Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
ICAPSEF Revised exhibit to Rule 901 11/15/2016 Certified 11/30/2016 2
IGDL Changes to SEF's rulebook 02/08/2017 Certified 02/23/2017 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to error trades under Commission Regulation 37.9(e) 02/17/2021 Certified 03/03/2021 2
IGDL Revised Fee Card and Discount Program 02/16/2016 Certified 03/01/2016 2
IGDL Revised Facility Rulebook 08/06/2014 Certified 08/20/2014 2
GFISEF Revised fee schedule 10/30/2014 Certified 11/14/2014 2
IGDL IGDL-2022-R-1 - 40.6(a) Rule Certification (3.1.2022) 03/01/2022 Certified 03/15/2022 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 09/20/2017 Certified 10/04/2017 2
IGDL Amended Fee Card 08/17/2016 Certified 08/31/2016 2
ICAPSEF Amended Fee Card 08/17/2016 Certified 08/31/2016 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 08/18/2016 Certified 09/01/2016 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/01/2021 Certified 09/16/2021 2
SWAPX Updates to the SwapEx SEF Rulebook to align with relevant regulation. 02/19/2020 Certified 03/04/2020 2
CBOESEF The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. 03/22/2023 Certified 04/05/2023 2
NEXSEF Modifications to the NEX SEF Fee Schedule 10/16/2020 Certified 10/30/2020 2
BSEF Compliance Manual amendment 12/07/2017 Certified 12/21/2017 2
NEXSEF Modifications to the NEX SEF African & Middle East NDFs Market Maker Program 10/16/2020 Certified 10/30/2020 2
TWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
NEXSEF Amended Fee Program 08/08/2017 Certified 08/22/2017 2
DWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
CBOESEF Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. 03/23/2023 Certified 04/06/2023 2
IGDL Amended SEF Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICAPSEF Amended Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. 11/06/2015 Certified 11/23/2015 3
NEXSEF Correction of typographical error in Rule 315 06/08/2018 Notified 06/08/2018 3
NEXSEF Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. 04/21/2020 Certified 05/05/2020 3
LGX LedgerX Revised Rulebook 06/10/2021 Certified 06/24/2021 3
ISBV Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives 09/30/2022 Certified 10/14/2022 3
CMSEF SEF Rulebook Amendment 07/31/2015 Certified 08/14/2015 3
TRAD Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. 04/01/2019 Certified 04/15/2019 3
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
RADSEF Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. 04/15/2016 Certified 04/29/2016 3
IGDL Revised Market Maker Program Rulebook 09/17/2014 Certified 10/01/2014 3
TWSEF Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols 01/15/2016 Certified 02/01/2016 3
LGX Revised operations manual 11/14/2017 Certified 11/29/2017 3
TRAD Amendment to Tradition SEF, Inc. Fee Schedule 09/06/2018 Certified 09/20/2018 3
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) 10/30/2020 Certified 11/16/2020 3
RADSEF Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. 08/25/2016 Certified 09/09/2016 3
TRAD Amendments to Tradition SEF Rulebook 08/25/2016 Certified 09/09/2016 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 08/13/2015 Certified 08/27/2015 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. 05/01/2018 Certified 05/15/2018 3
ICE SEF ICE Swap Trade, LLC's Weekly Notification of Rule Amendments 05/26/2017 Notified 05/26/2017 3
TRAD Modifications to Rules 101, 102, 209, 304, 308, 309, 311, 403, 404, 405, 409, 412, 503, 509, 510, 511, 512, 529, 706, and 902 within Tradition SEF's Rulebook, as well as other non-substantive revisions. 08/09/2024 Certified 08/23/2024 3
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
ICE SEF ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. 12/14/2015 Certified 12/29/2015 3