Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
SWAPX Non-substantive amendment of Rule 513(c) regarding Post-Trade Anonymity. 06/30/2021 Notified 06/30/2021 3
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
TPSEF 40.6(d) Weekly Notification of Rule Amendments 07/02/2021 Notified 07/02/2021 1
CMSEF Rulebook Amendments 06/21/2021 Certified 07/06/2021 1
LGX LedgerX Liquidity Provider Program 06/23/2021 Certified 07/08/2021 3
ICE SEF Update to Board language 07/08/2021 Notified 07/08/2021 4
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
TPSEF Revisions to Rules 4003.D(e) and 4019(a) of the tpSEF Rulebook. 07/07/2021 Certified 07/21/2021 1
IGDL IGDL-2021-R-6 - 40.6(a) Rule Certification (7.7.21) 07/07/2021 Certified 07/21/2021 1
TWSEF TW SEF Fee update for Canadian Dollar Swaps 07/08/2021 Certified 07/22/2021 2
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-06) 07/09/2021 Certified 07/23/2021 1
TWSEF Fee Schedule update for Credit Default Swaps 07/15/2021 Certified 07/29/2021 2
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Compliance Manual (BSEF-2021-R-07) 07/23/2021 Certified 08/06/2021 1
IGDL Amendments to IDGL's Fee Schedule. 07/23/2021 Certified 08/06/2021 2
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Compliance Manual 08/06/2021 Certified 08/20/2021 2
MKAXSEF Rulebook update 08/31/2021 Notified 08/31/2021 3
TWSEF TW SEF Fee update for GBP swaps 08/30/2021 Certified 09/14/2021 3
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/01/2021 Certified 09/16/2021 2
TWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 4
DWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 3
NEXSEF Amendments to Rules 802(1) ("Fixed for Floating IRS") and 802(4) ("Non Deliverable Swaps") in Connection with the Implementation of the 2021 IDSA Interest Rate Derivatives Definitions. 09/17/2021 Certified 10/01/2021 1
NEXSEF Weekly Notification of Rule Amendments - Week of September 27, 2021 10/04/2021 Notified 10/04/2021 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 10/06/2021 Certified 10/21/2021 1
LGX Compliance Manual Version Control 10/22/2021 Notified 10/22/2021 3
NEXSEF Extension of the NEX SEF African & Middle East NDFs Market Maker Program 10/15/2021 Certified 10/29/2021 2
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
LGX Compliance Manual Amendments 10/27/2021 Certified 11/10/2021 3
LGX Weekly notification, withdrawal fee change 11/12/2021 Notified 11/12/2021 1
RADSEF Correct reference or clarify Rules 536 and 537Add product terms and conditions 10/29/2021 Certified 11/15/2021 4
RF SEF The Notice to Participants clarifies that RSEF only facilitates the execution of swaps that are not intended to be cleared, and that any decision to clear trades executed on RSEF is considered to be made post-trade and without Refinitiv SEF's involvement 11/05/2021 Certified 11/22/2021 2
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify rules 203, 204, and 603, and to remove unutilized subsets of rules 602 and 703. 11/05/2021 Certified 11/22/2021 1
NEXSEF Amendments to Rules 802(2) ("Basis Swaps"), 802(3) ("Forward Rate Agreements (FRA)"), and 802(4) ("Non Deliverable Swaps") in Connection with the CFTC Market Risk Advisory Committee Best Practice Advisory re Transition from LIBOR TO SOFR 11/08/2021 Certified 11/23/2021 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2021-R-08) 11/10/2021 Certified 11/26/2021 1
NEXSEF Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. 11/17/2021 Certified 12/02/2021 1
TRAD 40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" 11/17/2021 Certified 12/02/2021 1
BSEF Bloomberg SEF LLC - Certification 2021-R-09 (Notice to Participants) 11/24/2021 Certified 12/09/2021 1
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
IGDL Amendments to IGDL rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
TPSEF Amendments to tpSEF rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
LGX LedgerX revised Rulebook 12/15/2021 Certified 12/30/2021 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-10) 12/15/2021 Certified 12/30/2021 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual 01/05/2022 Certified 01/20/2022 1
CMSEF Rulebook Amendments 01/11/2022 Certified 01/26/2022 2
CBOESEF (1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. 01/14/2022 Certified 01/31/2022 1
LATAM CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 01/20/2022 Certified 02/03/2022 1
SWAPX The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. 01/28/2022 Certified 02/11/2022 1
TWSEF Amendment of Rule 205 (Regulatory Oversight Committee) 02/03/2022 Certified 02/17/2022 4
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook 02/09/2022 Certified 02/24/2022 1