| NFX |
Submit rules relating to block trade minimum quantity thresholds and reporting times, trading hours, and daily settlement prices for new NFX Options on NFX Brent 1st Line Financial Futures and the NFX Options on the NFX WTI 1st Line Financial Futures |
10/06/2016 |
Certified |
10/21/2016 |
|
1 |
| NFX |
Submit various rules for 36 New York Independent Service Operator Day-Ahead Financial Futures. |
11/14/2016 |
Certified |
11/29/2016 |
|
3 |
| CFE |
Submits an updated CFE Fee Schedule. CFE-2007-07 |
07/05/2007 |
Certified |
07/05/2007 |
|
1 |
| NFX |
Submits this self-certification to extend its Competitor Response Incentive Program |
10/18/2019 |
Certified |
11/01/2019 |
|
2 |
| CFE |
Submits updated CFE Fee Schedule CFE #2014-14 |
06/13/2014 |
Certified |
06/28/2014 |
|
1 |
| CFE |
Submitting a rule amendment relating to pooled investment vehicles and foreign CFE Trading Privilege Holders. CFE #2013-17 |
04/29/2013 |
Certified |
05/14/2013 |
|
1 |
| NFX |
Submitting amendments to the Exchange's Reference Guides governing Pre-Trade Limits Group functionality on the NFX TradeGuard system. |
11/28/2018 |
Certified |
12/12/2018 |
|
3 |
| CFE |
Submitting an updated CFE Fee Schedule. CFE #2011-15 |
06/10/2011 |
Certified |
06/10/2011 |
|
1 |
| CFE |
Submitting an updated CFE Fee Schedule. CFE 2013-14 |
03/15/2013 |
Certified |
03/30/2013 |
|
1 |
| CFE |
Submitting CFE rule amendment relating to foreign CFE Trading Privilege Holders. CFE #2013-03 |
01/16/2013 |
Certified |
02/01/2013 |
|
1 |
| NFX |
Submitting Market Maker Agreement regarding Timber Hill LLC with one year term, effective September 23, 2010. NFX #2010-10 |
09/22/2010 |
Certified |
04/01/2011 |
|
1 |
| ICE US |
Submitting New Rule 4.20 which provides that the Exchange will record and archive all conversations conducted by Members and Member Firms on their Exchange Trading Floor telephones for a minimum period of 14 Calendar Days. ICE US #13-6 |
01/10/2013 |
Certified |
01/26/2013 |
|
1 |
| CFE |
Summary Fine Schedule for Violations of CFE Rule 513B (Business Continuity Preparations) |
02/15/2022 |
Certified |
03/02/2022 |
|
1 |
| NFX |
Summary Fines |
04/23/2015 |
Certified |
05/07/2015 |
|
1 |
| NYLIFFE |
Supplement to Submission 2010-112 regarding the Extension of the Designated Market Maker Program in Precious Metals. NYLIFFE #2011-103 |
02/10/2011 |
Certified |
06/10/2011 |
|
1 |
| CME |
Supplemental information relating to the CME E-mini & E-micro S&P CNX Nifty Futures Market Making Program. CME #11-441S |
12/06/2011 |
Certified |
12/20/2011 |
|
1 |
| NYMEX |
Supplemental information relating to the Cross-Venue Energy and Metals Products Incentive Program for High Volume Contributors. NYMEX/COMEX #12-083S |
03/15/2012 |
Certified |
03/30/2012 |
|
2 |
| COMEX |
Supplemental information relating to the Cross-Venue Energy and Metals Products Incentive Program for High Volume Contributors. NYMEX/COMEX #12-083S |
03/15/2012 |
Certified |
03/30/2012 |
|
2 |
| NYMEX |
Supplemental information relating to the NYMEX/COMEX Energy and Metals Products Cross-Venue Incentive Program. 11-416S |
11/14/2011 |
Certified |
11/30/2011 |
|
1 |
| COMEX |
Supplemental information relating to the NYMEX/COMEX Energy and Metals Products Cross-Venue Incentive Program. 11-416S |
11/14/2011 |
Certified |
11/30/2011 |
|
1 |
| ICE US |
Supplemental submission to New Foreign Trader Program. ICE US #13-57S |
07/11/2013 |
Certified |
07/26/2013 |
|
1 |
| CANTOR |
Supplemental to Compliance Manual to clarify duties and responsibilities of the Control Desk |
02/14/2020 |
Certified |
03/02/2020 |
|
2 |
| NYLIFFE |
Supplemental Update to Submission 2010-107 regarding the Designated Market Maker Program in MSCI Mini Index Futures from September 1, 2010 through June 30, 2011. NYLiffe #2011-104 |
02/25/2011 |
Certified |
05/18/2011 |
|
1 |
| NYMEX |
Supplements filing of 6/27, and confirms that the EFS procedures will be the procedures by which off-exchange trades will be submitted to NYMEX for the CPC service. NYMEX #07.52. |
07/23/2007 |
Certified |
08/01/2007 |
|
1 |
| CME |
Supplements harmonization of CBOT and CME Rulebooks, modifies CTR Enforcement Program and Sanction Schedule during the interim period before CBOT adopts the CME Price Reporting System in 1-08. CME # 07-96 |
11/29/2007 |
Certified |
01/30/2008 |
|
1 |
| CBOT |
