Rules & Notices

2019
2018
2017
2016
2015
2014
2013

Rules, Policies, & Protocols

Title Updated
Table of Rulebook Amendments and Revisions 2019-04-22
trueEX Rulebook 2019-07-26
trueEX Rulebook with Redlined Changes 2019-07-26
CLOB/RFQ Product Schedule 2018-02-13
Post Execution Allocation Protocols 2014-03-21
PTC Product Schedule 2018-04-23

2019

NOTICES
Version Date Title
2019-04S 2019-07-18 Interest Rate Swap Product Delisting (SEF)
2019-01D 2019-07-18 Interest Rate Swap Product Delisting (DCM)
2019-03S 2019-07-15 Certain Rulebook Amendments - Bitcoin (SEF)
2019-02S 2019-05-10 Weekly Notification of Rule Amendments (SEF)
2019-01S 2019-03-04 Exchange Fee Submission (SEF)
ADVISORIES
Version Date Title
2019-06 2019-07-08 Delisting of Interest Rate Swap Products
2019-05 2019-07-02 July Fourth Holiday Schedule
2019-04 2019-05-23 US Memorial Day / UK Bank Holiday Schedule
2019-03 2019-05-03 May Day Holiday Hours
2019-02 2019-04-29 Closing Time Change
2019-01 2019-04-16 Good Friday/Easter Monday Holiday Schedule

2018

NOTICES
Version Date Title
2018-08S 2018-11-06 Fee Schedule and Market Maker Program for trueDigital Products
2018-07SR 2018-10-08 New Product (Bitcoin) and Rule Certification (SEF)-Revised
2018-07S 2018-10-02 New Product (Bitcoin) and Rule Certification (SEF)
2018-06S 2018-08-14 Weekly Notification of Rule Amendments (SEF)
2018-03D 2018-08-14 Weekly Notification of Rule Amendments (DCM)
2018-05S 2018-04-30 Weekly Notification of Rule Amendments (SEF)
2018-04S 2018-04-19 Exchange Fees Submission (SEF)
2018-03S 2018-04-12 Weekly Notification of Rule Amendments (SEF)
2018-02D 2018-04-11 Weekly Notification of Rule Amendments (DCM)
2018-02S 2018-02-16 Weekly Notification of Rule Amendments (SEF)
2018-01D 2018-02-16 Weekly Notification of Rule Amendments (DCM)
2018-01S 2018-01-30 Amendment of Product Terms and Conditions
ADVISORIES
Version Date Title
2018-10 2018-12-21 Christmas / New Year’s Holiday Schedule
2018-09 2018-11-20 Thanksgiving Holiday Advisory
2018-08 2018-08-30 Labor Day Holiday Advisory
2018-07 2018-08-23 UK Summer Bank Holiday Advisory
2018-06 2018-08-02 Opening Time Change
2018-05 2018-07-02 July Fourth Holiday Schedule
2018-04 2018-06-14 Singapore Holiday Advisory
2018-03 2018-05-23 US Memorial Day / UK Bank Holiday Schedule
2018-02 2018-03-28 Good Friday Holiday Advisory
2018-01 2018-02-05 Opening Time Change

