Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Compliance Manual Amendment 07/26/2019 Certified 08/09/2019 2
IGDL Revised Fee Schedule 02/12/2015 Certified 02/27/2015 2
BSEF Revised BSEF fee schedule 03/14/2018 Certified 03/28/2018 2
TPSEF Amendments to tpSEF Fee Schedule 12/13/2019 Certified 12/30/2019 2
CBOESEF Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. 01/16/2020 Certified 01/31/2020 2
TRAD Changes to fee schedule 11/17/2014 Certified 12/02/2014 2
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 11/18/2014 Certified 12/03/2014 2
IGDL Updates to IGDL's Fee Schedule and SEF Discount Structure Appendix to IGDL's Fee Schedule. 04/09/2019 Certified 04/23/2019 2
TRAD Amendment to the Tradition SEF fee schedule. 08/13/2015 Certified 08/27/2015 2
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
TWSEF TW SEF Fee Schedule Update 10/11/2022 Certified 10/25/2022 2
BSEF Rulebook Amendment 11/30/2016 Certified 12/14/2016 2
TRAD Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. 03/23/2015 Certified 04/06/2015 2
TRAD Amendment to the Tradition SEF fee schedule. 03/23/2015 Certified 04/06/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/08/2015 Certified 10/23/2015 2
NEXSEF Revised Fee Program 03/16/2018 Certified 03/30/2018 2
LGX LedgerX Unredacted Operations Manual 03/12/2021 Certified 03/26/2021 2
CMSEF Rule Amendment 11/30/2016 Certified 12/14/2016 2
TWSEF Market Regulation Advisory Notice to TW SEF Participants re straight through processing. 06/02/2016 Certified 06/16/2016 2
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) 07/26/2018 Certified 08/09/2018 2
TRAD Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program 08/10/2020 Certified 08/24/2020 2
TWSEF Fee Schedule Amendments 08/22/2017 Certified 09/06/2017 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Initial Administrator(s) Authorization Form (BSEF-2021-R-04) 03/15/2021 Certified 03/29/2021 2
NEXSEF Amendment to Market Regulation Advisory Notice 2018-04 02/15/2019 Certified 03/04/2019 2
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 2
CMESEF Weekly Notification of Rule Amendments - Week of December 4, 2017 12/14/2017 Notified 12/14/2017 2
NEXSEF Updated Fee Program 01/17/2019 Certified 02/01/2019 2
ICE SEF ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. 03/24/2015 Certified 04/07/2015 2
ICAPSEF Amended fee card and discount program documents. 04/12/2017 Certified 04/26/2017 2
CMSEF Amendment to Rule 406 09/07/2016 Certified 09/21/2016 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. 08/29/2014 Certified 09/15/2014 2
NEXSEF Revised Fee Program to include new market maker program for certain Non Deliverable Forwards 09/17/2019 Certified 10/01/2019 2
TPSEF Amendments to the tpSEF Fee Schedule 02/22/2023 Certified 03/08/2023 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 03/25/2015 Certified 04/08/2015 2
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Compliance Manual 08/06/2021 Certified 08/20/2021 2
IGDL Rule 40.6 Rule Change for revised Fee Card 01/15/2015 Certified 01/30/2015 2
GFISEF We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 2
RF SEF Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. 05/02/2022 Certified 05/16/2022 2
IGDL Revised Facility Rulebook 08/29/2014 Certified 09/15/2014 2
LATAM See Exhibit A of the Submission 06/22/2015 Certified 07/07/2015 2
SWAPX SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 10/17/2013 Certified 11/01/2013 2
TRAD Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. 12/12/2014 Certified 12/29/2014 2
BSEF Bloomberg SEF LLC hereby submits its self-certification of the BSEF Rulebook, to be effective on September 24, 2015. 09/09/2015 Certified 09/23/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/10/2016 Certified 05/24/2016 2
ICE SEF EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. 10/01/2014 Certified 10/16/2014 2
BSEF BSEF Compliance Manual 02/21/2019 Certified 03/07/2019 2
NEXSEF Modifications to the NEX SEF Fee Schedule 06/16/2020 Certified 06/30/2020 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 11/02/2020 Certified 11/17/2020 2
NEXSEF Modifications to the NEX SEF Fee Schedule 03/17/2021 Certified 03/31/2021 2
CBOESEF (1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. 03/17/2022 Certified 03/31/2022 2