• Amendments to CME SEF Recordkeeping and Reporting Procedures and Various CME SEF Rules

      • To
      • Members, Member Firms and Market Users
      • From
      • Market Regulation Department
      • #
      • SER-7538
      • Notice Date
      • 08 December 2015
      • Effective Date
      • 18 December 2015
    • Pending all relevant regulatory review periods, effective December 18, 2015, the Swap Execution Facility Division of Chicago Mercantile Exchange Inc. (“CME SEF”) will adopt amendments to the CME SEF Recordkeeping and Reporting Procedures and the CME SEF Rulebook. Specifically, CME SEF Rulebook is implementing new CME SEF Rule 123 (“Compliance with the Commodity Exchange Act”), and amending CME SEF Rules 407 (“Investigation, Assignment for Hearing and Notice of Charges”), 528 (“Swap Data Repository and Commission Reporting”), and 536(A)(1) (“Recordkeeping Requirements for Globex or CME Direct, and Negotiated Trades”).

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