Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules are technical corrections, clarifications and adjustments to rule language based upon guidance received from the staff of the Commodity Futures Trading Commission ("CFTC"). 11/03/2014 Certified 11/18/2014 2
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. 09/17/2014 Withdrawn 09/18/2014 4
RF SEF The Notice to Participants clarifies that RSEF only facilitates the execution of swaps that are not intended to be cleared, and that any decision to clear trades executed on RSEF is considered to be made post-trade and without Refinitiv SEF's involvement 11/05/2021 Certified 11/22/2021 2
CBOESEF The proposed changes seek to modify the Order Review Timeframe for each of the SEF Order Book and the Full Amount Platform from 100 to 70 milliseconds. 04/16/2021 Certified 04/30/2021 1
AEGIS The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. 10/14/2022 Certified 10/28/2022 3
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
AEGIS The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. 10/19/2022 Certified 11/02/2022 6
RF SEF The rule amendments have been made to introduce voluntary clearing of NDFs. 03/11/2024 Certified 03/25/2024 2
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
TWSEF The Rulebook has been amended in order to implement certain requirements with respect to error trades related to CFTC No-Action Letter 20-01. 04/09/2020 Certified 04/23/2020 2
RF SEF The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) 02/12/2021 Certified 03/01/2021 2
360T The Rulebook has been amended in response to 360T functionality development. 04/17/2020 Certified 05/01/2020 6
SWAPX The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. 01/28/2022 Certified 02/11/2022 1
SWAPX The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 01/28/2021 Certified 02/11/2021 4
RF SEF The Rulebook has been amended to incorporate amendments to CFTC Regulation 37.6(b) relating to uncleared swap confirmation requirements. 05/29/2024 10 Day Review 05/29/2024 2
FTSEF The Rulebook has been amended to update certain No Action Letters on which it relies. 03/13/2019 Certified 03/27/2019 3
BSEF The Rulebook of Bloomberg SEF LLC ("Bloomberg SEF") has been amended in response to comments and questions received from the staff of the Commodity Futures Trading Commission, as well as potential users of Bloomberg SEF's swap execution facility. 10/08/2014 Certified 10/23/2014 2
ICE SEF The SEF corrected typographical errors in Rules 1226 and 1233 relating to two Markit iTraxx Crossover Index contracts. 10/29/2014 Notified 10/29/2014 2
ICE SEF The trading and holiday schedule for 2018 is being revised to clarify the reserved maintenance window in Commodity Contracts. 05/22/2018 Notified 05/22/2018 5
BGC These rule amendments are cumulative and are in response to suggestions and guidance from the staff. 10/06/2015 Certified 10/21/2015 1
TDERIV This is an EMERGENY RULE CERTIFICATION to incorporate the reference to CFTC no-action letter 16-58 and the new expiration date, and to remove reference to CFTC no-action letter 15-24 and its June 15, 2016 expiration. 06/14/2016 Certified 06/27/2016 1
RF SEF This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF 11/20/2023 Notified 11/20/2023 3
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 09/16/2014 Certified 09/29/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 07/02/2015 Certified 07/17/2015 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit B. 09/10/2014 Certified 09/24/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. 08/21/2014 Certified 09/05/2014 2
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as morefully described in Exhibit B. 08/13/2014 Certified 08/27/2014 2
TPSEF This submission contains a selfcertification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit A. 10/14/2014 Certified 10/27/2014 2
RF SEF Thomas Reuters (SEF) amending its rulebook in response to comments and questions regarding TR SEF. Submission 13-03 10/17/2013 Certified 11/01/2013 2
RF SEF Thomas Reuters - Amendments to Rulebook - Submission #14-03 07/08/2014 Certified 07/23/2014 1
RF SEF Thomas Reuters - Submission 14-02 - Amendments to Rulebook - Effective June 13, 2014 05/30/2014 Certified 06/14/2014 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook (Submission 13-04) October 30, 2013 10/31/2013 Certified 11/16/2013 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook (Submission 13-05) October 30, 2013 10/31/2013 Certified 11/16/2013 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 05/30/2014 Certified 06/14/2014 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 07/02/2014 Certified 07/18/2014 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook Submission #14-01 01/13/2014 Certified 01/29/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/24/2016 Certified 03/09/2016 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/10/2016 Certified 05/24/2016 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/23/2018 Certified 06/07/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 12/01/2017 Certified 12/15/2017 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/17/2016 Withdrawn 02/24/2016 4
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 09/20/2017 Certified 10/04/2017 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 08/18/2016 Certified 09/01/2016 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/08/2015 Certified 10/23/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 03/25/2015 Certified 04/08/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 01/16/2015 Certified 02/02/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 09/11/2015 Certified 09/25/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 08/10/2018 Certified 08/24/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 12/22/2015 Certified 01/07/2016 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/24/2014 Certified 11/07/2014 2