2017

NOTICES
Version Date Title
2017-13S 2017-12-31 Certain Rulebook Amendments (SEF)
2017-12S 2017-12-31 Amendment of Product Terms and Conditions
2017-11S 2017-12-30 Product Certification (SEF) - FF Swaptions GBP
2017-10S.2 2017-12-30 Product Certification (SEF) - OIS INR
2017-10S.1 2017-12-30 Product Certification (SEF) - OIS COP
2017-10S 2017-12-30 Product Certification (SEF) - OIS
2017-09S.7 2017-12-30 Product Certification (SEF) - FF THB
2017-09S.6 2017-12-30 Product Certification (SEF) - FF TWD
2017-09S.5 2017-12-30 Product Certification (SEF) - FF KRW
2017-09S.4 2017-12-30 Product Certification (SEF) - FF MYR
2017-09S.3 2017-12-30 Product Certification (SEF) - FF ILS
2017-09S.2 2017-12-30 Product Certification (SEF) - FF INR
2017-09S.1 2017-12-30 Product Certification (SEF) - FF CNY
2017-09S 2017-12-30 Product Certification (SEF) - FF IRS
2017-08S 2017-11-07 Weekly Notification of Amendments
2017-07S 2017-10-17 Exchange Fee Submission (SEF)
2017-06S 2017-08-02 Amendment of Product Terms and Conditions
2017-05S.2 2017-06-21 Product Certification (SEF) - FF Swaptions EUR
2017-05S.1 2017-06-21 Product Certification (SEF) - FF Swaptions USD
2017-05S 2017-06-21 Product Certification (SEF) - FF Swaptions
2017-04S 2017-06-18 Certain Rulebook Amendments (SEF)
2017-03S 2017-06-18 Weekly Notification of Amendments
2017-01D 2017-06-18 Certain Rulebook Amendments (DCM)
2017-02S 2017-02-05 Amendment of Product Terms and Conditions
2017-01S.17 2017-01-16 Product Certification (SEF) - FRA SGD
2017-01S.16 2017-01-16 Product Certification (SEF) - FRA PLN
2017-01S.15 2017-01-16 Product Certification (SEF) - FRA HUF
2017-01S.14 2017-01-16 Product Certification (SEF) - FRA HKD
2017-01S.13 2017-01-16 Product Certification (SEF) - FRA CZK
2017-01S.12 2017-01-16 Product Certification (SEF) - FRA CHF
2017-01S.11 2017-01-16 Product Certification (SEF) - FRA ZAR
2017-01S.10 2017-01-16 Product Certification (SEF) - FRA NZD
2017-01S.09 2017-01-16 Product Certification (SEF) - FRA SEK
2017-01S.08 2017-01-16 Product Certification (SEF) - FRA NOK
2017-01S.07 2017-01-16 Product Certification (SEF) - FRA DKK
2017-01S.06 2017-01-16 Product Certification (SEF) - FRA CAD
2017-01S.05 2017-01-16 Product Certification (SEF) - FRA AUD
2017-01S.04 2017-01-16 Product Certification (SEF) - FRA GBP
2017-01S.03 2017-01-16 Product Certification (SEF) - FRA JPY
2017-01S.02 2017-01-16 Product Certification (SEF) - FRA EUR
2017-01S.01 2017-01-16 Product Certification (SEF) - FRA USD
2017-01S 2017-01-16 Product Certification (SEF) - Forward Rate Agreements (FRAs)
ADVISORIES
Version Date Title
2017-08 2017-12-21 Christmas / New Year’s Holiday Schedule
2017-07 2017-11-17 Thanksgiving Day Holiday Schedule
2017-06 2017-08-29 Labor Day Holiday Hours Schedule
2017-05 2017-08-24 UK Summer Bank Holiday Schedule
2017-04 2017-06-28 July Fourth Holiday Schedule
2017-03 2017-05-24 US Memorial Day/ UK Bank Holiday Schedule
2017-02 2017-04-27 May Day Holiday Schedule
2017-01 2017-04-13 Good Friday/Easter Monday Holiday Schedule

2016

NOTICES
Version Date Title
2016-12S 2016-11-10 Product Certification (SEF) - OIS AUD
2016-11S 2016-11-10 Product Certification (SEF) - FF CLP
2016-10S 2016-11-06 Exchange Fee Submission (SEF)
2016-09S 2016-11-01 Certain Rulebook Amendments (SEF)
2016-08S 2016-09-21 Certain Rulebook Amendments (SEF)
2016-08D 2016-09-21 Certain Rulebook Amendments (DCM)
2016-07S 2016-09-21 Certain Rulebook Amendments (SEF)
2016-07D 2016-09-21 Certain Rulebook Amendments (DCM)
2016-06S.07 2016-08-22 Product Certification (SEF) - OIS CHF
2016-06S.06 2016-08-22 Product Certification (SEF) - OIS CAD
2016-06S.05 2016-08-22 Product Certification (SEF) - OIS GBP
2016-06S.04 2016-08-22 Product Certification (SEF) - OIS JPY
2016-06S.03 2016-08-22 Product Certification (SEF) - OIS EUR
2016-06S.02 2016-08-22 Product Certification (SEF) - OIS USD
2016-06S.01 2016-08-22 Product Certification (SEF) - FF BRL
2016-05S 2016-08-22 Amendment of Product Terms (SEF)
2016-05D 2016-08-22 Amendment of Product Terms (DCM)
2016-04S 2016-08-16 Exchange Fee Submission (SEF)
2016-03S 2016-06-14 Emergency Rule Certification (SEF)
2016-03D 2016-06-14 Emergency Rule Certification (DCM)
2016-02S 2016-04-07 Weekly Notification of Rule Amendments (SEF)
2016-02D 2016-04-07 Weekly Notification of Rule Amendments (DCM)
2016-01S 2016-03-17 Exchange Fee Submission (SEF)
ADVISORIES
Version Date Title
2016-09 2016-12-22 Christmas and New Years Holiday Advisory
2016-08 2016-11-22 Thanksgiving Day Holiday Advisory
2016-07 2016-09-01 Labor Day Holiday Advisory
2016-06 2016-08-26 London Summer Bank Holiday Advisory
2016-05A 2016-07-01 July Fourth Holiday Advisory (Amended)
2016-05 2016-06-29 July Fourth Holiday Advisory
2016-04 2016-05-25 Memorial Day Holiday Advisory
2016-03 2016-04-27 May Day Holiday Advisory
2016-02 2016-03-30 Opening Time Change Advisory
2016-01 2016-03-21 Good Friday Holiday Advisory

