Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
IGDL Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
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
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 12/01/2015 Certified 12/15/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Fee Schedule. 12/01/2015 Certified 12/15/2015 2
CMESEF Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) 12/03/2015 Certified 12/17/2015 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
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 22, 2015. 12/07/2015 Certified 12/21/2015 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on December 23, 2015. 12/08/2015 Certified 12/22/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended its participant fee schedule. The amended participant fee schedule will become effective on January 1, 2016. 12/09/2015 Certified 12/23/2015 1
TDERIV self-certification of fees on the SEF Trading System 12/09/2015 Certified 12/23/2015 1
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
ICAPSEF Amended EBS Trading Protocol and Rules 202, 208 and 315 12/11/2015 Certified 12/28/2015 4
SWAPX Amendments and updates to various rules. 12/14/2015 Certified 12/29/2015 10
ICE SEF ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. 12/14/2015 Certified 12/29/2015 3
GFISEF Rulebook amendments 12/14/2015 Certified 12/29/2015 1
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
DWSEF DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
TWSEF TW SEF Cover Letter re MRAN (12.16.15)TW SEF MRAN - Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
ICE SEF ICE Swap Trade, LLC is issuing guidance with respect to Rule 525(g) "Mid-Market Order" type. 12/16/2015 Certified 12/31/2015 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 12/17/2015 Certified 01/04/2016 3
CMESEF Elimination of CME SEF Rule 524 ("Uncleared Swaps") 12/18/2015 Certified 01/05/2016 1
MKAXSEF MarketAccess SEF Corporation has updated Exhibit Q-2 to reflect recent developments and provide clarity. 12/18/2015 Certified 01/05/2016 4
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
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
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
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 12/22/2015 Certified 01/07/2016 2
CBOESEF Rule amendments related to Phase 3 and 4 Questions, Part 43 and 45 Questions, corrections of typographical errors, and clarification of product specifications. 12/29/2015 Certified 01/13/2016 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/13/2016 Withdrawn 01/14/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The date of intended implementation of the amended Rulebook is January 15, 2016. 12/30/2015 Certified 01/14/2016 1
GFISEF Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions 01/04/2016 Certified 01/19/2016 1
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed rule amendments. 01/05/2016 Certified 01/20/2016 1
DWSEF DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) 01/07/2016 Certified 01/22/2016 2
TRAD Amendments to Tradition SEF Rulebook. 01/11/2016 Certified 01/26/2016 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on January 27, 2016. 01/12/2016 Certified 01/27/2016 1
TRAD Amendments to Tradition SEF Trad-X, Volbroker and StreamGlobal Platform Supplements. 01/12/2016 Certified 01/27/2016 2
BSEF Notice to Participants 01/14/2016 Certified 01/29/2016 1
BSEF Notice to Participants 01/14/2016 Certified 01/29/2016 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/14/2016 Certified 01/29/2016 1
TWSEF Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols 01/15/2016 Certified 02/01/2016 3
TWSEF Amended TW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
BGC More detail regarding the Voice Work-Up trading process 01/15/2016 Certified 02/01/2016 1
SWAPX Updates to various rules, particularly rules concerning data reporting 01/19/2016 Certified 02/02/2016 4
BSEF Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF LLC will release the Notice to Participants attached on January 19, 2016, to become effective on February 3, 2016. 01/19/2016 Certified 02/02/2016 1
BSEF Bloomberg SEF LLC hereby submits its revised Rulebook, effective as of February 4, 2016. 01/20/2016 Certified 02/03/2016 1
IGDL Rule 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4