Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 01/16/2015 Certified 02/02/2015 2
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby submits to the Commission certain rule amendment. 08/01/2016 Certified 08/15/2016 2
IGDL Amendment to Confidential Chapter 9 Trading Protocols 03/10/2017 Certified 03/24/2017 2
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. 01/16/2015 Certified 02/02/2015 2
IGDL IGDL has revised its Fee Schedule 10/15/2015 Certified 10/29/2015 2
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 06/18/2020 Certified 07/02/2020 2
LGX Rulebook for LedgerX DCM 06/24/2019 Certified 07/09/2019 2
NEXSEF Revisions to NEX SEF Limited Form SEF Exhibits to Reflect Changes to the Board of Directors and Officer Composition and, Administrative Amendments NEX/CME Group integration and minor edits to the Compliance Manual. 05/04/2022 Certified 05/18/2022 2
BSEF BSEF Rulebook Amendment 05/12/2016 Certified 05/26/2016 2
NEXSEF Amended Fee Program 08/03/2018 Certified 08/17/2018 2
NEXSEF Extension of the NEX SEF African & Middle East NDFs Market Maker Program 10/15/2021 Certified 10/29/2021 2
ICE SEF ICE Swap Trade, LLC is amending its Error Trade Policy. 11/21/2014 Certified 12/08/2014 2
NEXSEF Self certification of NEX SEF Market Regulation Advisory Notice for update of Quote Fill Ratio Thresholds. 03/18/2020 Certified 04/01/2020 2
CBOESEF Bats Hotspot SEF has revised its rulebook in order to remove interest rate swaps, add non-deliverable forwards and reflect changes to governance and disciplinary processes resulting from ownership changes. 04/21/2017 Certified 05/05/2017 2
NEXSEF Weekly Submission of Rule Amendments 02/02/2018 Notified 02/02/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 09/11/2015 Certified 09/25/2015 2
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has amended itsRulebook. 08/04/2016 Certified 08/18/2016 2
BSEF Pursuant to Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants. 08/04/2016 Certified 08/18/2016 2
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. 05/18/2015 Certified 06/02/2015 2
CMSEF Rule Certification 11/06/2020 Certified 11/23/2020 2
IGDL Revised Discount Structure Appendix 03/17/2016 Certified 03/31/2016 2
BSEF Addendum to BSEF-NFA Regulatory Services Agreement 09/22/2020 Certified 10/06/2020 2
NEXSEF Amendments to NEX SEF Rule 901 ("System Protocols") of the NEX SEF Rulebook (Form SEF Exhibit M) and the Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2023-01 08/15/2023 Certified 08/29/2023 2
BSEF Amended Compliance Manual (BSEF-2018-R-08) 11/01/2018 Certified 11/16/2018 2
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
CMESEF Conforming Amendments to Various CME SEF Rules. 12/14/2017 Certified 12/29/2017 2
CMESEF Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief 07/18/2014 Certified 08/01/2014 2
NEXSEF Amended Fee Program 07/17/2017 Certified 07/31/2017 2
TRAD Amendment to the tradition SEF fee schedule 07/01/2015 Certified 07/16/2015 2
TRAD Amendments to the Tradition SEF Fee Schedule 11/27/2017 Certified 12/11/2017 2
NEXSEF Fee Program Amendment 12/15/2017 Certified 01/02/2018 2
TWSEF Weekly Notification of Rule Amendments for TW SEF - Week of September 30, 2019 10/07/2019 Notified 10/07/2019 2
NEXSEF Market Regulation Advisory Notice 2020-01 and related rulebook amendment 12/18/2019 Certified 01/03/2020 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. 03/01/2019 Certified 03/15/2019 2
AEGIS Modifications to - Exhibit N1a Market Participant Agreement 08/26/2024 Notified 08/26/2024 2
BSEF The Rulebook of Bloomberg SEF LLC ("Bloomberg SEF") has been amended in response to comments and questions received from the staff of the Commodity Futures Trading Commission, as well as potential users of Bloomberg SEF's swap execution facility. 10/08/2014 Certified 10/23/2014 2
TRAD Amendments to Fee Schedule 10/07/2019 Certified 10/22/2019 2
CBOESEF Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. 12/09/2016 Certified 12/23/2016 2
TWSEF TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
DWSEF DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
IGDL Amendments to IGDL rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
NEXSEF Update to Effective Date of MRAN 2019-01 03/04/2019 Notified 03/04/2019 2
TPSEF Amendments to tpSEF rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
BSEF Amended Compliance Manual 04/02/2018 Certified 04/16/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 08/10/2018 Certified 08/24/2018 2
IGDL Weekly Notification of Rule Amendments pursuant to CFTC Regulation 40.6(d)(x); reduction in minimum price fluctuation for certain contracts. 04/06/2015 Notified 04/06/2015 2
TRAD Amendments to Tradition SEF Rulebook. 08/31/2017 Certified 09/15/2017 2
TRAD Amendments to the StreamGlobal Platform Supplement. 08/31/2017 Certified 09/15/2017 2
TWSEF TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. 12/10/2018 Notified 12/10/2018 2
TRAD Amendments to Tradition SEF Rulebook 07/09/2015 Certified 07/23/2015 2