Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. 05/23/2018 Certified 06/07/2018 3
ICE SEF The trading and holiday schedule for 2018 is being revised to clarify the reserved maintenance window in Commodity Contracts. 05/22/2018 Notified 05/22/2018 5
IGDL Regulation 40.6(a) Rule Certification. 05/09/2018 Certified 05/23/2018 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") 05/08/2018 Certified 05/22/2018 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") 05/08/2018 Certified 05/22/2018 1
NEXSEF Amendment to Rule 802(1) IRS Specifications 05/07/2018 Certified 05/21/2018 3
CBOESEF Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. 05/07/2018 Certified 05/21/2018 1
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. 05/01/2018 Certified 05/15/2018 3
TDERIV name change for GBP OIS floating rate index 04/30/2018 Notified 04/30/2018 1
TDERIV Self-certification of fees to be charged to Participants on the SEF Trading System. 04/19/2018 Certified 05/03/2018 1
NEXSEF Certification of amendments to NEX SEF Rulebook and issuance of a Market Regulation Advisory Notice 04/17/2018 Certified 05/01/2018 5
TWSEF Amendment to TW SEF Rulebook and Fee Schedule 04/11/2018 Certified 04/25/2018 6
DWSEF DW SEF Rulebook Amendments 04/11/2018 Certified 04/25/2018 4
TDERIV non-substantive rule changes 04/11/2018 Notified 04/11/2018 1
BSEF Amended Compliance Manual 04/02/2018 Certified 04/16/2018 2
RADSEF Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters 03/30/2018 Certified 04/13/2018 3
TRAD Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement 03/29/2018 Certified 04/12/2018 3
BSEF Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it hasamended its Rulebook. The amended Rulebook will become effective on April 13, 2018. 03/28/2018 Certified 04/11/2018 1
LGX Submission of revised fee schedule. 03/27/2018 Certified 04/10/2018 1
NEXSEF Revised Fee Program 03/16/2018 Certified 03/30/2018 2
BSEF Revised BSEF fee schedule 03/14/2018 Certified 03/28/2018 2
CBOESEF Changes to composition of Business Conduct Committee and Panels, introduction of PEN and RUB Contracts. 03/05/2018 Withdrawn 03/05/2018 1
CBOESEF Changes to the composition of the Business Conduct Committee and Panels. 03/05/2018 Certified 03/19/2018 1
SEED CX Weekly Notification of Rule Amendments 03/05/2018 Notified 03/05/2018 1
TDERIV Expansion of trading hours for IRS products 02/16/2018 Notified 02/16/2018 1
GTX Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. 02/16/2018 Certified 03/05/2018 1
LGX Submission of revised fee schedule. 02/13/2018 Certified 02/28/2018 1
NEXSEF Weekly Submission of Rule Amendments 02/02/2018 Notified 02/02/2018 2
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to clarify the process by which IST intends to implement and enforce certain of its rules. 02/01/2018 Certified 02/15/2018 1
CBOESEF Cboe SEF, LLC is submitting certain changes to its rulebook to, among other things, add a definition of "Minimum Tick Size," clarify the difference between Participant Data and SEF Market Data, and clarify applicable fitness standards. 01/17/2018 Certified 01/31/2018 1
SEED CX Seed SEF is amending various rules to clarify certain definitions and to make substantive revisions to Chapters 7 (Contract Settlement) and 9 (Arbitration) 01/12/2018 Withdrawn 01/16/2018 2
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
ICE SEF Amended Block Trade FAQ 12/19/2017 Notified 12/19/2017 4
IGDL Amendment to IGDL's Rulebook. 12/18/2017 Certified 01/03/2018 1
NEXSEF Fee Program Amendment 12/15/2017 Certified 01/02/2018 2
TPSEF Updates to Appendix B to the tpSEF Rulebook - Swap Specifications 12/15/2017 Notified 12/15/2017 1
NEXSEF Market Regulation Advisory Notices and Rulebook Amendment 12/15/2017 Certified 01/02/2018 4
CMESEF Weekly Notification of Rule Amendments - Week of December 4, 2017 12/14/2017 Notified 12/14/2017 2
CMESEF Conforming Amendments to Various CME SEF Rules. 12/14/2017 Certified 12/29/2017 2
TRAD Amendments to the Tradition SEF Fee Schedule. 12/12/2017 Certified 12/27/2017 2
NEXSEF Amended Rulebook and Confidential Trading Protocols 12/08/2017 Certified 12/22/2017 4
BSEF Rulebook amendment 12/07/2017 Certified 12/21/2017 1
BSEF Compliance Manual amendment 12/07/2017 Certified 12/21/2017 2
BSEF Notice to Participants 12/07/2017 Certified 12/21/2017 1
TPSEF Rulebook amendment 12/04/2017 Certified 12/18/2017 1
LGX A routine update to reflect details of intermediated trading on LedgerX's exchange. 12/04/2017 Certified 12/18/2017 1
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 12/01/2017 Certified 12/15/2017 5
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 12/01/2017 Certified 12/15/2017 2
IGDL Amended Rulebook 11/29/2017 Certified 12/13/2017 1
TRAD Amendments to Tradition SEF Rulebook. 11/28/2017 Certified 12/12/2017 2