Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 04/02/2015 Certified 04/16/2015 4
ICE SEF ICE Swap Trade, LLC is amending its Trading Hours. 02/18/2015 Certified 03/04/2015 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 revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/06/2015 Certified 03/20/2015 6
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
ICE SEF ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. 03/24/2015 Certified 04/07/2015 2
ICE SEF ICE Swap Trade, LLC is submitting Certification under 40.6(a) amending its current SEF Fee Schedule. Please note that ICE Swap Trade has requested confidential treatment for this filing. 10/02/2014 Certified 10/17/2014 3
ICE SEF ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. 12/19/2016 Certified 01/04/2017 5
ICE SEF ICE Swap Trade, LLC Rule Amendment - Amended Rulebook Submission 13-07 The Rulebook will become effective on November 7, 2013. 10/25/2013 Certified 11/09/2013 1
ICE SEF ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. 12/14/2015 Certified 12/29/2015 3
ICE SEF ICE Swap Trade, LLC's Weekly Notification of Rule Amendments 05/26/2017 Notified 05/26/2017 3
ICE SEF ICE Swap Trade, LLC's weekly notification of rule changes. 02/18/2015 Notified 02/18/2015 4
IGDL IGDL has revised its Fee Schedule 10/15/2015 Certified 10/29/2015 2
IGDL IGDL-2020-R-6 - 40.6(a) Rule Certification (10.19.2020) 10/19/2020 Certified 11/02/2020 2
IGDL IGDL-2021-R-4 - 40.6(a) Rule Certification (4.1.2021) 04/01/2021 Certified 04/15/2021 2
IGDL IGDL-2021-R-6 - 40.6(a) Rule Certification (7.7.21) 07/07/2021 Certified 07/21/2021 1
IGDL IGDL-2022-R-1 - 40.6(a) Rule Certification (3.1.2022) 03/01/2022 Certified 03/15/2022 2
IGDL IGDL-2022-R-2 - 40.6(a) Rule Certification (6.16.22) 06/16/2022 Certified 07/01/2022 2
BGC Implementation document for an incentive program. 04/10/2015 Certified 04/24/2015 2
TRAD Implementation of a Trad-X USD IRS Liquidity Provider Program (the "LPP"). 08/02/2019 Certified 08/16/2019 4
CBOESEF Implementation of market maker program. 12/01/2022 Certified 12/15/2022 1
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 02/27/2023 Certified 03/13/2023 1
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 03/20/2023 Certified 04/03/2023 1
RF SEF Incentive program waiving the API fee for new liquidity providers pricing on PriceStream only until June 30, 2025 11/25/2024 Certified 12/10/2024 1
LGX Inclusion of new d/b/a MIAX Derivatives Exchange in Rulebooks 06/07/2024 Notified 06/07/2024 1
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
RF SEF Incorporate rules requiring SEF Participants to notify LSEG SEF, prior to entering into any Prime Broker Trades, of their intent to use the services of Prime Broker(s) as well as identity the name of such Prime Broker(s). 08/02/2024 Certified 08/16/2024 1
NEXSEF Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 02/15/2019 Notified 02/15/2019 3
INFXSEF INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. 10/25/2013 Certified 11/09/2013 1
INFXSEF INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) 12/17/2013 Certified 01/03/2014 1
INFXSEF INFX SEF, Inc. - Amendments to Rulebook: incorporated requested changes by Commission staff - Notice 13-06(a) (Letter dated December 20, 2013) 12/20/2013 Certified 01/08/2014 1
CBOESEF Introduction of Order Operator ID and amendments to Authorized Trader registration. 05/31/2023 Certified 06/14/2023 1
CBOESEF Introduction of second SEF Trading System in LD4. 05/02/2023 Certified 05/16/2023 1
ICE SEF Issuance of a "SEF Notice" concerning acceptable trading protocols under SEF Rule 702 (Brokered Trades). ICE SEF #14-09 03/19/2014 Certified 04/03/2014 1
NEXSEF Issuance of Market Advisory Regulatory Notice and Amended Rulebook 08/14/2017 Certified 08/28/2017 4
NEXSEF Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. 11/17/2021 Certified 12/02/2021 1
NEXSEF Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2024-01 Regarding Amendments to the Operational Parameters Annex 06/05/2024 Certified 06/20/2024 2
ISBV iSwap Euro B.V. - Rulebook Amendment 11/01/2024 Certified 11/15/2024 8
ISBV iSwap Euro B.V. hereby submits a notification regarding products listed for trading andamendments to its Rulebook related to the definition of a "Business Day" and revisions toRule 18.4. 12/16/2020 Certified 12/31/2020 8
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 04/19/2021 Certified 05/03/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 06/11/2021 Certified 06/25/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 05/14/2021 Certified 05/28/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 02/25/2021 Certified 03/11/2021 12
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 04/20/2021 Certified 05/04/2021 8
ISBV iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. 05/12/2021 Certified 05/26/2021 4
ISBV iSwap submits amendments to its Fee Structures and Incentives, which has been amended to highlight transaction and execution fees for the Targeted Streaming Market. The Program will incentivize liquidity and volume on the iSwap Venue. 12/13/2024 10 Day Review 12/13/2024 3
CBOESEF Javelin Rule Amendments to Rules 302, ..., 323, 407, 408, 504, ..., 523, ..., 901 JAVSEF #14-01 01/30/2014 Certified 02/14/2014 1
CBOESEF Javelin SEF amended Rules 203, 311, 313, 408, 504,..., 727. Submission No. 14-04 March 21, 2014 03/21/2014 Certified 04/05/2014 1