Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 06/11/2021 Certified 06/25/2021 4
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
NEXSEF Issuance of Market Advisory Regulatory Notice and Amended Rulebook 08/14/2017 Certified 08/28/2017 4
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
360T Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. 08/04/2015 Certified 08/17/2015 4
LGX LedgerX Updated BCDR Plan 06/13/2021 Certified 06/25/2021 4
TWSEF TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. 09/17/2014 Withdrawn 09/18/2014 4
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
TWSEF Amended TW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
ICAPSEF Amended EBS Trading Protocol and Rules 202, 208 and 315 12/11/2015 Certified 12/28/2015 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 08/07/2015 Certified 08/21/2015 4
SWAPX Updates to various rules, particularly rules concerning data reporting 01/19/2016 Certified 02/02/2016 4
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4
SWAPX Clarifications and updates to existing rules 09/04/2015 Certified 09/21/2015 4
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
IGDL Rule 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
CBOESEF Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." 02/27/2017 Certified 03/13/2017 4
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
ISBV Updated Fee Structure and Incentives to reflect volatile markets. No substantive changes to the quantum of fees or incentives. In addition some conformance changes 07/08/2022 Certified 07/22/2022 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 08/25/2014 Certified 09/09/2014 4
SWAPX Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. 06/16/2021 Certified 07/01/2021 4
TWSEF TW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
BSEF Compliance Manual Amendment 11/30/2016 Certified 12/14/2016 4
IGDL Revised Facility Rulebook 03/24/2015 Certified 04/07/2015 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. 10/26/2016 Certified 11/09/2016 4
SWAPX Rule Amendment to Refer to Recent No-Action Letter 06/02/2017 Certified 06/16/2017 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 12/14/2015 Certified 12/29/2015 4
NEXSEF Revised Fee Program 06/18/2018 Certified 07/02/2018 4
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook to specify the methods of execution available for packages trades. 02/17/2015 Certified 03/03/2015 4
TRAD Implementation of a Trad-X USD IRS Liquidity Provider Program (the "LPP"). 08/02/2019 Certified 08/16/2019 4
ICE SEF ICE Swap Trade, LLC's weekly notification of rule changes. 02/18/2015 Notified 02/18/2015 4
TWSEF TW SEF LLC Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
TWSEF Amendment of Rule 205 (Regulatory Oversight Committee) 02/03/2022 Certified 02/17/2022 4
RADSEF New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references 11/03/2020 Certified 11/18/2020 4
DWSEF DW SEF Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
ISBV iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. 05/12/2021 Certified 05/26/2021 4
ICE SEF ICE Swap Trade, LLC hereby notifies the Commission that it has amended its Rulebook. 01/19/2015 Certified 02/02/2015 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 05/14/2021 Certified 05/28/2021 4
ICE SEF Administrative changes to Rulebook 05/14/2021 Notified 05/14/2021 4
MKAXSEF MarketAccess SEF Corporation has made the rule changes below to update the MarketAccess SEF Rulebook to reflect recent developments and provide clarity. 05/15/2015 Certified 06/01/2015 4
TWSEF Amended TW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4