Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
IGDL Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
LGX Amendment to Participant Agreement 08/04/2022 Certified 08/18/2022 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
NEXSEF Amendment to Market Regulation Advisory Notice 2018-04 02/15/2019 Certified 03/04/2019 2
TWSEF Amendment to include new Rule 419 to prohibit post-trade name give up 11/05/2020 Certified 11/20/2020 6
IGDL Amendment to IGDL's Rulebook. 12/18/2017 Certified 01/03/2018 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
GTX Amendment to Fee schedule. 02/10/2015 Certified 02/25/2015 1
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
NEXSEF Amendment to Facility Rulebook 05/31/2017 Certified 06/14/2017 7
CBOESEF Amendment to Exhibit A to Form SEF 10/18/2022 Certified 11/01/2022 1
TDERIV Amendment to Designated Market Maker Program 09/04/2019 Certified 09/18/2019 1
IGDL Amendment to Confidential Rule 902. 09/23/2015 Certified 10/07/2015 2
IGDL Amendment to Confidential Chapter 9 Trading Protocols 03/10/2017 Certified 03/24/2017 2
BSEF Amendment to Compliance Manual 06/28/2017 Certified 07/13/2017 2
BSEF Amendment to BSEF Rule 533 09/02/2016 Certified 09/19/2016 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
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
BGC Amendment raising 5 second cross-delay to 15 seconds. 04/10/2015 Certified 04/24/2015 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
TPSEF Amendment of tpSEF Inc. Terms of Use 09/14/2017 Certified 09/28/2017 1
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
SWAPX Amendment of Rule 525 to reflect recent CFTC no-action letter 03/31/2017 Certified 04/14/2017 4
TWSEF Amendment of Rule 205 (Regulatory Oversight Committee) 02/03/2022 Certified 02/17/2022 4
SWAPX Amendment of certain trade practice and disciplinary rules 09/15/2016 Certified 09/29/2016 4
TDERIV Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 12/31/2017 Certified 01/16/2018 1
SWAPX Amendment of a market advisory notice previously certified as a rule 07/14/2015 Certified 07/28/2015 3
CBOESEF Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) 10/17/2013 Certified 11/01/2013 1
CMSEF Amendment and revision to rulebook. 07/13/2017 Certified 07/27/2017 1
BGC Amending the rulebook to include additional clearing organizations. 03/31/2016 Certified 04/14/2016 1
BGC Amending rules for determining speculative position limits or position accountability. 10/06/2015 Certified 10/21/2015 1
SPECTR Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program 01/05/2024 Certified 01/22/2024 4
SPECTR Amending Rulebook to add references to Spot Stops and Time Stops, add reference to APIs, add reference to NDOs, change user ID notification requirement, remove redundancies, fix grammar inconsistencies, and add clarifying language. 06/17/2024 Certified 07/02/2024 1
BSEF Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. 09/13/2013 Certified 09/28/2013 5
DWSEF Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) 10/21/2013 Certified 11/05/2013 0
SWAPX Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 10/18/2013 Certified 11/02/2013 1
TPSEF Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) 10/17/2013 Certified 11/01/2013 1
ICE SEF Amending its Rulebook in order to accommodate trading in commodities by users of IST's swap execution facility and to remove the obligation for Participants to enter into a swap intermediation arrangement. 09/25/2013 Certified 10/10/2013 1
BSEF Amending Bloomberg SEF Rulebook. - Rule 533. Cleared Swaps 10/17/2013 Certified 11/01/2013 0
AEGIS Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule 07/26/2022 Notified 07/26/2022 4
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4
TWSEF Amended TW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
TWSEF Amended TW SEF Rulebook 10/03/2016 Certified 10/18/2016 4
TWSEF Amended TW SEF Rulebook 09/30/2015 Certified 10/15/2015 4
TWSEF Amended TW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
TWSEF Amended TW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
TWSEF Amended TW SEF Rulebook 10/29/2015 Certified 11/13/2015 4
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
IGDL Amended SEF Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4