| CME |
Issues Market Reg Advisory Notices RA1001-5 (creating/trading User Defined Spreads to deceive/ disadvantage others) and RA1002-5 (entry/cancel of pre-open orders to manipulate opening price or identify the depth of the book). CME/CBOT/NYMEX #10-008 |
01/07/2010 |
Certified |
05/17/2010 |
|
1 |
| CBOT |
Issues Market Reg Advisory Notices RA1001-5 (creating/trading User Defined Spreads to deceive/ disadvantage others) and RA1002-5 (entry/cancel of pre-open orders to manipulate opening price or identify the depth of the book). CME/CBOT/NYMEX #10-008 |
01/07/2010 |
Certified |
05/17/2010 |
|
1 |
| NYMEX |
Issues Market Reg Advisory Notices RA1001-5 (creating/trading User Defined Spreads to deceive/ disadvantage others) and RA1002-5 (entry/cancel of pre-open orders to manipulate opening price or identify the depth of the book). CME/CBOT/NYMEX #10-008 |
01/07/2010 |
Certified |
05/17/2010 |
|
1 |
| CME |
Issues Market Regulation Advisory Notice RA0910-5 (concerning Rule 538 (EFRP)) and Market Regulation Advisory Notice RA0911-5 (concerning Rules 533 and 531). CME/CBOT/NYMEX #09-225 |
09/30/2009 |
Certified |
10/30/2009 |
|
1 |
| CBOT |
Issues Market Regulation Advisory Notice RA0910-5 (concerning Rule 538 (EFRP)) and Market Regulation Advisory Notice RA0911-5 (concerning Rules 533 and 531). CME/CBOT/NYMEX #09-225 |
09/30/2009 |
Certified |
10/30/2009 |
|
1 |
| NYMEX |
Issues Market Regulation Advisory Notice RA0910-5 (concerning Rule 538 (EFRP)) and Market Regulation Advisory Notice RA0911-5 (concerning Rules 533 and 531). CME/CBOT/NYMEX #09-225 |
09/30/2009 |
Certified |
10/30/2009 |
|
1 |
| NYMEX |
Issues Market Regulation Advisory Notice RA0914-4- providing an updated list of products in which TAS transactions will be allowed to take place pursuant to Rule 524. NYMEX #09-238 |
12/28/2009 |
Certified |
01/21/2010 |
|
1 |
| NYMEX |
Issues NYMEX & Comex Market Regulation Advisory Notices RA0909-4 and RA0910-4, to correct the location of trading in cash-settled financial products as in the pit, and remove Aluminum from the list of contracts eligible for MO trades. NYMEX/COMEX #09-211 |
09/23/2009 |
Certified |
10/27/2009 |
|
1 |
| NYMEX |
Issues NYMEX & COMEX Market Regulatory Notice RA0913-4, concerning a modification in the manner in which block trades are reported on the NYMEX trading floor. NYMEX #09-279 |
11/20/2009 |
Certified |
02/17/2010 |
|
1 |
| NYMEX |
Issues NYMEX/COMEX Market Regulation Advisory Notice RA0911-4, providing information on the recordkeeping requirements for pit trades, including the entry of the trade data from trading cards and order tickets into the CME Clearing System. NYMEX #09-224 |
09/29/2009 |
Certified |
03/29/2010 |
|
1 |
| NYLIFFE |
Issues NYSE Liffe US Notice 33/2009, announcing the extension of the Futures Incentive Program thruogh June 30, 2010. #2009-123 |
12/29/2009 |
Certified |
06/08/2010 |
|
1 |
| OCX |
Issuing Consolidated Exchange of Future for Physical Guidance |
09/17/2018 |
Certified |
10/01/2018 |
|
1 |
| NYMEX |
Issuing Market Regulation Advisory Notice RA 1006-4, which notifies market participants of upcoming revisions to Rule 524 (TAS and Matched Orders). NYMEX/COMEX #10-306 |
10/21/2010 |
Certified |
11/22/2010 |
|
1 |
| COMEX |
Issuing Market Regulation Advisory Notice RA 1006-4, which notifies market participants of upcoming revisions to Rule 524 (TAS and Matched Orders). NYMEX/COMEX #10-306 |
10/21/2010 |
Certified |
11/22/2010 |
|
1 |
| CBOT |
Issuing Market Regulation Advisory Notice RA1004-1 regarding changes to the policy for trading in the CBOT Treasury and Swap futures pit, effective on June 15, 2010. CBOT #10-109 |
04/23/2010 |
Certified |
06/11/2010 |
|
1 |
| CBOT |
Issuing Market Regulation Advisory Notice reminding the exchange's members that they have a duty to supervise employees and to ensure compliance with exchange rules. CME/CBOT/NYMEX #10-156 |
06/03/2010 |
Certified |
07/12/2010 |
|
1 |
| NYMEX |
Issuing Market Regulation Advisory Notice reminding the exchange's members that they have a duty to supervise employees and to ensure compliance with exchange rules. CME/CBOT/NYMEX #10-156 |
06/03/2010 |
Certified |
07/12/2010 |
|
1 |
| OCX |
Issuing Notice to Members 2015-20 (Execution Fee Cap for OCX.NoDivRisk Products) |
06/25/2015 |
Certified |
07/10/2015 |
|
1 |
| OCX |
Issuing Notice to Members 2015-40 (Execution Fee Cap for OCX.NoDivRisk Products - Pilot Program Extension) |