2015

NOTICES
Version Date Title
2015-09S 2015-12-09 Exchange Fee Submission (SEF)
2015-09D 2015-11-30 Exchange Fee Submission (DCM)
2015-08S 2015-11-18 Certain Rulebook Amendments (SEF)
2015-08D 2015-11-18 Certain Rulebook Amendments (DCM)
2015-07S 2015-10-20 Exchange Fee Submission (SEF)
2015-06S 2015-10-05 Certain Rulebook Amendments (SEF)
2015-06D 2015-10-05 Certain Rulebook Amendments (DCM)
2015-05S 2015-09-21 Certain Rulebook Amendments (SEF)
2015-05D 2015-09-21 Certain Rulebook Amendments (DCM)
2015-04D 2015-09-17 DMM Program
2015-03S 2015-03-19 Certain Rulebook Amendments (SEF)
2015-03D 2015-03-19 Certain Rulebook Amendments (DCM)
2015-02S 2015-02-13 Withdrawn
2015-02D 2015-02-13 Withdrawn
2015-01D 2015-01-27 Self Certification of Exchange Fees
ADVISORIES
Version Date Title
2015-13 2015-12-30 New Year's Holiday Schedule Advisory
2015-12 2015-12-22 Christmas Holiday Schedule Advisory
2015-11 2015-12-14 Exchange Fees (DCM) Advisory
2015-10 2015-11-20 Thanksgiving Day Holiday Advisory
2015-09 2015-11-06 Veterans Day Holiday Advisory
2015-08 2015-10-07 Columbus Day Holiday Advisory
2015-07 2015-08-25 Labor Day Holiday Advisory
2015-06 2015-05-20 Memorial Day Holiday Advisory
2015-05A 2015-04-01 Good Friday Holiday Advisory (Amended)
2015-05 2015-03-31 Good Friday Holiday Advisory
2015-04 2015-02-11 Washington's Birthday Holiday Advisory
2015-03A 2015-02-09 New MAC Coupons Advisory (Amended)
2015-03 2015-02-06 New MAC Coupons Advisory
2015-02 2015-02-06 Exchange Fees Advisory
2015-01 2015-01-14 Martin Luther King Day Holiday Advisory

