Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/25/2022 Notified 02/25/2022 1
NEXSEF Modifications to the NEX SEF LATAM EBS NDF Streaming Incentive Program 02/11/2022 Certified 02/28/2022 2
CBOESEF (1) clarify plans relating to Market Maker program and (2) change the Order Review Timeframe in respect of the SEF Order Book and the Full Amount Platform from 70 milliseconds to 35 milliseconds 02/18/2022 Certified 03/07/2022 1
GFISEF Please find attached changes to certain rules to align more closely with the language of the Commission Rules and also amendments made in response to guidance of Commission staff. 02/28/2022 Certified 03/14/2022 1
IGDL IGDL-2022-R-1 - 40.6(a) Rule Certification (3.1.2022) 03/01/2022 Certified 03/15/2022 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/18/2022 Notified 03/18/2022 1
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX/CME Group Integration 03/08/2022 Certified 03/22/2022 8
CBOESEF (1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. 03/17/2022 Certified 03/31/2022 2
CMSEF Rule amendments regarding settlement 04/01/2022 Certified 04/15/2022 1
LGX Rulebook updates 04/08/2022 Certified 04/22/2022 2
RF SEF Pursuant to the instructions in Form SEF regarding amendments to exhibits filed in connection with and approved order of registration, Refinitiv US SEF LLC ("RSEF") hereby submits an amended Exhibit B-1 to its SEF application 04/11/2022 Certified 04/25/2022 1
TWSEF Updates to the TWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 2
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/03/2022 Notified 05/03/2022 1
RF SEF Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. 05/02/2022 Certified 05/16/2022 2
NEXSEF Revisions to NEX SEF Limited Form SEF Exhibits to Reflect Changes to the Board of Directors and Officer Composition and, Administrative Amendments NEX/CME Group integration and minor edits to the Compliance Manual. 05/04/2022 Certified 05/18/2022 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/20/2022 Notified 05/20/2022 1
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-03) 05/20/2022 Certified 06/06/2022 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to more closely align with CFTC Regulations. 06/07/2022 Certified 06/22/2022 1
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) 06/14/2022 Certified 06/29/2022 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 06/15/2022 Certified 06/30/2022 2
IGDL Non-substantive revisions to the IGDL Rulebook and Fee schedule, both effective as of July 1, 2022. 07/01/2022 Notified 07/01/2022 2
IGDL IGDL-2022-R-2 - 40.6(a) Rule Certification (6.16.22) 06/16/2022 Certified 07/01/2022 2
CBOESEF (1) clarify the types and functionality of Orders that may be entered into Cboe SEF's order books and (2) change how Cboe SEF's trading system treats Orders submitted with decimal Notional Amounts. 06/24/2022 Certified 07/11/2022 1
CBOESEF Updates Cboe SEF's governance arrangements. 07/01/2022 Certified 07/18/2022 1
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
CBOESEF The Amendment clarifies the recordkeeping requirements of Participants. 07/08/2022 Certified 07/22/2022 1
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
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
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/18/2022 Certified 08/01/2022 1
LGX Rulebook Amendment 07/27/2022 Certified 08/10/2022 2
LGX Amendments to Participant Agreement 07/28/2022 Certified 08/11/2022 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 08/17/2022 Notified 08/17/2022 1
LGX Revised SEF Rulebook 08/04/2022 Certified 08/18/2022 2
LGX Amendment to Participant Agreement 08/04/2022 Certified 08/18/2022 2
IGDL Amendments to the IGDL SEF Discount Structure Appendix 08/10/2022 Certified 08/24/2022 1
NEXSEF Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS On-SEF UK/US Crossover Market Maker Program 08/17/2022 Certified 08/31/2022 2
CBOESEF Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. 08/18/2022 Certified 09/01/2022 1
CBOESEF Update the appeal provisions under Cboe SEF's Rules. 08/18/2022 Certified 09/01/2022 1
AEGIS Contract Position Accountability Levels Table 08/30/2022 Certified 09/14/2022 1
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
NEXSEF Amendments to the NEX SEF Limited Trading Participant Holder Agreement 09/15/2022 Certified 09/29/2022 2
BSEF Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) 09/15/2022 Certified 09/29/2022 1
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
ISBV Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives 09/30/2022 Certified 10/14/2022 3
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
TWSEF TW SEF Fee Schedule Update 10/11/2022 Certified 10/25/2022 2
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3