Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 12/17/2015 Certified 01/04/2016 3
CBOESEF Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting 10/16/2015 Certified 10/30/2015 3
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
IGDL Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
RADSEF TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants 06/15/2016 Certified 06/29/2016 3
LGX Compliance Manual Version Control 10/22/2021 Notified 10/22/2021 3
RF SEF This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF 11/20/2023 Notified 11/20/2023 3
NEXSEF Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) 05/21/2020 Certified 06/05/2020 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
TRAD Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement 03/29/2018 Certified 04/12/2018 3
RADSEF Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters 03/30/2018 Certified 04/13/2018 3
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
TDERIV Notice of change to execution fees charged to respondents trading on the trueEX Trading System. 03/04/2019 Certified 03/18/2019 3
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
CBOESEF Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. 07/21/2014 Certified 08/04/2014 3
SWAPX Non-substantive amendment of Rule 513(c) regarding Post-Trade Anonymity. 06/30/2021 Notified 06/30/2021 3
NEXSEF Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3
SPECTR Submission of SpectrAxe's Reverse Give Up Credit Program 08/29/2024 Certified 09/13/2024 3
SEED CX An updated rulebook, modified during usual review of rule consistencies and market structure. 09/01/2017 Certified 09/18/2017 3
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
ICE SEF 2019 Trading and Holiday Schedule 12/10/2018 Notified 12/10/2018 3
CBOESEF Rule Amendment related to CFTC No-Action Letter 16-84 06/16/2016 Certified 06/30/2016 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 07/10/2015 Certified 07/24/2015 3
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
TRAD Amendment of platform trading hours for USD, EUR and GBP currencies on Tradition SEF Platform Supplement 1 effective October 17, 2024. 10/02/2024 Certified 10/17/2024 3
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
LGX Compliance Manual Amendments 10/27/2021 Certified 11/10/2021 3
SEED CX As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. 09/11/2017 Certified 09/25/2017 3
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
TRAD Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. 04/01/2021 Notified 04/01/2021 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Amended Rulebook 12/13/2016 Certified 12/28/2016 3
IGDL Amended Rulebook 12/13/2016 Certified 12/28/2016 3
FTSEF The Rulebook has been amended to update certain No Action Letters on which it relies. 03/13/2019 Certified 03/27/2019 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. 05/23/2018 Certified 06/07/2018 3
360T 360 Trading Networks Inc. ("360T") hereby files the attached amendments to its Fee Schedule for 360T Participants. The Fee Schedule has been amended in response to 360T business development. 04/30/2019 Certified 05/14/2019 3
GFISEF GFI is amending the terms and conditions of its Rulebook, GFI SEF Rule 1101, and Appendix A - Contract Specifications to incorporate equity index swaps, option on variance swaps, and volatility swaps, as well as additional underlying indices for equities. 11/26/2024 Certified 12/10/2024 3
SWAPX Amendment of a market advisory notice previously certified as a rule 07/14/2015 Certified 07/28/2015 3
DWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 3
ISBV iSwap submits amendments to its Fee Structures and Incentives, which has been amended to highlight transaction and execution fees for the Targeted Streaming Market. The Program will incentivize liquidity and volume on the iSwap Venue. 12/13/2024 10 Day Review 12/13/2024 3
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
RTX Revision of SEF Compliance Manual 03/07/2024 Certified 03/21/2024 3
IGDL Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. 01/30/2015 Certified 02/13/2015 3
ICAPSEF Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3