Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
RTX Self Certification of our Fee Schedule 10/03/2023 Certified 10/18/2023 2
TWSEF Market Regulation Advisory Notice: Trading and Execution Protocols 04/06/2015 Certified 04/20/2015 2
NEXSEF Conforming Amendments to NEX SEF Limited Form SEF to Reflect Revisions to the NEX SEF Board of Directors Composition 12/14/2020 Certified 12/29/2020 2
TRAD Amendments to Tradition SEF Rulebook. 11/28/2017 Certified 12/12/2017 2
NEXSEF Modifications to the NEX SEF LATAM EBS NDF Streaming Incentive Program 02/11/2022 Certified 02/28/2022 2
NEXSEF Modifications to the NEX SEF Fee Schedule for Various Administrative Amendments 07/03/2024 Certified 07/18/2024 2
TPSEF This submission contains a selfcertification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit A. 10/14/2014 Certified 10/27/2014 2
IGDL Fee Card and Discount Appendix amendment 12/12/2016 Certified 12/27/2016 2
TPSEF Amendments to tpSEF Fee Schedule 02/04/2020 Certified 02/19/2020 2
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) 06/14/2022 Certified 06/29/2022 2
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook, Governance Policy and Compliance Manual. 03/24/2020 Certified 04/07/2020 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 12/22/2015 Certified 01/07/2016 2
TDERIV Non-substantive and typographical and grammatical rulebook revisions. 07/22/2014 Certified 08/05/2014 2
TWSEF Notice to Participants- Cleared Error Swaps- procedures and requirements 08/22/2023 Certified 09/06/2023 2
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
TWSEF Updated Notice to all TW SEF Participants regarding when block treatment of a Package Transactions is appropriate. 10/16/2014 Certified 10/30/2014 2
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
IGDL Fee Card amendment 06/16/2016 Certified 06/30/2016 2
TDERIV Certification of fee schedule and designation market maker program for trueDigital Products 11/06/2018 Certified 11/21/2018 2
DWSEF Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. 10/16/2014 Certified 10/30/2014 2
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
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