2014

NOTICES
Version Date Title
2014-19S 2014-12-19 Weekly Notification of Rule Amendments (SEF)
2014-19D 2014-12-19 Weekly Notification of Rule Amendments (DCM)
2014-18D 2014-12-08 Interest Rate Swap Product Certification
2014-17S 2014-10-30 Certain Rulebook Amendments (SEF)
2014-17D 2014-10-30 Certain Rulebook Amendments (DCM)
2014-16SR 2014-08-12 Revised Certain Rulebook Amendments (SEF)
2014-16DR 2014-08-12 Revised Certain Rulebook Amendments (DCM)
2014-16S 2014-08-07 Certain Rulebook Amendments (SEF)
2014-16D 2014-08-07 Certain Rulebook Amendments (DCM)
2014-15S 2014-08-05 Weekly Notification of Rule Amendments (SEF)
2014-15D 2014-08-05 Weekly Notification of Rule Amendments (DCM)
2014-14S 2014-07-21 Weekly Notification of Rule Amendments (SEF)
2014-14D 2014-07-21 Weekly Notification of Rule Amendments (DCM)
2014-13S 2014-06-30 Revised Clearing Policies and Procedures (SEF)
2014-13D 2014-06-30 Revised Clearing Policies and Procedures (DCM)
2014-12SR 2014-06-26 Revised Rulebook Amendments (SEF)
2014-12S 2014-06-26 Certain Rulebook Amendments (SEF)
2014-12DR 2014-06-26 Revised Rulebook Amendments (DCM)
2014-12D 2014-06-26 Certain Rulebook Amendments (DCM)
2014-11S 2014-06-26 Certain Rulebook Amendments (SEF)
2014-11D 2014-06-26 Certain Rulebook Amendments (DCM)
2014-10D 2014-06-03 Suspension of Position and Accountability Reporting (DCM)
2014-09S 2014-05-15 Weekly Notification of Rule Amendments (SEF)
2014-09D 2014-05-15 Weekly Notification of Rule Amendments (DCM)
2014-08SA 2014-05-06 Certain Rulebook Amendments (SEF)
2014-08S 2014-04-24 Certain Rulebook Amendments (SEF)
2014-07SR 2014-04-09 Revised Rulebook Amendments (SEF)
2014-07S 2014-04-09 Certain Rulebook Amendments (SEF)
2014-07DR 2014-04-09 Revised Rulebook Amendments (DCM)
2014-07D 2014-04-09 Certain Rulebook Amendments (DCM)
2014-06S 2014-03-28 Weekly Notification of Rule Amendments (SEF)
2014-06D 2014-03-28 Weekly Notification of Rule Amendments (DCM)
2014-05S 2014-03-20 Weekly Notification of Rule Amendments (SEF)
2014-05D 2014-03-20 Weekly Notification of Rule Amendments (DCM)
2014-04S 2014-03-11 Weekly Notification of Rule Amendments (SEF)
2014-04D 2014-03-11 Weekly Notification of Rule Amendments (DCM)
2014-03D 2014-02-10 Self Certification of Rule Change (DCM)
2014-02S 2014-02-07 Post Trade Allocation Policies and Procedures (SEF)
2014-02D 2014-02-07 Post Trade Allocation Policies and Procedures (DCM)
2014-01 2014-02-03 Sponsored Access Rule Amendments
ADVISORIES
Version Date Title
2014-14 2014-12-31 New Year's Holiday Schedule Advisory
2014-13 2014-12-23 Christmas Holiday Schedule Advisory
2014-12 2014-11-24 Thanksgiving Day Holiday Advisory
2014-11 2014-11-06 Veterans Day Holiday Advisory
2014-10 2014-10-08 Columbus Day Holiday Advisory
2014-09 2014-08-28 Labor Day Holiday Advisory
2014-08 2014-07-31 Exchange Hours Advisory
2014-07 2014-06-30 July Fourth Holiday Advisory
2014-06 2014-06-17 Suspension of Position Reporting and Accountability Advisory
2014-05 2014-05-21 Memorial Day Holiday Advisory
2014-04 2014-04-15 Good Friday Holiday Advisory
2014-03 2014-03-07 Exchange Hours Advisory
2014-02 2014-02-11 President's Day Holiday Advisory
2014-01 2014-01-15 Martin Luther King Day Holiday Advisory

2013

NOTICES
Version Date Title
2013-18 2013-12-20 Post Trade Allocation Policies and Procedures and Related Rule
2013-17 2013-12-20 Certain Rulebook Amendments
2013-16 2013-11-20 Consolidated SEF & DCM Rulebook
2013-15 2013-11-01 Interest Rate Swap Product Certification
2013-14R 2013-10-21 Made Available to Trade Determination Revised
2013-14 2013-10-21 Made Available to Trade Determination
2013-13 2013-10-10 No Action Relief and Rule Amendment
2013-12 2013-10-02 Clearing Policies and Procedures
2013-11 2013-09-11 Rulebook Amendments Notice
2013-10R 2013-08-30 Revised Rulebook Amendments Notice
2013-10 2013-08-30 Rulebook Amendments Notice
2013-09 2013-08-09 Position Accountability and Reporting
2013-08 2013-08-02 Not Used
2013-07B 2013-08-01 Exchange Fee Rulebook Amendment
2013-07A 2013-08-01 Exchange Hours Rulebook Amendment
2013-07 2013-08-01 Rulebook Amendments Hours and Fees Notification
2013-06R 2013-07-30 DMM Self Certification (Exhibit B)
2013-06 2013-07-18 Rulebook Amendments and DMM Self Certification
2013-05 2013-06-24 Rulebook Amendments
2013-04 2013-04-15 SCSM Self Certification
2013-03 2013-03-22 Rulebook Amendments
2013-02 2013-02-21 Interest Rate Swap Certification
2013-01 2013-01-14 Intermediation Notice
ADVISORIES
Version Date Title
2013-07 2013-12-30 New Year's Holiday Schedule Advisory
2013-06 2013-12-23 Christmas Holiday Schedule Advisory
2013-05 2013-11-20 Thanksgiving Day Holiday Advisory
2013-04 2013-10-11 Columbus Day Holiday Advisory
2013-03 2013-08-23 Position Reporting and Accountability Advisory
2013-02 2013-08-15 Exchange Fees Advisory
2013-01 2013-08-15 Exchange Hours Advisory