Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
360T Various amendments to 360T Rulebook 12/24/2014 Certified 01/09/2015 5
360T terminology update 03/24/2023 Certified 04/07/2023 7
360T The Rulebook has been amended in response to 360T functionality development. 04/17/2020 Certified 05/01/2020 6
360T 360 Trading Networks, Inc. amendment to Form SEF 11/27/2013 Certified 12/13/2013 0
360T Rulebook and User Guides updated in view of CFTC comments and participant queries. 09/30/2015 Certified 10/14/2015 5
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
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 08/10/2017 Certified 08/24/2017 5
360T Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. 08/04/2015 Certified 08/17/2015 4
360T 360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 02/25/2014 Certified 03/12/2014 1
360T Amendments to 360T SEF Application for Registration and documents with request for confidential treatment. October 2, 2013 10/17/2013 Certified 11/01/2013 0
360T Revision of Rulebook and User Guides. 09/13/2016 Certified 09/27/2016 7
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 07/19/2017 Withdrawn 07/24/2017 5
360T Revision of Rulebook and User Guides 11/26/2015 Certified 12/09/2015 14
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 1
360T 360 Trading Networks Inc. ("360T") hereby files the attached amendments to its Fee Schedule for 360T Participants. The Fee Schedule has been amended in response to 360T business development. 04/30/2019 Certified 05/14/2019 3
360T The 360T Rulebook has been amended in response to regulatory development. Added Rule 527 (Post-Trade Name Give-Up). 11/12/2020 Certified 11/27/2020 8
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
360T 360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. 11/26/2013 Certified 12/12/2013 3
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4
AEGIS Updates to AEGIS Markets Rulebook and Exhibit K (Fee Schedule) 12/05/2024 Notified 12/05/2024 5
AEGIS Rule Amendment - 4.10.2 - Removes No Action Letter language which is no longer needed per adoption by CFTC of amended rule 37.6 05/20/2024 Notified 05/20/2024 3
AEGIS Rule 4.4 - Clean up of description of `electronic messaging capability' Rule 4.15.2 - Remove reference to 'electronic communications capability'Rule 9.8 - Correction of rule reference 11/19/2024 Notified 11/19/2024 3
AEGIS The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. 10/14/2022 Certified 10/28/2022 3
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
AEGIS Updates to AEGIS Markets Rulebook and Exhibit K (Fee Schedule) 12/09/2024 10 Day Review 12/09/2024 5
AEGIS Modifications to - Exhibit N1a Market Participant Agreement 08/26/2024 Notified 08/26/2024 2
AEGIS The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. 10/19/2022 Certified 11/02/2022 6
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
AEGIS NEW - Exhibit N1a Participant Agreement for Market Participants 07/11/2024 Notified 07/11/2024 2
AEGIS Rulebook and Exhibit N-1 Participant Agreement amended to allow for Block Trades 12/10/2024 10 Day Review 12/10/2024 4
AEGIS Amendments to Exhibit N-1 Participant Agreement 11/03/2022 Notified 11/03/2022 2
AEGIS Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule 07/26/2022 Notified 07/26/2022 4
AEGIS Contract Position Accountability Levels Table 08/30/2022 Certified 09/14/2022 1
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to more closely align with CFTC Regulations. 06/07/2022 Certified 06/22/2022 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add a definition, update various CFTC No Action Letters and add a rule for the CFTC Post-Trade Name Give-Up rule. 10/19/2020 Certified 11/02/2020 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify rules 203, 204, and 603, and to remove unutilized subsets of rules 602 and 703. 11/05/2021 Certified 11/22/2021 1
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules are technical corrections, clarifications and adjustments to rule language based upon guidance received from the staff of the Commodity Futures Trading Commission ("CFTC"). 11/03/2014 Certified 11/18/2014 2
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify Rules 604 and 704 with respect to Post-Trade Name Give-Up and to update various CFTC No Action Letters. 11/24/2020 Certified 12/09/2020 2
BGC Resubmission of Rule 505 - Contract Specifications are being amended to provide that persons entering into pre-discussed trades or cross trades in the specified Interest Rate Swaps, must wait at least 5 seconds after the Initial Order. BGC #2013-03 01/30/2014 Certified 07/29/2014 7
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 The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. 09/17/2014 Withdrawn 09/18/2014 4
BGC More detail regarding the Voice Work-Up trading process 01/15/2016 Certified 02/01/2016 1
BGC The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. 11/18/2015 Certified 12/03/2015 1