Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TDERIV Non-substantive and typographical and grammatical rulebook revisions. 07/22/2014 Certified 08/05/2014 2
TDERIV Weekly notification of non-substantive rulebook revisions. 08/05/2014 Notified 08/05/2014 2
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
CBOESEF Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. 07/21/2014 Certified 08/04/2014 3
CMESEF Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief 07/18/2014 Certified 08/01/2014 2
BGC Resubmission of Rule 505 - Contract Specifications are being amended to provide that persons entering into pre-discussed trades or cross trades in the specified Interest Rate Swaps, must wait at least 5 seconds after the Initial Order. BGC #2013-03 01/30/2014 Certified 07/29/2014 7
BSEF Bloomberg SEF LLC - Rule amendment - Amended Rulebook, (letter dated November 8, 2013) : Exhibit A, Exhibit B, Exhibit C, Cover Sheet 2013-R-7 11/12/2013 Certified 07/29/2014 1
TPSEF tpSEF Inc. Amended Fee Schedule (January 31, 2014) 02/03/2014 Certified 07/29/2014 1
TPSEF tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) 02/21/2014 Certified 07/29/2014 1
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - Specifically Rules 204, 404, 503 and 506 ICAP 2014-R-6 07/11/2014 Certified 07/25/2014 0
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook IGDL - 2014-R-4 07/11/2014 Certified 07/25/2014 0
BSEF Bloomberg SEF LLC - Rule Amendment - Revised Fees 07/10/2014 Certified 07/24/2014 1
RF SEF Thomas Reuters - Amendments to Rulebook - Submission #14-03 07/08/2014 Certified 07/23/2014 1
GFISEF GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. 07/03/2014 Certified 07/19/2014 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 07/02/2014 Certified 07/18/2014 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 07/02/2014 Certified 07/18/2014 1
IGDL Revised Facility Rulebook 07/15/2014 Withdrawn 07/18/2014 5
GFISEF GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 07/01/2014 Certified 07/17/2014 1
TDERIV Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S 06/30/2014 Certified 07/16/2014 1
TDERIV Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR 06/30/2014 Certified 07/16/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective July 1, 2014 Submission #2014-R-4 06/27/2014 Certified 07/15/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A 06/27/2014 Certified 07/15/2014 1
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A 06/27/2014 Certified 07/15/2014 1
GFISEF Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 06/27/2014 Certified 07/15/2014 1
SWAPX SwapEX LLC - Rule Amendments - effective July 15, 2014 06/27/2014 Certified 07/15/2014 1
TDERIV Rulebook amendments to remove all references to Regulatory Service Provider and related terms. TRUEEX #2014-11S 06/26/2014 Certified 07/12/2014 1
IGDL Rulebook Amendment, specifically Rule 204. IGDL #2014-R-3 06/26/2014 Certified 07/12/2014 1
ICAPSEF ICAP SEF - Amended Rulebook - ICAPSEF #2014-R4 06/26/2014 Certified 07/12/2014 1
TRAD Tradition SEF, Inc. - Rulebook Amendments - TRAD #14-18 06/26/2014 Certified 07/12/2014 1
TPSEF tpSEF Inc - Rulebook Amendments - effective July 14, 2014 (Submission 14-04R) 06/26/2014 Certified 07/12/2014 1
TDERIV Various Rule Amendments - TRUEEX #2014-12S 06/26/2014 Certified 07/12/2014 1
TRAD Notification of Amendments to Tradition SEF, Onc. Rulebook. TRAD #14-18 06/25/2014 Certified 07/11/2014 1
ICE SEF ICE Swap Trade, LLC - Rulebook Amendments - Effective July 9, 2014 06/25/2014 Certified 07/11/2014 1
GFISEF Withdrawal of Registration Submission #14-0012W 06/25/2014 Certified 07/11/2014 1
ICE SEF ICE Swap Trade LLC - Rule Amendment - Revised Error Trade Policy. ICE SEF #14-20 06/25/2014 Certified 07/11/2014 1
MKAXSEF MarketAxess SEF Corporation - Updated Rulebook - effective July 11, 2014 06/25/2014 Certified 07/11/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective June 21, 2014 06/20/2014 Certified 07/08/2014 1
GFISEF GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M 06/18/2014 Certified 07/03/2014 1
MKAXSEF MarketAxess SEF Corporation - Updated its Rulebook to reflect recent developments and to provide clarity. Effective June 30, 2014 06/16/2014 Certified 07/01/2014 1
GTX GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 06/16/2014 Certified 07/01/2014 1
TPSEF tpSEF Inc. Rulebook Amendments - Submission #14-03R - July 1, 2014 06/16/2014 Certified 07/01/2014 1
GTX GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 06/13/2014 Certified 06/28/2014 1
ICE SEF ICE Swap Trade LLC - Rule Amendment - Amended Rulebook Submission #14-18 Effective June 27, 2014 06/13/2014 Certified 06/28/2014 1
TPSEF tpSEF Inc. - Amending its Fee Schedule -- TPSEF Submission #14-02F 06/12/2014 Certified 06/27/2014 1
GFISEF GFI Swaps Exchange Submission #14-0012 - Rule Amendments to GFI Rules 101, 401, 405, 525, 538, 541 06/11/2014 Certified 06/26/2014 1
CBOESEF Javelin SEF, LLC - New Fee Schedule - Submission #14-07 06/10/2014 Certified 06/25/2014 0
GFISEF GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M 06/09/2014 Certified 06/24/2014 1