| CBOESEF |
(1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. |
01/14/2022 |
Certified |
01/31/2022 |
|
1 |
| LGX |
Privacy Policy updates |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| TRAD |
Changes to fee schedule |
11/10/2014 |
Certified |
11/25/2014 |
|
2 |
| ICAPSEF |
Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| TPSEF |
tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F |
05/19/2014 |
Certified |
06/04/2014 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. |
09/16/2014 |
Certified |
09/30/2014 |
|
2 |
| 360T |
Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. |
08/04/2015 |
Certified |
08/17/2015 |
|
4 |
| TWSEF |
Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). |
06/03/2020 |
Certified |
06/17/2020 |
|
2 |
| NEXSEF |
Amendments to the NEX SEF Limited Governance Policy and Adoption of the Board of Directors Terms of Reference |
04/26/2021 |
Certified |
05/10/2021 |
|
2 |
| TPSEF |
Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. |
12/18/2023 |
Certified |
01/03/2024 |
|
1 |
| ICAPSEF |
Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| BSEF |
BSEF hereby notifies the Commission that it has amended the January 30 Rulebook Certification to respond to certain comments received from Commission staff. We understand that the amended Rulebook will become effective on February 15, 2015. |
02/10/2015 |
Certified |
02/25/2015 |
|
1 |
| TPSEF |
Supplement to Exhibit N to Form SEF |
10/11/2016 |
Certified |
10/25/2016 |
|
1 |
| CBOESEF |
Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| TRAD |
Amendments to Tradition SEF Rulebook. |
08/04/2015 |
Certified |
08/18/2015 |
|
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. |
11/17/2015 |
Certified |
12/02/2015 |
|
1 |
| BSEF |
Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook, effective August 1, 2016. |
07/15/2016 |
Certified |
07/29/2016 |
|
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 |
| GFISEF |
Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| TPSEF |
Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. |
08/04/2015 |
Certified |
08/18/2015 |
|
1 |
| RADSEF |
Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. |
04/15/2016 |
Certified |
04/29/2016 |
|
3 |
| BSEF |
Amended schedule |
09/17/2020 |
Certified |
10/01/2020 |
|
2 |
| SWAPX |
SwapEX LLC - Rule Amendments - effective July 15, 2014 |
06/27/2014 |
Certified |
07/15/2014 |
|
1 |
| CBOESEF |
Cboe SEF, LLC is submitting certain changes to its rulebook to, among other things, add a definition of "Minimum Tick Size," clarify the difference between Participant Data and SEF Market Data, and clarify applicable fitness standards. |
01/17/2018 |
Certified |
01/31/2018 |
|
1 |
| NEXSEF |
Amended Fee Program |
07/18/2019 |
Certified |
08/01/2019 |
|
2 |
| IGDL |
Revised Market Maker Program Rulebook |
09/17/2014 |
Certified |
10/01/2014 |
|
3 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-08) |
09/17/2020 |
Certified |
10/01/2020 |
|
1 |
| GTX |
Amendment to Fee schedule. |
02/10/2015 |
Certified |
02/25/2015 |
|
1 |
| GFISEF |
40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
| LGX |
LedgerX Updated BCDR Plan |
06/13/2021 |
Certified |
06/25/2021 |
|
4 |
| IGDL |
Amendments to IDGL's Fee Schedule. |
07/23/2021 |
Certified |
08/06/2021 |
|
2 |
| CBOESEF |
Updates Cboe SEF's governance arrangements. |
07/01/2022 |
Certified |
07/18/2022 |
|
1 |
| NEXSEF |
Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS On-SEF UK/US Crossover Market Maker Program |
08/17/2022 |
Certified |
08/31/2022 |
|
2 |
| CBOESEF |
Rule amendments regarding (a) CFTC No Action Letter 15-24, (b) changes to voice trading procedures, and (c) record retention. |
08/05/2015 |
Certified |
08/19/2015 |
|
2 |
| TWSEF |
TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
| TWSEF |
Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols |
01/15/2016 |
Certified |
02/01/2016 |
|
3 |
| TPSEF |
Amendments to tpSEF's Rulebook and Compliance Manual. |
04/29/2020 |
Certified |
05/13/2020 |
|
2 |
| BGC |
Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker |
08/01/2023 |
Certified |
08/15/2023 |
|
1 |
| TDERIV |
Amendment to Rule 524, will promote trading on trueEX SEF by permitting limited pre-execution communication in respect of orders for Permitted Transactions. TRUSEF #2014-08S |
04/24/2014 |
Certified |
05/09/2014 |
|
1 |
| IGDL |
Fee Schedule |
03/17/2015 |
Certified |
03/31/2015 |
|
1 |
| DWSEF |
DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) |
11/18/2015 |
Certified |
12/03/2015 |
|
4 |
| TWSEF |
Amended TW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-04) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) |
11/18/2022 |
Certified |
12/05/2022 |
|
1 |
| TDERIV |
Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. |
10/05/2015 |
Certified |
10/20/2015 |
|
1 |
| ICAPSEF |
Amended EBS Trading Protocol and Rules 202, 208 and 315 |
12/11/2015 |
Certified |
12/28/2015 |
|
4 |
| DWSEF |
Amended DW SEF Rulebook |
01/15/2016 |
Certified |
02/01/2016 |
|
4 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-11) |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-04) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
| NEXSEF |
Amendments to NEX SEF Rule 902 Appendix 1 ("Shield System Protocol" - "Contracts offered for trading") (Form SEF Exhibit M) to Include Non-Deliverable Forwards ("NDFs") on the Shield Order Book and the Issuance of NEX SEF Market Regulation Advisory Notice |
09/12/2024 |
Certified |
09/26/2024 |
|
1 |
