/2022 |
|
2 |
| RADSEF |
TeraExchange, LLC - Rule Amendments - Amended Rulebook TERAEXC #2014-21 |
04/16/2014 |
Certified |
05/01/2014 |
|
1 |
| CMESEF |
Amendments to CME/CBOT/NYMEX/COMEX and CME SEF Rule 537 |
07/29/2015 |
Certified |
08/12/2015 |
|
2 |
| TRAD |
Notification of Amendments to Tradition SEF, Onc. Rulebook. TRAD #14-18 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
| TRAD |
Amendments to Tradition SEF Trad-X, Volbroker and StreamGlobal Platform Supplements. |
01/12/2016 |
Certified |
01/27/2016 |
|
2 |
| ICE SEF |
ICE Swap Trade, LLC - Rulebook Amendments - Effective July 9, 2014 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
| TPSEF |
This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. |
09/16/2014 |
Certified |
09/29/2014 |
|
1 |
| CBOESEF |
(1) clarify the types and functionality of Orders that may be entered into Cboe SEF's order books and (2) change how Cboe SEF's trading system treats Orders submitted with decimal Notional Amounts. |
06/24/2022 |
Certified |
07/11/2022 |
|
1 |
| IGDL |
Market Regulation Advisory Notice |
05/19/2016 |
Certified |
06/03/2016 |
|
2 |
| ICE SEF |
ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. |
12/19/2016 |
Certified |
01/04/2017 |
|
5 |
| TPSEF |
Amendments to tpSEF Fee Schedule |
10/02/2017 |
Certified |
10/17/2017 |
|
2 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule |
07/17/2020 |
Certified |
07/31/2020 |
|
2 |
| RADSEF |
Submission of TeraExchange LLC updated rulebook adding 3 swaps to the product terms and conditions that have been filed with the commission for certification and removing 7 instruments that reference LIBOR which have been delisted. |
06/21/2023 |
Certified |
07/06/2023 |
|
2 |
| TWSEF |
Notice to Participants that the SEF's US Dollar Interest Rate Swaps, Canadian Dollar Interest Rate Swaps and CDX markets will be closed on November 11, 2013. |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
| GFISEF |
Withdrawal of Registration Submission #14-0012W |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
| CBOESEF |
To prevent inconsistency with Rule 319 "Withdrawal of a Participant", and conform with market practice. |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
| SWAPX |
Amendment of Rule 525 to reflect recent CFTC no-action letter |
03/31/2017 |
Certified |
04/14/2017 |
|
4 |
| DWSEF |
DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
| BSEF |
Amended its Rulebook in response to comments and questions; and to add rules regarding methods of using BSEF's SEF. BSEF #2013-R-11 |
01/30/2014 |
Certified |
02/14/2014 |
|
1 |
| GFISEF |
GFI Swaps Submission #14-0008 - Amendments to Rules 101, 528, 529, 533 and 1101. March 27, 2014 |
03/27/2014 |
Certified |
04/11/2014 |
|
1 |
| TPSEF |
This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as morefully described in Exhibit B. |
08/13/2014 |
Certified |
08/27/2014 |
|
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. |
11/11/2015 |
Certified |
11/25/2015 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to clarify the process by which IST intends to implement and enforce certain of its rules and respond to guidance received from the Commission. |
07/14/2016 |
Certified |
07/28/2016 |
|
4 |
| CMESEF |
Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
| CBOESEF |
Javelin SEF LLC - Amendments to its Rulebook - Amended Rules 216, 505, 523, 706 (Submission No. 13-08) |
11/08/2013 |
Certified |
11/26/2013 |
|
1 |
| TDERIV |
Rulebook amendments to remove all references to Regulatory Service Provider and related terms. TRUEEX #2014-11S |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
| BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook |
01/30/2023 |
Certified |
02/13/2023 |
|
1 |
| ICE SEF |
ICE Swap Trade LLC - Rule Amendment - Revised Error Trade Policy. ICE SEF #14-20 |
06/25/2014 |
Certified |
07/11/2014 |
|
1 |
