Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TRAD Representation in Connection with Notice of Intent to Rely on Time-Limited No-Action Relief provided by CFTC Letter No. 13-62 from requirement to comply with Commission Regulation 37.702(b) 10/17/2013 Certified 11/01/2013 1
ICE SEF Listingof Commodity Swaps and Related Rule Amendments. ICE SEF #13-02 10/17/2013 Certified 11/01/2013 1
ICE SEF Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 10/17/2013 Certified 11/01/2013 1
GFISEF Modifications to Fee Schedule. GFISEF #13-0001 10/17/2013 Certified 11/01/2013 0
DWSEF Emergency Rule Certification - Notice to DW SEF Participants - no-action relief relating to onboarding and pre-trade screening of orders 10/17/2013 Certified 11/01/2013 0
DWSEF Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
DWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
TWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
TWSEF Emergency Rule Certification- provided by CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
TWSEF Emergency Rule Certification - no-action relief in CFTC Letter 13-57 10/17/2013 Certified 11/01/2013 0
GFISEF Rulebook Amendments - GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 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 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