| BSEF |
Bloomberg SEF LLC - Rule Amendment - Revised Fees (2024-R-13) |
10/02/2024 |
Certified |
10/17/2024 |
|
1 |
| TRAD |
Amendment of platform trading hours for USD, EUR and GBP currencies on Tradition SEF Platform Supplement 1 effective October 17, 2024. |
10/02/2024 |
Certified |
10/17/2024 |
|
3 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
10/16/2024 |
10 Day Review |
10/16/2024 |
|
1 |
| RF SEF |
Amendments to i) accommodate the execution of Block Trades; and ii) describe the manner in which participants elect to treat such trades as Block Trades. |
09/20/2024 |
Certified |
10/04/2024 |
|
1 |
| TPSEF |
Amendments to Rule 3109 (Authorized Traders) and Rule 4013.A. (Cleared Swaps) of the tpSEF Rulebook. |
09/16/2024 |
Certified |
09/30/2024 |
|
1 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
09/13/2024 |
Certified |
09/27/2024 |
|
1 |
| CBOESEF |
Clarifying definition of API and new definition of Participant API. Clarifying that prior to commencing trading activity on the SEF, each Authorized Trader must register an order entry operator ID (OEOID) with the SEF. |
09/13/2024 |
Certified |
09/27/2024 |
|
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 |
| SPECTR |
Submission of SpectrAxe's Reverse Give Up Credit Program |
08/29/2024 |
Certified |
09/13/2024 |
|
3 |
| BSEF |
Amendments to the Bloomberg SEF LLC Rulebook |
08/29/2024 |
Certified |
09/13/2024 |
|
1 |
| LGX |
Revisions to SEF Rulebook |
08/20/2024 |
Certified |
09/04/2024 |
|
3 |
| BSEF |
CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook |
08/15/2024 |
Certified |
08/29/2024 |
|
1 |
| AEGIS |
Modifications to - Exhibit N1a Market Participant Agreement |
08/26/2024 |
Notified |
08/26/2024 |
|
2 |
| 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 |
| AEGIS |
NEW - Exhibit N1a Participant Agreement for Market Participants |
07/11/2024 |
Notified |
07/11/2024 |
|
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: Amendments to the Bloomberg SEF LLC Rulebook BSEF Submission No. 2024-R-08. |
06/13/2024 |
Certified |
06/28/2024 |
|
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 |
| LGX |
Updates to Participant Agreement |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
Updates to User Agreement |
06/07/2024 |
Certified |
06/24/2024 |
|
2 |
| LGX |
Privacy Policy updates |
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 |
| BGC |
Amended Rule 403(b) to reference Rule 515. |
05/30/2024 |
Certified |
06/13/2024 |
|
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 |
| 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 |
| LGX |
Inclusion of new d/b/a MIAX Derivatives Exchange in Rulebooks |
06/07/2024 |
Notified |
06/07/2024 |
|
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 |
| IGDL |
Amendments to ICAP Global Derivatives Limiteds Rulebook |
05/21/2024 |
Certified |
06/05/2024 |
|
1 |
| TPSEF |
Amendments to Rule 4012 (Confirmations and USIs) of the tpSEF 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 |
| RF SEF |
The Rulebook has been amended to incorporate amendments to CFTC Regulation 37.6(b) relating to uncleared swap confirmation requirements. |
05/29/2024 |
10 Day Review |
05/29/2024 |
|
2 |
| RTX |
Revision of the RTX Fintech & Research LLC Rulebook |
05/10/2024 |
Certified |
05/24/2024 |
|
2 |
| AEGIS |
Rule Amendment - 4.10.2 - Removes No Action Letter language which is no longer needed per adoption by CFTC of amended rule 37.6 |
05/20/2024 |
Notified |
05/20/2024 |
|
3 |
| 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(d) Weekly Notification of Rule Amendments |
02/29/2024 |
Notified |
02/29/2024 |
|
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 |
