Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE SEF Administrative edits to IST Rulebook 02/15/2021 Notified 02/15/2021 4
CMESEF Adoption of CME SEF Recordkeeping and Reporting Policy 01/28/2015 Certified 02/11/2015 1
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1
CMESEF Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" 10/06/2016 Certified 10/21/2016 1
NEXSEF Adoption of New Rule 318 ("Post-Trade Anonymity") 11/04/2020 Certified 11/19/2020 3
SWAPX Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". 06/03/2019 Certified 06/17/2019 1
SWAPX Advisory Notices to SwapEx Market Participants 01/20/2015 Certified 02/03/2015 1
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
ICE SEF Amended Block Trade FAQ 12/19/2017 Notified 12/19/2017 4
BSEF Amended Compliance Manual 04/02/2018 Certified 04/16/2018 2
BSEF Amended Compliance Manual (BSEF-2018-R-08) 11/01/2018 Certified 11/16/2018 2
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
DWSEF Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4
DWSEF Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP 07/22/2016 Certified 08/05/2016 6
ICAPSEF Amended EBS Trading Protocol and Rules 202, 208 and 315 12/11/2015 Certified 12/28/2015 4
NEXSEF Amended Facility Rulebook 07/17/2019 Certified 07/31/2019 6
IGDL Amended Facility Rulebook 01/26/2015 Certified 02/09/2015 4
IGDL Amended Facility Rulebook and Trading Privilege Holder Agreement 11/07/2014 Certified 11/24/2014 1
IGDL Amended Fee Card 10/17/2014 Certified 10/31/2014 2
IGDL Amended Fee Card 08/17/2016 Certified 08/31/2016 2
ICAPSEF Amended Fee Card 08/17/2016 Certified 08/31/2016 2
ICAPSEF Amended fee card and discount program documents. 04/12/2017 Certified 04/26/2017 2
NEXSEF Amended Fee Program 07/18/2019 Certified 08/01/2019 2
NEXSEF Amended Fee Program 08/03/2018 Certified 08/17/2018 2
NEXSEF Amended Fee Program 07/17/2017 Certified 07/31/2017 2
NEXSEF Amended Fee Program 08/08/2017 Certified 08/22/2017 2
DWSEF Amended Fee Schedule 06/15/2017 Certified 06/29/2017 1
TWSEF Amended Fee Schedule for CAD Swaps for API Participants 11/28/2016 Certified 12/12/2016 1
TWSEF Amended Fees Schedules 09/12/2016 Certified 09/26/2016 3
ICAPSEF Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
IGDL Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
ICAPSEF Amended Form SEF pursuant to Regulation 37.3(b)(3) 08/11/2016 Certified 08/25/2016 5
BSEF Amended governance documentation (Operating Agreement and Information About Board of Directors) 05/22/2020 Certified 06/05/2020 1
BSEF Amended its Rulebook in response to comments and questions; and to add rules regarding methods of using BSEF's SEF. BSEF #2013-R-11 01/30/2014 Certified 02/14/2014 1
ICE SEF Amended its SEF Fee Schedule ICE SEF Submission #14-03 02/21/2014 Withdrawn 02/27/2014 1
TDERIV Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. 09/21/2016 Certified 10/05/2016 4
MKAXSEF Amended MarketAxess application for registration as a SEF. (October 17, 2013) 10/17/2013 Certified 11/01/2013 0
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
LGX Amended Operations Manual 10/18/2017 Certified 11/01/2017 4
MKAXSEF Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 12/11/2013 Certified 12/27/2013 1
BGC Amended Rule 403(b) to reference Rule 515. 05/30/2024 Certified 06/13/2024 2
GFISEF Amended Rule 406(b) to include 37.6(b) and 37.6(b)(1) incorporating documents for uncleared swaps and the ability to request docs for regulatory review should the commission ask for specific documents. \r\n Amended Rule 541(a) for SEF notification. 05/30/2024 Certified 06/13/2024 2
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
IGDL Amended Rulebook 11/29/2017 Certified 12/13/2017 1
ICAPSEF Amended Rulebook 12/13/2016 Certified 12/28/2016 3
IGDL Amended Rulebook 12/13/2016 Certified 12/28/2016 3