Supplements harmonization of CBOT and CME Rulebooks, providing for staff to administer fining schedule during the interim period before CBOT adopts the CME Price Reporting System in 1-08. CBOT #2843.05 |
11/28/2007 |
Certified |
01/30/2008 |
|
1 |
| CCFE |
Supplements new Market Maker Program Description. CCFE #08-13 Supplemental |
06/19/2008 |
Certified |
06/23/2008 |
|
1 |
| CBOT |
Supplements previously submitted - entirely revised - CBOT Rulebook with rules omitted. CBOT #2843.03 |
11/07/2007 |
Certified |
01/30/2008 |
|
1 |
| NYMEX |
Supplements recent submission of a new market maker program pertaining to the electronic trading on the CME Globex system of certain NYMEX and COMEX options contracts under new NYMEX Rule 11.70. NYMEX #07.78 |
07/31/2007 |
Certified |
08/01/2007 |
|
1 |
| NYMEX |
Suppliments filings of 6/27 and 7/23; migrating certain products listed on Globex to being listed for trading on the NYMEX trading floor. Procedure used is EFSs under NYMEX Rule 6.21. NYMEX #07.52 |
07/31/2007 |
Certified |
08/01/2007 |
|
1 |
| NFX |
Suspends Trading of all IDEX Interest Rate Swap Futures, in order to upgrade the Risk Management System (December 31, 2008) PBOT #2008-20 |
01/02/2009 |
Certified |
10/14/2010 |
|
1 |
| GREENX |
Suspension of Trading with Respect to Daily European Union Allowance (EUA) Futures (code EUL) Contract. |
01/21/2011 |
Certified |
02/08/2011 |
|
1 |
| NYMEX |
TAS Block Trades in COMEX Copper Futures and Issuance of NYMEX/COMEX Market Regulation Advisory Notice RA1510-4 |
06/05/2015 |
Certified |
06/19/2015 |
|
2 |
| COMEX |
TAS Block Trades in COMEX Copper Futures and Issuance of NYMEX/COMEX Market Regulation Advisory Notice RA1510-4 |
06/05/2015 |
Certified |
06/19/2015 |
|
2 |
| ICE US |
Temporary Change in Trading Hours on Electronic Platform Due to Human Error. ICE US #11-36 |
06/14/2011 |
Certified |
07/19/2011 |
|
1 |
| ICE US |
Temporary Change in Trading Hours on Electronic Platform Due to Physical Emergency. ICE US #11-21 |
04/26/2011 |
Certified |
04/26/2011 |
|
1 |
| ICE US |
Temporary Change in Trading Hours on Trading Floor Due to Snow Storm. ICE US #10-63 |
12/28/2010 |
Certified |
12/28/2010 |
|
1 |
| ICE US |
Temporary Change in Trading Hours on Trading Floor Due to Snow Storm. ICE US #11-4 |
01/28/2011 |
Certified |
01/28/2011 |
|
1 |
| ICE US |
Temporary Change to the Electronic Start Time for Sugar No.11, Coffee "C" and Cocoa Futures and Options Contracts. ICE US #11-20 |
04/25/2011 |
Certified |
04/25/2011 |
|
1 |
| ICE US |
Temporary Changes to the Electronic Opening Times for Sugar No.11, Coffee "C" and Cocoa Futures and Options Contracts and Settlement Window and Last Day Trading Hours for Cocoa Contracts. ICE US #11-14 |
03/07/2011 |
Certified |
03/07/2011 |
|
1 |
| ICE US |
Temporary Changes to the Electronic Opening Times for Sugar No.11, Coffee "C" and Cocoa Futures and Options Contracts and Settlement Window for Cocoa Contracts. ICE US #10-45 |
10/27/2010 |
Certified |
10/27/2010 |
|
1 |
| ICE US |
Temporary Changes to the Electronic Opening Times for Sugar No.11, Coffee "C" and Cocoa Futures and Options Contracts and Settlement Window for Cocoa Contracts. ICE US #11-70 |
10/03/2011 |
Certified |
10/19/2011 |
|
1 |
| CDE |
Temporary changes to the trading hours for all Eris Exchange Interest Rate Swap Futures Contracts for October 29, 2012 and October 30, 2012. ERISDCM #2012-16 |
11/02/2012 |
Certified |
11/20/2012 |
|
1 |
| ICE US |
Temporary Close of Power Markets. ICE US #13-95 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| ICE US |
Temporary Close of Trading Floor Due to Physical Emergency. ICE US #11-51 |
08/25/2011 |
Certified |
09/12/2011 |
|
1 |
| ICE US |
Temporary Close of Trading for Certain Currency Pair Futures Contracts. ICE US #13-84 |
09/17/2013 |
Certified |
10/02/2013 |
|
1 |
| ICE US |
Temporary Closing of Electronic Cotton Options Market. ICE US #11-69 |
09/27/2011 |
Certified |
10/13/2011 |
|
1 |
| ICE US |
Temporary Delay in Opening of Currency Markets on Electronic Platform. Revised ICE US #11-44 |
07/06/2011 |
Certified |
07/08/2011 |
|
2 |
| CME |
Temporary Reduction of the BTIC Block Trade Minimum Threshold Level and Waiver of Related BTIC Exchange Fee for the E-mini S&P Financial Sector Futures Contract |
08/22/2016 |
Certified |
09/06/2016 |
|
1 |
| NODAL |
Temporary Rule Changes to facilitate the Implementation of the Nodal Exchange / Nasdaq Futures, Inc. ("NFX") Asset Purchase Agreement |
12/04/2019 |
Certified |
12/18/2019 |
|
2 |
