Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
GFISEF Revised fee schedule 10/30/2014 Certified 11/14/2014 2
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
NEXSEF Revised Fee Schedule, market maker program and discount program 06/12/2017 Certified 06/26/2017 4
GFISEF Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) 02/19/2014 Certified 03/06/2014 1
IGDL Revised Market Maker Program Rulebook 09/17/2014 Certified 10/01/2014 3
LGX Revised operations manual 11/14/2017 Certified 11/29/2017 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
IGDL Revised Rulebook 05/28/2015 Certified 06/11/2015 7
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
IGDL Revised Rulebook and Confidential Chapter 9 05/16/2016 Certified 05/31/2016 4
TRAD Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. 04/01/2021 Notified 04/01/2021 3
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
IGDL Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. 01/30/2015 Certified 02/13/2015 3
TPSEF Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. 08/04/2015 Certified 08/18/2015 1
LGX Revised SEF Exhibit B 09/19/2017 Notified 09/19/2017 1
LGX Revised SEF Rulebook 08/04/2022 Certified 08/18/2022 2
ICAPSEF Revised SEF Rulebook 09/16/2014 Withdrawn 10/01/2014 1
NEXSEF Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. 04/21/2020 Certified 05/05/2020 3
360T Revision of Rulebook and User Guides 11/26/2015 Certified 12/09/2015 14
360T Revision of Rulebook and User Guides. 09/13/2016 Certified 09/27/2016 7
RTX Revision of SEF Compliance Manual 03/07/2024 Certified 03/21/2024 3
RTX Revision of the RTX Fintech & Research LLC Rulebook 05/10/2024 Certified 05/24/2024 2
LGX Revision to LedgerX Rulebook 05/29/2020 Certified 06/12/2020 1
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 Certified 09/04/2024 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
AEGIS Rule 4.4 - Clean up of description of `electronic messaging capability' Rule 4.15.2 - Remove reference to 'electronic communications capability'Rule 9.8 - Correction of rule reference 11/19/2024 Notified 11/19/2024 3
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