Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LGX LedgerX revised Rulebook 12/15/2021 Certified 12/30/2021 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) 11/20/2020 Certified 12/07/2020 2
TWSEF Fee Schedule update for Credit Default Swaps 07/15/2021 Certified 07/29/2021 2
RTX RTX Fintech & Research LLC Amended Fee Schedule 07/22/2024 10 Day Review 07/22/2024 2
TWSEF Notice to Participants re MAT / Agency MBS Package Transactions (4.20.15)Cover Letter re Notice to Participants (4.20.15) 04/20/2015 Certified 05/04/2015 2
TPSEF Amendments to the tpSEF Fee Schedule 03/23/2023 Certified 04/06/2023 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Increase in Basis Risk Reduction Services Crossing Access Fee 12/14/2023 Certified 12/29/2023 2
TRAD Emergency Rule Submission. Amendments to Tradition SEF Trad-X Platform Supplement. 08/19/2016 Certified 09/02/2016 2
RF SEF The Notice to Participants clarifies that RSEF only facilitates the execution of swaps that are not intended to be cleared, and that any decision to clear trades executed on RSEF is considered to be made post-trade and without Refinitiv SEF's involvement 11/05/2021 Certified 11/22/2021 2
LGX Revised SEF Rulebook 08/04/2022 Certified 08/18/2022 2
NEXSEF Market Regulation Advisory Notice 2017-002 11/01/2017 Certified 11/16/2017 2
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules are technical corrections, clarifications and adjustments to rule language based upon guidance received from the staff of the Commodity Futures Trading Commission ("CFTC"). 11/03/2014 Certified 11/18/2014 2
DWSEF DW SEF - Work-Up Protocol 12/29/2014 Certified 01/13/2015 2
TRAD Amendments to Tradition SEF Rulebook. 01/11/2016 Certified 01/26/2016 2
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 22, 2015. 12/07/2015 Certified 12/21/2015 2
LGX Amendment to Participant Agreement 08/04/2022 Certified 08/18/2022 2
TRAD Tradition SEF, Inc. - Notification of Amendments to Tradition SEF, Inc. Rulebook TRAD #14-0002 04/15/2014 Certified 04/30/2014 2
TWSEF Notice to All Participants of TW SEF LLC:RFQ1 Treatment for MAT Swap Leg of Specified Package Transactions 02/04/2015 Certified 02/19/2015 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 BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify Rules 604 and 704 with respect to Post-Trade Name Give-Up and to update various CFTC No Action Letters. 11/24/2020 Certified 12/09/2020 2
TRAD Amendments to Tradition SEF's Trad-X USD CME/LCH Auctions. 06/03/2015 Certified 06/17/2015 2
LGX Fee Schedule Amendmenet 12/06/2019 Notified 12/06/2019 2
CMSEF Rulebook Amendments 01/11/2022 Certified 01/26/2022 2
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2
CMESEF Amendments to CME/CBOT/NYMEX/COMEX and CME SEF Rule 537 07/29/2015 Certified 08/12/2015 2
TRAD Amendments to Tradition SEF Trad-X, Volbroker and StreamGlobal Platform Supplements. 01/12/2016 Certified 01/27/2016 2
IGDL Market Regulation Advisory Notice 05/19/2016 Certified 06/03/2016 2
TPSEF Amendments to tpSEF Fee Schedule 10/02/2017 Certified 10/17/2017 2
NEXSEF Modifications to the NEX SEF Fee Schedule 07/17/2020 Certified 07/31/2020 2
RADSEF Submission of TeraExchange LLC updated rulebook adding 3 swaps to the product terms and conditions that have been filed with the commission for certification and removing 7 instruments that reference LIBOR which have been delisted. 06/21/2023 Certified 07/06/2023 2
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as morefully described in Exhibit B. 08/13/2014 Certified 08/27/2014 2
DWSEF Amendments to the DW SEF IRS Fee Schedule 07/21/2020 Certified 08/04/2020 2
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 08/30/2019 Certified 09/16/2019 2
RTX Revision of the RTX Fintech & Research LLC Rulebook 05/10/2024 Certified 05/24/2024 2
ICE SEF ICE Swap Trade, LLC is amending its Error Trade Policy. 11/07/2014 Certified 11/24/2014 2
GFISEF Various Rulebook Amendments 09/30/2015 Certified 10/15/2015 2
GFISEF Matching Session Description 09/30/2015 Certified 10/15/2015 2
TWSEF Updates to the TWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 2
TPSEF Amendments to tpSEF Fee Schedule 12/09/2019 Certified 12/23/2019 2
SEED CX Seed SEF is amending various rules to clarify certain definitions and to make substantive revisions to Chapters 7 (Contract Settlement) and 9 (Arbitration) 01/12/2018 Withdrawn 01/16/2018 2
LGX Updates to Participant Agreement 06/07/2024 Certified 06/24/2024 2
NEXSEF Revised Fee Program discount programs 07/17/2018 Certified 07/31/2018 2
LGX Submission of Revised fee schedule 03/04/2020 Certified 03/18/2020 2
LGX Updates to User Agreement 06/07/2024 Certified 06/24/2024 2
TRAD Amendments to Tradition SEF Rulebook. 07/15/2016 Certified 07/29/2016 2
TRAD Revisions to the StreamGlobal Platform Supplement 12/21/2016 Certified 01/06/2017 2
LGX Privacy Policy updates 06/07/2024 Certified 06/24/2024 2
TRAD Changes to fee schedule 11/10/2014 Certified 11/25/2014 2
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 09/16/2014 Certified 09/30/2014 2
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). 06/03/2020 Certified 06/17/2020 2