Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 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
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
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
IGDL Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
ICE SEF Part 40 Rule Amendment - Amended Fee Schedule 05/09/2017 Certified 05/23/2017 3
ISBV Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct\r\n24). Page 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. 07/17/2024 10 Day Review 07/17/2024 3
NEXSEF Updates to rulebook that specify Pre-Arranged Crosses may only be intermediated by bulk risk mitigation services. Update to table of contents. 02/13/2020 Certified 02/28/2020 3
NEXSEF Amended Rulebook 08/27/2018 Certified 09/11/2018 3
TWSEF TW SEF Fee update for GBP swaps 08/30/2021 Certified 09/14/2021 3
IGDL Amended Rulebook 09/23/2016 Certified 10/07/2016 3
NEXSEF Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. 10/26/2023 Certified 11/09/2023 3
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook Submission 14-02 (February 11, 2014) 02/12/2014 Withdrawn 04/30/2014 Stay applies to (1) Definition of "Packaged Transaction"; and (2) Rule 701(a) and (k) in ICE Swap Trade, LLC Rulebook 3
MKAXSEF Rulebook update 08/31/2021 Notified 08/31/2021 3
TRAD CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. 07/24/2023 Certified 08/07/2023 3
BGC BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. 07/24/2023 Certified 08/07/2023 3
TRAD Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. 05/31/2018 Certified 06/14/2018 3
360T 360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. 11/26/2013 Certified 12/12/2013 3
NEXSEF Amended Rulebook and Confidential Trading Protocols 12/08/2017 Certified 12/22/2017 4
TWSEF Amended TW SEF Rulebook 10/03/2016 Certified 10/18/2016 4
TWSEF Amended TW SEF Rulebook 09/30/2015 Certified 10/15/2015 4
DWSEF DW SEF Amended Rulebook 09/30/2015 Certified 10/15/2015 4
SWAPX Amendment of Rule 525 to reflect recent CFTC no-action letter 03/31/2017 Certified 04/14/2017 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to clarify the process by which IST intends to implement and enforce certain of its rules and respond to guidance received from the Commission. 07/14/2016 Certified 07/28/2016 4
GFISEF Miscellaneous Rulebook amendments 12/31/2014 Certified 01/15/2015 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 04/19/2021 Certified 05/03/2021 4
360T 360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. 03/13/2015 Certified 03/27/2015 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. 09/30/2015 Certified 10/15/2015 4
NEXSEF Rulebook Amendments 10/05/2017 Certified 10/20/2017 4
NEXSEF Amendments to Chapter 5 ("Rule Enforcement") and Rule 901 ("System Protocols") of the NEX SEF Limited Rulebook (Form SEF Exhibit M) and the Trade Practice Review Program of the NEX SEF Compliance Manual (Form SEF Exhibit O3) 07/28/2023 Certified 08/11/2023 4
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
LGX Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. 06/11/2018 Certified 06/25/2018 4
TWSEF Amendments to TW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4