Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program 10/28/2022 Certified 11/14/2022 2
TDERIV Non-substantive Rulebook Amendments 09/21/2015 Notified 09/21/2015 2
IGDL Amended Fee Card 10/17/2014 Certified 10/31/2014 2
RF SEF The Rulebook has been amended to incorporate amendments to CFTC Regulation 37.6(b) relating to uncleared swap confirmation requirements. 05/29/2024 10 Day Review 05/29/2024 2
TRAD Amendments to Tradition SEF Rulebook. 09/21/2015 Certified 10/05/2015 2
TRAD Amendments to Tradition SEF Rulebook. 09/16/2016 Certified 09/30/2016 2
IGDL Rulebook amendments 07/27/2017 Certified 08/10/2017 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 06/15/2022 Certified 06/30/2022 2
AEGIS NEW - Exhibit N1a Participant Agreement for Market Participants 07/11/2024 Notified 07/11/2024 2
RF SEF RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). 12/12/2022 Certified 12/27/2022 2
RF SEF Removal of reference to CFTC NAL 17-17. 05/30/2024 Certified 06/12/2024 2
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 12/23/2019 Certified 01/08/2020 2
IGDL Rulebook amendments 09/12/2017 Certified 09/26/2017 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) 11/09/2020 Certified 11/24/2020 2
BGC Amended Rule 403(b) to reference Rule 515. 05/30/2024 Certified 06/13/2024 2
NEXSEF AMENDMENT TO NEX SEF LIMITED RULEBOOK RELATING TO SUMMARY FINES, AUDIT TRAIL REQUIRMENTS AND ERROR CORRECTION PROCESSES; ISSUANCE OF NEX SEF LIMITED MARKET REGULATION ADVISORY NOTICES MRAN 2021-01 AND 2021-02 02/09/2021 Certified 02/24/2021 2
GFISEF Amended Rule 406(b) to include 37.6(b) and 37.6(b)(1) incorporating documents for uncleared swaps and the ability to request docs for regulatory review should the commission ask for specific documents. \r\n Amended Rule 541(a) for SEF notification. 05/30/2024 Certified 06/13/2024 2
IGDL IGDL-2021-R-4 - 40.6(a) Rule Certification (4.1.2021) 04/01/2021 Certified 04/15/2021 2
BGC Implementation document for an incentive program. 04/10/2015 Certified 04/24/2015 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Renewal of the LATAM EBS NDF Connectivity Incentive Program and Expiration of the EBS on-SEF UK/US Crossover Market Maker Program 10/17/2023 Certified 10/31/2023 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/23/2018 Certified 06/07/2018 2
IGDL IGDL-2022-R-2 - 40.6(a) Rule Certification (6.16.22) 06/16/2022 Certified 07/01/2022 2
AEGIS Amendments to Exhibit N-1 Participant Agreement 11/03/2022 Notified 11/03/2022 2
IGDL Revised Discount Appendix to Fee Card 05/16/2016 Certified 05/31/2016 2
LGX Compliance Manual update 07/10/2019 Certified 07/24/2019 2
TWSEF TW SEF Fee update for Canadian Dollar Swaps 07/08/2021 Certified 07/22/2021 2
BSEF Notice to Participants informing Participants of certain amendments to Rule 301(e) (re: Trading Account information being kept up-to-date)and Rule 516.E(iv) (re: BSEF ability to cancel trades due to insufficient Trading Account information) 08/08/2016 Certified 08/22/2016 2
NEXSEF Amendments to the NEX SEF Limited Trading Participant Holder Agreement 09/15/2022 Certified 09/29/2022 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/24/2014 Certified 11/07/2014 2
LGX Rulebook Amendment 07/27/2022 Certified 08/10/2022 2
RTX RTX revised Fee Schedule 10/19/2023 Certified 11/02/2023 2
ISBV Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct 24). \r\nPage 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. 07/16/2024 10 Day Review 07/16/2024 2
BSEF Bloomberg SEF LLC Compliance Manual 05/02/2019 Certified 05/16/2019 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 03/14/2023 Certified 03/28/2023 2
GFISEF Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 12/17/2013 Certified 01/03/2014 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 12/01/2017 Certified 12/15/2017 2
LGX Rulebook updates 04/08/2022 Certified 04/22/2022 2
TRAD Amendments to Tradition SEF Rulebook 06/03/2015 Certified 06/17/2015 2
RF SEF Thomas Reuters (SEF) amending its rulebook in response to comments and questions regarding TR SEF. Submission 13-03 10/17/2013 Certified 11/01/2013 2
IGDL Amendment to Confidential Rule 902. 09/23/2015 Certified 10/07/2015 2
RF SEF The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) 02/12/2021 Certified 03/01/2021 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Fee Schedule. 12/01/2015 Certified 12/15/2015 2
DWSEF DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) 01/07/2016 Certified 01/22/2016 2
RF SEF Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. 06/08/2023 Certified 06/23/2023 2
RF SEF The rule amendments have been made to introduce voluntary clearing of NDFs. 03/11/2024 Certified 03/25/2024 2
TWSEF The Rulebook has been amended in order to implement certain requirements with respect to error trades related to CFTC No-Action Letter 20-01. 04/09/2020 Certified 04/23/2020 2
TDERIV Weekly notification of non-substantive rulebook revisions. 08/05/2014 Notified 08/05/2014 2
ICE SEF The SEF corrected typographical errors in Rules 1226 and 1233 relating to two Markit iTraxx Crossover Index contracts. 10/29/2014 Notified 10/29/2014 2
LATAM Update to LatAM SEF Rule Book Version 1.5 09/22/2016 Certified 10/06/2016 2