Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
RF SEF The Rulebook has been amended to incorporate amendments to CFTC Regulation 37.6(b) relating to uncleared swap confirmation requirements. 05/29/2024 10 Day Review 05/29/2024 2
RF SEF Removal of reference to CFTC NAL 17-17. 05/30/2024 Certified 06/12/2024 2
BGC Amended Rule 403(b) to reference Rule 515. 05/30/2024 Certified 06/13/2024 2
GFISEF Amended Rule 406(b) to include 37.6(b) and 37.6(b)(1) incorporating documents for uncleared swaps and the ability to request docs for regulatory review should the commission ask for specific documents. \r\n Amended Rule 541(a) for SEF notification. 05/30/2024 Certified 06/13/2024 2
NEXSEF Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2024-01 Regarding Amendments to the Operational Parameters Annex 06/05/2024 Certified 06/20/2024 2
LGX Inclusion of new d/b/a "MIAX Derivatives Exchange" in Rulebooks 06/07/2024 Notified 06/07/2024 1
LGX Updates to Participant Agreement 06/07/2024 Certified 06/24/2024 2
LGX Updates to User Agreement 06/07/2024 Certified 06/24/2024 2
LGX Privacy Policy updates 06/07/2024 Certified 06/24/2024 2
BSEF CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook BSEF Submission No. 2024-R-08. 06/13/2024 Certified 06/28/2024 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-09. 06/13/2024 Certified 06/28/2024 1
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
NEXSEF Modifications to the NEX SEF Fee Schedule for Various Administrative Amendments 07/03/2024 10 Day Review 07/03/2024 2
AEGIS NEW - Exhibit N1a Participant Agreement for Market Participants 07/11/2024 Notified 07/11/2024 2
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 10 Day Review 07/16/2024 2