Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 02/23/2024 Certified 03/08/2024 1
TDERIV self-certification of fees on the SEF Trading System 03/17/2016 Certified 03/31/2016 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of May 15, 2020. 05/20/2020 Notified 05/20/2020 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/18/2022 Certified 08/01/2022 1
LGX LedgerX Fee Schedule Update 09/23/2020 Notified 09/23/2020 1
IGDL Notification of Amendments to Rulebook. 01/29/2021 Certified 02/12/2021 1
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook 02/09/2022 Certified 02/24/2022 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(d), tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B to its Rulebook effective as of the date hereof. 12/18/2015 Notified 12/18/2015 1
TPSEF Notification of Amendments to Rulebook 01/29/2021 Certified 02/12/2021 1
TPSEF Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. 11/19/2013 Certified 12/05/2013 1
CMESEF Elimination of CME SEF Rule 524 ("Uncleared Swaps") 12/18/2015 Certified 01/05/2016 1
BSEF Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) 05/21/2020 Certified 06/05/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 01/29/2021 Notified 01/29/2021 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) 05/21/2020 Certified 06/05/2020 1
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) 12/12/2013 Certified 12/28/2013 1
ICAPSEF ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. 04/03/2014 Certified 04/18/2014 1
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF - effective June 21, 2014 BSEF 2014-R-3 06/06/2014 Certified 06/21/2014 1
TDERIV self certification of fees for the SEF Trading System 11/06/2016 Certified 11/21/2016 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. 12/14/2020 Certified 12/29/2020 1
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
CBOESEF Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 04/04/2014 Certified 04/19/2014 1
GFISEF GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M 06/09/2014 Certified 06/24/2014 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
BSEF Amended governance documentation (Operating Agreement and Information About Board of Directors) 05/22/2020 Certified 06/05/2020 1
DWSEF DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) 12/21/2015 Certified 01/06/2016 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
TPSEF Updates to Appendix B to the tpSEF Rulebook - Swap Specifications 12/15/2017 Notified 12/15/2017 1
TDERIV Notification of SEF pricing structure effective 11/3/15 10/20/2015 Certified 11/03/2015 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of February 28, 2019. 03/04/2019 Notified 03/04/2019 1
BGC Amendment to the Volume Match and Volume Match prices rules. 05/27/2015 Certified 06/10/2015 1
IGDL Notification of certain non-substantive revisions to the ICAP Global Derivatives Limited Rulebook effective as of March 1, 2019. 03/04/2019 Notified 03/04/2019 1
BGC Technical corrections and amendments to rules. 05/27/2015 Certified 06/10/2015 1
BSEF CFTC Regulation 40.6(a) Certification: Amendment to the Bloomberg SEF LLC Rulebook 05/23/2024 Certified 06/07/2024 1
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
BSEF Rulebook Amendment 04/27/2017 Certified 05/11/2017 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook related to § 37.6 amendments and other grammatical amendments 05/24/2024 Certified 06/10/2024 1
IGDL Amendment to IGDL's Rulebook. 12/18/2017 Certified 01/03/2018 1
TRAD Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. 06/30/2021 Certified 07/15/2021 1
CBOESEF Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 06/09/2014 Certified 06/24/2014 1
TDERIV Change of exchange opening hours 08/14/2018 Notified 08/14/2018 1
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 1
IGDL Amended Rulebook 11/29/2017 Certified 12/13/2017 1
SEED CX Updating Various Rules in the Seed SEF Rulebook 08/14/2019 Certified 08/28/2019 1
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
CBOESEF Introduction of Order Operator ID and amendments to Authorized Trader registration. 05/31/2023 Certified 06/14/2023 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. 02/04/2021 Notified 02/04/2021 1
BSEF Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. 05/31/2023 Certified 06/14/2023 1
IGDL Non-substantive revisions to the IGDL Rulebook effective February 12, 2021. 02/04/2021 Notified 02/04/2021 1
ICE SEF ICE Swap Trade - Rulebook amendments: clarify the process by which IST intends to implement and enforce its rules; responding to relevant CFTC guidance/comments. ICE SEF #14-08 03/18/2014 Certified 04/02/2014 1