Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
NEXSEF Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider 08/17/2020 Certified 08/31/2020 4
LGX Amended Operations Manual 10/18/2017 Certified 11/01/2017 4
SWAPX The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 01/28/2021 Certified 02/11/2021 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 04/02/2015 Certified 04/16/2015 4
ICE SEF ICE Swap Trade, LLC is amending its Compliance Manual. 01/17/2017 Certified 01/31/2017 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and an additional order type. 04/24/2017 Certified 05/08/2017 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 10/08/2014 Certified 10/23/2014 4
SWAPX Amendment of certain trade practice and disciplinary rules 09/15/2016 Certified 09/29/2016 4
SPECTR Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program 01/05/2024 Certified 01/22/2024 4
NEXSEF Revised Fee Schedule, market maker program and discount program 06/12/2017 Certified 06/26/2017 4
NEXSEF Market Regulation Advisory Notices and Rulebook Amendment 12/15/2017 Certified 01/02/2018 4
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
TWSEF TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
MKAXSEF Rulebook changes to reflect recent developments and to provide clarity. 11/09/2016 Certified 11/25/2016 4
DWSEF DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
DWSEF DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
TWSEF TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
SWAPX Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments 06/15/2016 Certified 06/29/2016 4
ICE SEF Amended Block Trade FAQ 12/19/2017 Notified 12/19/2017 4