Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Clarifying definition of API and new definition of Participant API. Clarifying that prior to commencing trading activity on the SEF, each Authorized Trader must register an order entry operator ID (OEOID) with the SEF. 09/13/2024 Certified 09/27/2024 1
TPSEF Commission Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. 02/05/2015 Certified 02/20/2015 1
BSEF Compliance Manual amendment 10/30/2020 Certified 11/16/2020 2
BSEF Compliance Manual Amendment 07/26/2019 Certified 08/09/2019 2
BSEF Compliance Manual Amendment 11/30/2016 Certified 12/14/2016 4
BSEF Compliance Manual amendment 04/21/2017 Certified 05/05/2017 1
BSEF Compliance Manual amendment 12/07/2017 Certified 12/21/2017 2
LGX Compliance Manual Amendments 10/27/2021 Certified 11/10/2021 3
LGX Compliance Manual update 07/10/2019 Certified 07/24/2019 2
LGX Compliance Manual Version Control 10/22/2021 Notified 10/22/2021 3
NEXSEF Conforming Amendments to NEX SEF Limited Form SEF to Reflect Revisions to the NEX SEF Board of Directors Composition 12/14/2020 Certified 12/29/2020 2
CMESEF Conforming Amendments to Various CME SEF Rules. 12/14/2017 Certified 12/29/2017 2
AEGIS Contract Position Accountability Levels Table 08/30/2022 Certified 09/14/2022 1
RADSEF Correct reference or clarify Rules 536 and 537Add product terms and conditions 10/29/2021 Certified 11/15/2021 4
CBOESEF Corrected cross-reference in Rule 512(4) from 513(3) to 512(3). 06/30/2023 Notified 06/30/2023 1
NEXSEF Correction of typographical error in Rule 315 06/08/2018 Notified 06/08/2018 3
CBOESEF Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. 11/04/2022 Certified 11/21/2022 1
TPSEF Deletion of Rules 4013(e) and (f) to reflect the expiration of the no-action relief granted in CFTC 14-121. 03/11/2015 Certified 03/25/2015 1
GFISEF Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 10/17/2013 Certified 11/01/2013 0
DWSEF DW SEF - Work-Up Protocol 12/29/2014 Certified 01/13/2015 2
DWSEF DW SEF Amended IRS Fee Schedule 10/24/2016 Certified 11/07/2016 1
DWSEF DW SEF Amended Rulebook 09/30/2015 Certified 10/15/2015 4
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4
DWSEF DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
DWSEF DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) 12/21/2015 Certified 01/06/2016 1
DWSEF DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
DWSEF DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) 01/07/2016 Certified 01/22/2016 2
DWSEF DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
DWSEF DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
DWSEF DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. 11/01/2013 Certified 11/19/2013 1
DWSEF DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
DWSEF DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules 11/23/2015 Certified 12/08/2015 1
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
DWSEF DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) 02/03/2014 Certified 02/19/2014 1
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
DWSEF DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 11/12/2013 Certified 11/27/2013 1
DWSEF DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. 04/02/2019 Notified 04/02/2019 1
DWSEF DW SEF Market Regulation Advisory Notice re STP and Affirmation 05/31/2016 Certified 06/14/2016 2
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
DWSEF DW SEF Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
DWSEF DW SEF Rulebook Amendments 04/11/2018 Certified 04/25/2018 4
TPSEF Elimination of a Participant's ability to expose one side of a Required Transaction for less than 15 seconds. 04/02/2015 Certified 04/16/2015 1
CMESEF Elimination of CME SEF Rule 524 ("Uncleared Swaps") 12/18/2015 Certified 01/05/2016 1
ICE SEF Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 10/17/2013 Certified 11/01/2013 1
BSEF Emergency Rule Certification 02/05/2019 Certified 02/20/2019 2
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
TRAD Emergency Rule Certification - amended to comply with the conditions for the time-limited no-action relief provided in CFTC Letter No. 13-58 TRAD #13-0002 10/17/2013 Certified 11/01/2013 1
DWSEF Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0