Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
TRAD Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. 07/22/2014 Certified 08/05/2014 4
SWAPX Various amendments that generally clarify existing rules. 11/25/2014 Certified 12/10/2014 4
ICE SEF Weekly notification of rule amendments 07/02/2019 Notified 07/02/2019 4
MKAXSEF MarketAccess SEF Corporation has updated Exhibit Q-2 to reflect recent developments and provide clarity. 12/18/2015 Certified 01/05/2016 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. 09/09/2014 Certified 09/23/2014 4
SWAPX Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. 06/02/2015 Certified 06/16/2015 4
DWSEF DW SEF Rulebook Amendments 04/11/2018 Certified 04/25/2018 4
ICE SEF Adjustment to ICE Swap Trade Trading Hours 03/30/2021 Notified 03/30/2021 4
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4
IGDL Amended Facility Rulebook 01/26/2015 Certified 02/09/2015 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Block Trade FAQ in order to affect certain administrative/clerical revisions. 03/23/2016 Certified 04/06/2016 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions. 02/01/2017 Certified 02/15/2017 4
RADSEF Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions 12/16/2020 Certified 12/31/2020 4
AEGIS Rulebook and Exhibit N-1 Participant Agreement amended to allow for Block Trades 12/10/2024 10 Day Review 12/10/2024 4
TWSEF TW SEF LLC - Amended Rulebook 12/01/2014 Certified 12/15/2014 4
SWAPX Amendments to SwapEx Rulebook 07/13/2015 Certified 07/27/2015 4
IGDL Revised Rulebook and Confidential Chapter 9 05/16/2016 Certified 05/31/2016 4
AEGIS Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule 07/26/2022 Notified 07/26/2022 4
TWSEF Amended TW SEF Rulebook 10/29/2015 Certified 11/13/2015 4
ICE SEF Update to Board language 07/08/2021 Notified 07/08/2021 4
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4
TDERIV Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. 09/21/2016 Certified 10/05/2016 4
TWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 4
NEXSEF Amendments to NEX SEF Limited Rulebook and Compliance Manual 03/13/2023 Certified 03/27/2023 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook. 09/21/2016 Certified 10/05/2016 4
ISBV Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated 04/29/2024 Certified 05/13/2024 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. 07/17/2015 Certified 07/31/2015 4
ICE SEF Administrative edits to IST Rulebook 02/15/2021 Notified 02/15/2021 4
RADSEF Correct reference or clarify Rules 536 and 537Add product terms and conditions 10/29/2021 Certified 11/15/2021 4
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/17/2016 Withdrawn 02/24/2016 4
ICE SEF ICE Swap Trade, LLC - weekly notification of rule changes. 11/14/2018 Notified 11/14/2018 4
TRAD Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. 03/18/2019 Certified 04/01/2019 4
ICE SEF Updating a reference from an expiring CFTC No-Action Letter to the current iteration 11/18/2020 Notified 11/18/2020 4
ICE SEF The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. 09/20/2017 Certified 10/04/2017 4
LGX LedgerX revised Participant Agreement 05/28/2021 Certified 06/14/2021 4
ICAPSEF Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
IGDL Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
360T Various amendments to 360T Rulebook 12/24/2014 Certified 01/09/2015 5
FTSEF Amendments to FTSEF Product Specifications and FTSEF Rules 101, 202, 205, 212, 301, 317, 401, 402, 403, 404, 405, 408, 409, 503, 602, 703, 924,1001, 1003, 1011, 1012, 1013, 1016, Chapter 13 04/01/2016 Certified 04/15/2016 5
NEXSEF Certification of amendments to NEX SEF Rulebook and issuance of a Market Regulation Advisory Notice 04/17/2018 Certified 05/01/2018 5
GTX Amendment to Rulebook. 04/07/2016 Certified 04/21/2016 5
360T Rulebook and User Guides updated in view of CFTC comments and participant queries. 09/30/2015 Certified 10/14/2015 5
ICE SEF ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. 12/19/2016 Certified 01/04/2017 5
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 08/10/2017 Certified 08/24/2017 5
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
CMESEF Amendments to Chapter 4 ("Enforcement of Rules") 11/29/2016 Certified 12/13/2016 5
AEGIS Updates to AEGIS Markets Rulebook and Exhibit K (Fee Schedule) 12/05/2024 Notified 12/05/2024 5