Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
RADSEF New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references 11/03/2020 Certified 11/18/2020 4
AEGIS NEW - Exhibit N1a Participant Agreement for Market Participants 07/11/2024 Notified 07/11/2024 2
TDERIV name change for GBP OIS floating rate index 04/30/2018 Notified 04/30/2018 1
NEXSEF MRAN update for additional currency pairs 10/21/2020 Certified 11/04/2020 1
BGC More detail regarding the Voice Work-Up trading process 01/15/2016 Certified 02/01/2016 1
GFISEF Modifying the Exchange's Fee Schedule. GFISEF Submission #13-0004 11/26/2013 Certified 12/12/2013 1
TRAD Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program 08/10/2020 Certified 08/24/2020 2
NEXSEF Modifications to the NEX SEF LATAM EBS NDF Streaming Incentive Program 02/11/2022 Certified 02/28/2022 2
NEXSEF Modifications to the NEX SEF Fee Schedule for Various Administrative Amendments 07/03/2024 Certified 07/18/2024 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Renewal of the LATAM EBS NDF Connectivity Incentive Program and Expiration of the EBS on-SEF UK/US Crossover Market Maker Program 10/17/2023 Certified 10/31/2023 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 06/15/2022 Certified 06/30/2022 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 03/14/2023 Certified 03/28/2023 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Increase in Basis Risk Reduction Services Crossing Access Fee 12/14/2023 Certified 12/29/2023 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS On-SEF UK/US Crossover Market Maker Program 08/17/2022 Certified 08/31/2022 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program 10/28/2022 Certified 11/14/2022 2
NEXSEF Modifications to the NEX SEF Fee Schedule 07/17/2020 Certified 07/31/2020 2
NEXSEF Modifications to the NEX SEF Fee Schedule 06/16/2020 Certified 06/30/2020 2
NEXSEF Modifications to the NEX SEF Fee Schedule 03/17/2021 Certified 03/31/2021 2
NEXSEF Modifications to the NEX SEF Fee Schedule 10/16/2020 Certified 10/30/2020 2
NEXSEF Modifications to the NEX SEF African & Middle East NDFs Market Maker Program 10/16/2020 Certified 10/30/2020 2
TRAD Modifications to Rules 101, 102, 209, 304, 308, 309, 311, 403, 404, 405, 409, 412, 503, 509, 510, 511, 512, 529, 706, and 902 within Tradition SEF's Rulebook, as well as other non-substantive revisions. 08/09/2024 Certified 08/23/2024 3
GFISEF Modifications to Fee Schedule. GFISEF #13-0001 10/17/2013 Certified 11/01/2013 0
GFISEF Miscellaneous Rulebook amendments 12/31/2014 Certified 01/15/2015 4
LATAM Mexican TIIE Fixed/Floating Interest Rate Swap, Mexican TIIE/U.S. Dollar 1-Month Libor Cross-Currency Basis Swap, Mexican UDI/TIIE Interest Rate Swap, Mexican UDI/U.S. Dollar 6-Month Libor Cross-Currency Basis Swap, Peruvian PEN/TIS Interest Rate Swap, Me 07/17/2017 Certified 07/31/2017 1
ISBV Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct\r\n24). Page 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. 07/17/2024 Certified 07/31/2024 3
ISBV Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct 24). \r\nPage 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. 07/16/2024 Certified 07/29/2024 2
GFISEF Matching Session Description 09/30/2015 Certified 10/15/2015 2
MKAXSEF MarketAxess SEF Updating the Rulebook to reflect recent developments and to provide clarity. Letter dated December 20, 2013 12/20/2013 Certified 01/08/2014 1
MKAXSEF MarketAxess SEF Update Rulebook to reflect recent developments and to provide clarity. (February 14, 2014) 02/14/2014 Certified 03/04/2014 1
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook, Fee Schedule and Exhibit Q-2 to reflect recentdevelopments and provide clarity. 01/13/2015 Certified 01/28/2015 7
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook to specify the methods of execution available for packages trades. 02/17/2015 Certified 03/03/2015 4
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook and Exhibit Q-2 to reflect recent developments and provide clarity. 11/23/2015 Certified 12/08/2015 6
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. 09/09/2014 Certified 09/23/2014 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 08/25/2014 Certified 09/09/2014 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 06/08/2015 Certified 06/22/2015 6
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 08/07/2015 Certified 08/21/2015 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 10/08/2014 Certified 10/23/2014 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. 09/30/2015 Certified 10/15/2015 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 12/14/2015 Certified 12/29/2015 4
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 09/28/2015 Notified 09/28/2015 1
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 10/05/2015 Notified 10/05/2015 1
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 04/08/2015 Notified 04/08/2015 1
MKAXSEF MarketAxess SEF Corporation - Updated Rulebook - effective July 11, 2014 06/25/2014 Certified 07/11/2014 1
MKAXSEF MarketAxess SEF Corporation - Updated its Rulebook to reflect recent developments and to provide clarity. Effective June 30, 2014 06/16/2014 Certified 07/01/2014 1
MKAXSEF MarketAxess SEF Corporation - Rulebook updated to reflect recent developments and to provide clarity. Letter dated November 5, 2013. Amended Rulebook will be effective November 21, 2013. 11/05/2013 Certified 11/21/2013 1
MKAXSEF MarketAxess SEF Corporation - Rulebook Amendments - Rules 214, 311, 407 to become effective March 26, 2014 02/27/2014 Certified 03/14/2014 1
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 11/05/2013 Certified 11/21/2013 0
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) 12/12/2013 Certified 12/28/2013 1
MKAXSEF MarketAxess SEF Corporation - Amended for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 11/05/2013 Certified 11/21/2013 0
MKAXSEF MarketAccess SEF Corporation has updated Exhibit Q-2 to reflect recent developments and provide clarity. 12/18/2015 Certified 01/05/2016 4