Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4
DWSEF Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
BSEF Amended Compliance Manual (BSEF-2018-R-08) 11/01/2018 Certified 11/16/2018 2
BSEF Amended Compliance Manual 04/02/2018 Certified 04/16/2018 2
ICE SEF Amended Block Trade FAQ 12/19/2017 Notified 12/19/2017 4
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
SWAPX Advisory Notices to SwapEx Market Participants 01/20/2015 Certified 02/03/2015 1
SWAPX Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". 06/03/2019 Certified 06/17/2019 1
NEXSEF Adoption of New Rule 318 ("Post-Trade Anonymity") 11/04/2020 Certified 11/19/2020 3
CMESEF Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" 10/06/2016 Certified 10/21/2016 1
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1
CMESEF Adoption of CME SEF Recordkeeping and Reporting Policy 01/28/2015 Certified 02/11/2015 1
ICE SEF Administrative edits to IST Rulebook 02/15/2021 Notified 02/15/2021 4
ICE SEF Administrative changes to Rulebook 05/14/2021 Notified 05/14/2021 4
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2
ICE SEF Adjustment to ICE Swap Trade Trading Hours 03/30/2021 Notified 03/30/2021 4
ISBV Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated 04/29/2024 Certified 05/13/2024 4
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 2
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker 08/01/2023 Certified 08/15/2023 1
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker 07/25/2023 Certified 08/08/2023 1
BSEF Addendum to BSEF-NFA Regulatory Services Agreement 09/22/2020 Certified 10/06/2020 2
SWAPX Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. 06/16/2021 Certified 07/01/2021 4
TDERIV Added BRL to Core RFQ functionality. It already existed on PTC. 11/07/2017 Notified 11/07/2017 1
RADSEF Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 01/16/2014 Certified 02/01/2014 1
LGX A routine update to reflect details of intermediated trading on LedgerX's exchange. 12/04/2017 Certified 12/18/2017 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 11/20/2020 Notified 11/20/2020 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 11/20/2020 Notified 11/20/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/16/2021 Notified 04/16/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/26/2021 Notified 02/26/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/05/2021 Notified 03/05/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 08/17/2022 Notified 08/17/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/04/2020 Notified 12/04/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/07/2021 Notified 05/07/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/03/2022 Notified 05/03/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/19/2021 Notified 03/19/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/18/2022 Notified 03/18/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/11/2020 Notified 12/11/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 01/29/2021 Notified 01/29/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 07/02/2021 Notified 07/02/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/20/2022 Notified 05/20/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/18/2020 Notified 12/18/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/25/2022 Notified 02/25/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/28/2021 Notified 05/28/2021 1