Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(d) of the CFTC's regulations, tpSEF Inc. hereby notifies the CFTC that it has amended Appendix B of the tpSEF Inc. Rulebook effective as of May 3, 2016. 05/04/2016 Notified 05/04/2016 1
RADSEF Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. 04/15/2016 Certified 04/29/2016 3
GTX Amendment to Rulebook. 04/07/2016 Certified 04/21/2016 5
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and clarify the process by which IST intends to implement and enforce certain of its rules. 04/05/2016 Certified 04/19/2016 12
CMSEF SEF Rulebook Amendment 04/05/2016 Certified 04/19/2016 1
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
BGC Amending the rulebook to include additional clearing organizations. 03/31/2016 Certified 04/14/2016 1
TRAD Amendments to Tradition SEF Trad-X Platform Supplement. 03/31/2016 Certified 04/14/2016 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 amended Rulebook will become effective on April 12, 2016. 03/28/2016 Certified 04/11/2016 1
TDERIV notification of changes in trading hours 04/07/2016 Notified 04/07/2016 1
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
IGDL Revised Discount Structure Appendix 03/17/2016 Certified 03/31/2016 2
TDERIV self-certification of fees on the SEF Trading System 03/17/2016 Certified 03/31/2016 1
CBOESEF Change in trading hours 02/25/2016 Certified 03/10/2016 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/24/2016 Certified 03/09/2016 2
CMSEF Amendment to SEF Rulebook 02/24/2016 Certified 03/09/2016 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. 02/23/2016 Certified 03/08/2016 5
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
IGDL Revised Fee Card and Discount Program 02/16/2016 Certified 03/01/2016 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/17/2016 Withdrawn 02/24/2016 4
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
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
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
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
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
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
TRAD Amendments to Tradition SEF Rulebook. 01/11/2016 Certified 01/26/2016 2
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
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
GFISEF Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions 01/04/2016 Certified 01/19/2016 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
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
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
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
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
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
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