Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF Amendment of tpSEF Inc. Terms of Use 09/14/2017 Certified 09/28/2017 1
CBOESEF Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." 02/27/2017 Certified 03/13/2017 4
BGC Amendment raising 5 second cross-delay to 15 seconds. 04/10/2015 Certified 04/24/2015 1
SWAPX Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) 11/15/2013 Certified 12/03/2013 1
SWAPX Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 12/04/2013 Certified 12/19/2013 0
BSEF Amendment to BSEF Rule 533 09/02/2016 Certified 09/19/2016 1
BSEF Amendment to Compliance Manual 06/28/2017 Certified 07/13/2017 2
IGDL Amendment to Confidential Chapter 9 Trading Protocols 03/10/2017 Certified 03/24/2017 2
IGDL Amendment to Confidential Rule 902. 09/23/2015 Certified 10/07/2015 2
TDERIV Amendment to Designated Market Maker Program 09/04/2019 Certified 09/18/2019 1
CBOESEF Amendment to Exhibit A to Form SEF 10/18/2022 Certified 11/01/2022 1
NEXSEF Amendment to Facility Rulebook 05/31/2017 Certified 06/14/2017 7
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
GTX Amendment to Fee schedule. 02/10/2015 Certified 02/25/2015 1
IGDL Amendment to IGDL Facility Rulebook pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a). 11/29/2018 Certified 12/13/2018 1
IGDL Amendment to IGDL's Rulebook. 12/18/2017 Certified 01/03/2018 1
TWSEF Amendment to include new Rule 419 to prohibit post-trade name give up 11/05/2020 Certified 11/20/2020 6
NEXSEF Amendment to Market Regulation Advisory Notice 2018-04 02/15/2019 Certified 03/04/2019 2
NEXSEF AMENDMENT TO NEX SEF LIMITED RULEBOOK RELATING TO SUMMARY FINES, AUDIT TRAIL REQUIRMENTS AND ERROR CORRECTION PROCESSES; ISSUANCE OF NEX SEF LIMITED MARKET REGULATION ADVISORY NOTICES MRAN 2021-01 AND 2021-02 02/09/2021 Certified 02/24/2021 2
LGX Amendment to Participant Agreement 08/04/2022 Certified 08/18/2022 2
ICAPSEF Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
IGDL Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
CMSEF Amendment to Rule 406 09/07/2016 Certified 09/21/2016 2
TRAD Amendment to Rule 412(a), (b), (d) and (e) to permit confirmation to e directed to Broker Firm Participants. Amendment to Rule 508 to permit a work-up process to commence upon execution via a Request for Continuous Stream. 04/30/2020 Certified 05/14/2020 1
TDERIV Amendment to Rule 524, will promote trading on trueEX SEF by permitting limited pre-execution communication in respect of orders for Permitted Transactions. TRUSEF #2014-08S 04/24/2014 Certified 05/09/2014 1
NEXSEF Amendment to Rule 802(1) IRS Specifications 05/07/2018 Certified 05/21/2018 3
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/19/2018 Certified 11/02/2018 1
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 1
GTX Amendment to Rulebook. 04/07/2016 Certified 04/21/2016 5
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
CMSEF Amendment to SEF Rulebook 02/24/2016 Certified 03/09/2016 1
RTX Amendment to SEF Rulebook 01/16/2025 Certified 01/31/2025 2
TRAD Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. 04/01/2019 Certified 04/15/2019 3
TRAD Amendment to the tradition SEF fee schedule 07/01/2015 Certified 07/16/2015 2
TRAD Amendment to the Tradition SEF fee schedule. 08/13/2015 Certified 08/27/2015 2
TRAD Amendment to the Tradition SEF fee schedule. 03/23/2015 Certified 04/06/2015 2
BGC Amendment to the Volume Match and Volume Match prices rules. 05/27/2015 Certified 06/10/2015 1
TRAD Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. 05/31/2018 Certified 06/14/2018 3
TRAD Amendment to Tradition SEF's Trad-X Interest Rate Swap (IRS) trading platform supplement Rule S1-302. 04/17/2015 Certified 05/01/2015 1
TRAD Amendment to Tradition SEF, Inc. Fee Schedule 09/06/2018 Certified 09/20/2018 3
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
TWSEF Amendment to TW SEF Rulebook and Fee Schedule 04/11/2018 Certified 04/25/2018 6
RADSEF Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. 04/15/2016 Certified 04/29/2016 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. 05/01/2018 Certified 05/15/2018 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. 05/23/2018 Certified 06/07/2018 3
LGX Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. 06/11/2018 Certified 06/25/2018 4
SWAPX Amendments and updates to various rules. 12/14/2015 Certified 12/29/2015 10
CBOESEF Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. 08/26/2016 Certified 09/12/2016 1
TDERIV Amendments related to extension of No-Action letters relating to Block Trades and Package Transactions. In addition, rule amendments related to uncleared trades. 11/01/2016 Certified 11/16/2016 1
TDERIV Amendments related to name change of the trueDigital Division to Tassat Division, and clarifying amendments to trading rules and protocols. 09/04/2019 Certified 09/17/2019 1