12/01/2015 |
Certified |
12/15/2015 |
|
1 |
| OCX |
Issuing Notice to Members 2016-16 (Renaming Regulatory Notices) |
06/01/2016 |
Certified |
06/15/2016 |
|
1 |
| OCX |
Issuing NTM 2015-47 (Large Trader Reporting Guide) |
12/17/2015 |
Certified |
01/04/2016 |
|
2 |
| OCX |
Issuing NTM 2016-12 (OneChicago Ownership and Control Reports) |
05/11/2016 |
Certified |
05/25/2016 |
|
1 |
| OCX |
Issuing NTM 2016-3 (Discontinuing Competitive Block Trades) |
01/25/2016 |
Certified |
02/08/2016 |
|
1 |
| OCX |
Issuing NTM 2017-12 (OneChicago Execution Fee Applied to CMTA Firm) |
03/15/2017 |
Certified |
03/29/2017 |
|
1 |
| OCX |
Issuing NTM 2017-8 (Implementing Delivery Fees & Tiered Carry Fees) |
02/02/2017 |
Certified |
02/16/2017 |
|
1 |
| OCX |
Issuing NTM 2018-15 (Reducing Fees) |
04/10/2018 |
Certified |
04/24/2018 |
|
1 |
| OCX |
Issuing NTM 2018-6 Block Calendar Spread Transactions |
02/08/2018 |
Certified |
02/23/2018 |
|
1 |
| OCX |
Issuing Regulatory Release 2016-14 (Decreasing Reportable Level to One Contract for All OneChicago Products) |
06/16/2016 |
Certified |
06/30/2016 |
|
1 |
| OCX |
Issuing Regulatory Release 2016-18 (Large Trader Reporting Guide) & Regulatory Release 2016-19 (OneChicago Ownership and Control Reports) |
08/03/2016 |
Certified |
08/17/2016 |
|
1 |
| OCX |
Issuing Regulatory Release 2016-23 (OneChicago Ownership and Control Reports) |
09/27/2016 |
Certified |
10/12/2016 |
|
1 |
| OCX |
Issuing Regulatory Release 2017-10 (Large Trader Reporting Guide) |
08/17/2017 |
Certified |
08/31/2017 |
|
1 |
| OCX |
Issuing Regulatory Release 2017-11 (Large Trader Reporting Guide) |
09/05/2017 |
Certified |
09/19/2017 |
|
1 |
| OCX |
Issuing Regulatory Release 2017-8 (OneChicago Ownership and Control Reports) |
07/17/2017 |
Certified |
07/31/2017 |
|
1 |
| OCX |
Issuing Regulatory Release 2018-3 Block Trading |
02/27/2018 |
Certified |
03/13/2018 |
|
1 |
| CME |
Issuing revised CME and CBOT Market Regulation Advisory Notice RA 1201-3R. CME/CBOT #1201-3R |
06/01/2012 |
Certified |
06/16/2012 |
|
1 |
| CBOT |
Issuing revised CME and CBOT Market Regulation Advisory Notice RA 1201-3R. CME/CBOT #1201-3R |
06/01/2012 |
Certified |
06/16/2012 |
|
1 |
| NFX |
Issuing two Futures Regulatory Alerts to address audit trail requirements and reporting requirements. NFX #2013-20 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
| KEX |
Kalshi intends to implement a referral bonus program that will provide incentives to referring and referred members and will increase the liquidity on the Exchange. (Because of the Portal's size limitations, the submission has been split into 3 parts.) |
12/09/2021 |
Certified |
12/22/2021 |
|
3 |
| KEX |
Kalshi intends to implement an Immediate Account Funding Program to reduce the inconvenience caused to members by the ACH delay. |
12/09/2021 |
Certified |
12/22/2021 |
|
2 |
| KEX |
Kalshi is submitting the Market Outcome Review Process Guidelines for review. |
06/15/2021 |
Certified |
06/28/2021 |
|
3 |
| KEX |
Kalshi is updating its Rulebook to clarify various aspects of the Settlement process, as well as the Market Outcome Review Process, and to make corresponding and other changes for clarity. |
06/15/2021 |
Certified |
06/28/2021 |
|
3 |
| KEX |
Kalshi's volume incentive program iteration effective August 2023 |
07/14/2023 |
Withdrawn |
07/30/2023 |
|
1 |
| KEX |
KalshiEX LLC is amending certain of its exhibits pursuant to 17 CFR 38.3(a)(5) |
02/16/2021 |
Certified |
03/02/2021 |
|
3 |
| NFX |
Large Trader, Ownership/Control Reports and Open Interest Data |
04/08/2015 |
Certified |
04/22/2015 |
|
1 |
| NFX |
Large Trader, Ownership/Control Reports and Open Interest Data |
04/14/2015 |
Certified |
04/28/2015 |
|
1 |
| NYLIFFE |
Launch of the promotional program "Go for the Mini-Gold Program" for Mini-Gold futures contracts. NYLIFFE #2010-118 |
11/05/2010 |
Certified |
11/23/2010 |
|
1 |
| NYLIFFE |
Launching of the Global FCM Incentive Program in Precious Metals Futures. NYLIFFE #2010-117 |
11/05/2010 |
Certified |
12/17/2010 |
|
1 |
| CME |
Launchs All-or-None Transactions in CME Three-Month Overnight Index Swap Futures CME #09-062 |
04/17/2009 |
Certified |
05/06/2009 |
|
1 |
| LEDGERX |
LedgerX Amended Rulebook |
03/12/2021 |
Withdrawn |
03/25/2021 |
|
1 |
| LEDGERX |
LedgerX DCM Rulebook revisions |
11/15/2023 |
Certified |
11/30/2023 |
|
3 |
