Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
IGDL Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. 01/30/2015 Certified 02/13/2015 3
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. 02/02/2015 Certified 02/17/2015 1
TPSEF Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. 02/03/2015 Certified 02/18/2015 1
TWSEF Notice to All Participants of TW SEF LLC:RFQ1 Treatment for MAT Swap Leg of Specified Package Transactions 02/04/2015 Certified 02/19/2015 2
TPSEF Commission Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. 02/05/2015 Certified 02/20/2015 1
BSEF BSEF hereby notifies the Commission that it has amended the January 30 Rulebook Certification to respond to certain comments received from Commission staff. We understand that the amended Rulebook will become effective on February 15, 2015. 02/10/2015 Certified 02/25/2015 1
GTX Amendment to Fee schedule. 02/10/2015 Certified 02/25/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 02/11/2015 Certified 02/26/2015 6
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1
IGDL Revised Fee Schedule 02/12/2015 Certified 02/27/2015 2
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
ICE SEF ICE Swap Trade, LLC's weekly notification of rule changes. 02/18/2015 Notified 02/18/2015 4
ICE SEF ICE Swap Trade, LLC is amending its Trading Hours. 02/18/2015 Certified 03/04/2015 3
GFISEF Various Rulebook Amendments 02/25/2015 Certified 03/11/2015 1
CBOESEF Rule amendments related to new pre-trade credit check functionality for Block Trades. 02/25/2015 Certified 03/11/2015 1
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/06/2015 Certified 03/20/2015 6
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
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
360T 360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. 03/13/2015 Certified 03/27/2015 4
IGDL Fee Schedule 03/17/2015 Certified 03/31/2015 1
TDERIV Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. 03/19/2015 Certified 04/02/2015 1
IGDL Rule certification to amend Rule 902, IGDL's vRFQ protocols. 03/19/2015 Certified 04/02/2015 1
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
TRAD Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. 03/23/2015 Certified 04/06/2015 2
TRAD Amendment to the Tradition SEF fee schedule. 03/23/2015 Certified 04/06/2015 2
TWSEF TW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
IGDL Amendments to Fee Card 03/24/2015 Certified 04/07/2015 1
IGDL Revised Facility Rulebook 03/24/2015 Certified 04/07/2015 4
ICE SEF ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. 03/24/2015 Certified 04/07/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 03/25/2015 Certified 04/08/2015 2
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
TRAD Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. 03/27/2015 Certified 04/10/2015 1
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
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 04/02/2015 Certified 04/16/2015 4
IGDL Weekly Notification of Rule Amendments pursuant to CFTC Regulation 40.6(d)(x); reduction in minimum price fluctuation for certain contracts. 04/06/2015 Notified 04/06/2015 2
TWSEF Market Regulation Advisory Notice: Trading and Execution Protocols 04/06/2015 Certified 04/20/2015 2
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
CBOESEF Rule amendment made provide more flexibility in the types of records a principal must retain to document trading authorization. Rule amendments made to conform definition of Sponsored Person with prior amendments to Sponsored Access. 04/10/2015 Certified 04/24/2015 1
BGC Amendment raising 5 second cross-delay to 15 seconds. 04/10/2015 Certified 04/24/2015 1
GFISEF Various Rulebook amendments 04/10/2015 Certified 04/24/2015 1
BGC Implementation document for an incentive program. 04/10/2015 Certified 04/24/2015 2
TRAD Amendment to Tradition SEF's Trad-X Interest Rate Swap (IRS) trading platform supplement Rule S1-302. 04/17/2015 Certified 05/01/2015 1
TWSEF Notice to Participants re MAT / Agency MBS Package Transactions (4.20.15)Cover Letter re Notice to Participants (4.20.15) 04/20/2015 Certified 05/04/2015 2
CBOESEF Javelin SEF hereby submits it market maker program. 04/21/2015 Certified 05/05/2015 1
IGDL Revised Facility Rulebook 04/23/2015 Certified 05/07/2015 7
BSEF Bloomberg SEF LLC hereby notifies the Commodity Futures Trading Commission that it has amended its participantfee schedule (the "Participant Fee Schedule"). The amended Participant Fee Schedule willbecome effective on May 11, 2015. 04/27/2015 Certified 05/11/2015 1