| TRAD |
Tradition SEF Rulebook and Form SEF Exhibits Q and V Amendments, letter dated January 3, 2014 Trad #14-0001 |
01/03/2014 |
Certified |
01/18/2014 |
|
1 |
| TDERIV |
Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
| BSEF |
Emergency Rule Certification |
02/05/2019 |
Certified |
02/20/2019 |
|
2 |
| BSEF |
Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-05) |
06/14/2021 |
Certified |
06/28/2021 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule amendment - Amended Rulebook, (letter dated November 8, 2013) : Exhibit A, Exhibit B, Exhibit C, Cover Sheet 2013-R-7 |
11/12/2013 |
Certified |
07/29/2014 |
|
1 |
| BGC |
More detail regarding the Voice Work-Up trading process |
01/15/2016 |
Certified |
02/01/2016 |
|
1 |
| LGX |
Revised operations manual |
11/14/2017 |
Certified |
11/29/2017 |
|
3 |
| 360T |
360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 |
02/25/2014 |
Certified |
03/12/2014 |
|
1 |
| TRAD |
Amendment to Tradition SEF, Inc. Fee Schedule |
09/06/2018 |
Certified |
09/20/2018 |
|
3 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-09) |
09/18/2020 |
Certified |
10/02/2020 |
|
1 |
| BSEF |
Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) |
10/30/2020 |
Certified |
11/16/2020 |
|
3 |
| MKAXSEF |
MarketAxess SEF Corporation - Rulebook Amendments - Rules 214, 311, 407 to become effective March 26, 2014 |
02/27/2014 |
Certified |
03/14/2014 |
|
1 |
| BSEF |
Notice to Participants |
06/28/2017 |
Certified |
07/13/2017 |
|
1 |
| NEXSEF |
Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. |
11/17/2021 |
Certified |
12/02/2021 |
|
1 |
| GFISEF |
Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 |
12/05/2013 |
Certified |
12/20/2013 |
|
1 |
| MKAXSEF |
MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. |
08/07/2015 |
Certified |
08/21/2015 |
|
4 |
| BGC |
The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
| DWSEF |
DW SEF Market Regulation Advisory Notice re STP and Affirmation |
05/31/2016 |
Certified |
06/14/2016 |
|
2 |
| ICE SEF |
ICE Swap Trade, LLC ("IST") is amending its Exhibit T to Form SEF in order to to affect certain administrative/clerical revisions. |
07/19/2016 |
Certified |
08/02/2016 |
|
2 |
| BSEF |
Rulebook Amendment |
06/28/2017 |
Certified |
07/13/2017 |
|
1 |
| TRAD |
Amendment to Rule 412(a), (b), (d) and (e) to permit confirmation to e directed to Broker Firm Participants. Amendment to Rule 508 to permit a work-up process to commence upon execution via a Request for Continuous Stream. |
04/30/2020 |
Certified |
05/14/2020 |
|
1 |
| SWAPX |
Updates to various rules, particularly rules concerning data reporting |
01/19/2016 |
Certified |
02/02/2016 |
|
4 |
| TPSEF |
Pursuant to Section 5c(c) of the CEA and CFTC Regulations 37.3(b)(3) and 40.6(a), tpSEF is hereby submitting an amended version of Exhibit T to tpSEF application for registration as a swap execution facility. |
07/19/2016 |
Certified |
08/02/2016 |
|
1 |
| RADSEF |
Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. |
08/25/2016 |
Certified |
09/09/2016 |
|
3 |
| CBOESEF |
Cboe SEF is seeking to modify certain rules relating to the limitation of its liability and its indemnification obligations to its participants |
07/28/2020 |
Certified |
08/11/2020 |
|
2 |
| RF SEF |
Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. |
11/21/2022 |
Certified |
12/06/2022 |
|
2 |
| TRAD |
Amendments to Tradition SEF Rulebook |
08/25/2016 |
Certified |
09/09/2016 |
|
3 |
| BGC |
As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. |
11/29/2016 |
Certified |
12/13/2016 |
|
1 |
| IGDL |
Rulebook amendments |
08/16/2017 |
Certified |
08/30/2017 |
|
2 |
| BSEF |
Compliance Manual amendment |
10/30/2020 |
Certified |
11/16/2020 |
|
2 |
| TPSEF |
CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. |
05/06/2015 |
Certified |
05/20/2015 |
|
1 |
| ICE SEF |
ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. |
08/13/2015 |
Certified |
08/27/2015 |
|
3 |
| BGC |
Amending rules for determining speculative position limits or position accountability. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
| BSEF |
Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF LLC will release the Notice to Participants attached on January 19, 2016, to become effective on February 3, 2016. |
01/19/2016 |
Certified |
02/02/2016 |
|
1 |
| BSEF |
Amendment to Compliance Manual |
06/28/2017 |
Certified |
07/13/2017 |
|
2 |
| TRAD |
Amendments to the Tradition SEF Fee Schedule. |
12/12/2017 |
Certified |
12/27/2017 |
|
2 |
| CBOESEF |
Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. |
02/06/2019 |
Certified |
02/21/2019 |
|
1 |
| AEGIS |
Amendments to Rulebook and Participant Agreement |
11/21/2022 |
Certified |
12/06/2022 |
|
4 |
| RTX |
Self-certification of liquidity-provider program (23_LP01) under 40.6(a) |
11/07/2023 |
Certified |
11/22/2023 |
|
2 |
| INFXSEF |
Rule amendments to incorporate certain clarifications and updates. |
11/14/2014 |
Certified |
12/01/2014 |
|
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 |
| BGC |
Amendments to the fee schedule. |
10/06/2015 |
Certified |
10/21/2015 |
|
2 |
| CBOESEF |
Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. |
08/26/2016 |
Certified |
09/12/2016 |
|
1 |
| TRAD |
40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" |
11/17/2021 |
Certified |
12/02/2021 |
|
1 |
| CBOESEF |
Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. |
08/18/2022 |
Certified |
09/01/2022 |
|
1 |
| TWSEF |
Market Participant Notice- SDR reporting |
11/22/2022 |
Certified |
12/07/2022 |
|
2 |
| INFXSEF |
Making changes to order book execution explanations based on request contained in DMO Letter dated 11/21/14. |
01/13/2015 |
Certified |
01/28/2015 |
|
2 |
| BGC |
These rule amendments are cumulative and are in response to suggestions and guidance from the staff. |
10/06/2015 |
Certified |
10/21/2015 |
|
1 |
| TPSEF |
Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. |
06/01/2016 |
Certified |
06/15/2016 |
|
1 |
| CBOESEF |
Update the appeal provisions under Cboe SEF's Rules. |
08/18/2022 |
Certified |
09/01/2022 |
|
1 |
