Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CMESEF Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 09/22/2015 Certified 10/06/2015 1
NEXSEF Revisions to NEX SEF Limited Form SEF Exhibits to Reflect Changes to the Board of Directors and Officer Composition and, Administrative Amendments NEX/CME Group integration and minor edits to the Compliance Manual. 05/04/2022 Certified 05/18/2022 2
NEXSEF Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider 08/17/2020 Certified 08/31/2020 4
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1
TPSEF Revisions to Rules 4003.D(e) and 4019(a) of the tpSEF Rulebook. 07/07/2021 Certified 07/21/2021 1
LGX Revisions to SEF Rulebook 08/20/2024 10 Day Review 08/20/2024 3
IGDL Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook 07/31/2023 Certified 08/14/2023 1
NEXSEF Revisions to the rulebook of NEX SEF Limited. 10/13/2017 Certified 10/27/2017 3
TRAD Revisions to the StreamGlobal Platform Supplement 12/21/2016 Certified 01/06/2017 2
RF SEF RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). 12/12/2022 Certified 12/27/2022 2
RTX RTX Fintech & Research LLC Amended Fee Schedule 07/22/2024 Certified 08/05/2024 2
RTX RTX revised Fee Schedule 10/19/2023 Certified 11/02/2023 2
IGDL Rule 40.6 Rule Change for revised Fee Card 01/15/2015 Certified 01/30/2015 2
IGDL Rule 40.6 Rule Change for revised Fee Card. I received an error message when I submitted submission 1501-1517-2029-78 that indicated the files did not upload. I am therefore resubmitting to ensure the files were included. 01/15/2015 Certified 01/30/2015 6
IGDL Rule 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
CMSEF Rule Amendment 11/30/2016 Certified 12/14/2016 2
AEGIS Rule Amendment - 4.10.2 - Removes No Action Letter language which is no longer needed per adoption by CFTC of amended rule §37.6 05/20/2024 Notified 05/20/2024 3
CBOESEF Rule amendment made provide more flexibility in the types of records a principal must retain to document trading authorization. Rule amendments made to conform definition of Sponsored Person with prior amendments to Sponsored Access. 04/10/2015 Certified 04/24/2015 1
CBOESEF Rule Amendment related to CFTC No-Action Letter 16-84 06/16/2016 Certified 06/30/2016 3
SWAPX Rule Amendment to Refer to Recent No-Action Letter 06/02/2017 Certified 06/16/2017 4
SWAPX Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments 06/15/2016 Certified 06/29/2016 4
BGC Rule amendments 01/14/2015 Certified 01/29/2015 1
TRAD Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. 07/22/2014 Certified 08/05/2014 4
GFISEF Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. 01/09/2017 Certified 01/24/2017 1
TRAD Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. 12/12/2014 Certified 12/29/2014 2
CBOESEF Rule amendments made to comply with CFTC Letter No. 15-67 07/07/2016 Certified 07/21/2016 1
RADSEF Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. 08/25/2016 Certified 09/09/2016 3
CBOESEF Rule amendments regarding (a) CFTC No Action Letter 15-24, (b) changes to voice trading procedures, and (c) record retention. 08/05/2015 Certified 08/19/2015 2
TRAD Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. 06/30/2021 Certified 07/15/2021 1
CMSEF Rule amendments regarding settlement 04/01/2022 Certified 04/15/2022 1
CBOESEF Rule amendments regarding trading protocols and scope of disciplinary proceedings 01/15/2015 Certified 01/30/2015 1
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
CBOESEF Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. 12/09/2016 Certified 12/23/2016 2
CBOESEF Rule amendments related to new pre-trade credit check functionality for Block Trades. 02/25/2015 Certified 03/11/2015 1
CBOESEF Rule amendments related to Phase 1 Questions 10/16/2015 Certified 10/30/2015 1
CBOESEF Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting 10/16/2015 Certified 10/30/2015 3
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
TDERIV Rule Amendments Related to Sponsored Access. TRUEEX (SEF) #2014-01 02/03/2014 Certified 02/19/2014 1
TDERIV Rule amendments related to the listing of the Physically Deliverable Bitcoin Swap on the trueDigital Division of trueEX 07/15/2019 Certified 07/26/2019 1
INFXSEF Rule amendments to incorporate certain clarifications and updates. 11/14/2014 Certified 12/01/2014 1
RADSEF Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters 03/30/2018 Certified 04/13/2018 3
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
CMSEF Rule Certification 11/06/2020 Certified 11/23/2020 2
DWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
TWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
IGDL Rule certification to amend Rule 902, IGDL's vRFQ protocols. 03/19/2015 Certified 04/02/2015 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
NEXSEF Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3