Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ISBV Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. 06/29/2023 Certified 07/14/2023 11
ISBV iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. 05/12/2021 Certified 05/26/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 05/14/2021 Certified 05/28/2021 4
ISBV iSwap Euro B.V. hereby submits a notification regarding products listed for trading andamendments to its Rulebook related to the definition of a "Business Day" and revisions toRule 18.4. 12/16/2020 Certified 12/31/2020 8
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
ISBV Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated 04/29/2024 Certified 05/13/2024 4
LATAM 40.6(a) certification of LatAm SEF Rulebook, version 1.12 11/16/2022 Certified 12/01/2022 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/13/2016 Withdrawn 01/14/2016 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/14/2016 Certified 01/29/2016 1
LATAM CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 01/20/2022 Certified 02/03/2022 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
LATAM See Exhibit A of the Submission 06/22/2015 Certified 07/07/2015 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 11/02/2020 Certified 11/17/2020 2
LATAM Mexican TIIE Fixed/Floating Interest Rate Swap, Mexican TIIE/U.S. Dollar 1-Month Libor Cross-Currency Basis Swap, Mexican UDI/TIIE Interest Rate Swap, Mexican UDI/U.S. Dollar 6-Month Libor Cross-Currency Basis Swap, Peruvian PEN/TIS Interest Rate Swap, Me 07/17/2017 Certified 07/31/2017 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook related to § 37.6 amendments and other grammatical amendments 05/24/2024 Certified 06/10/2024 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook - Submission 14-0001 (March 20, 2014) Adding rules regarding methods of using LatAm SEF's SEF. 03/21/2014 Certified 04/05/2014 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/22/2016 Certified 10/06/2016 1
LATAM Update to LatAM SEF Rule Book Version 1.5 09/22/2016 Certified 10/06/2016 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/01/2021 Certified 09/16/2021 2
LGX Amendments to Participant Agreement 07/28/2022 Certified 08/11/2022 2
LGX LedgerX revised Rulebook 12/15/2021 Certified 12/30/2021 2
LGX Revised SEF Rulebook 08/04/2022 Certified 08/18/2022 2
LGX Amendment to Participant Agreement 08/04/2022 Certified 08/18/2022 2
LGX Fee Schedule Amendmenet 12/06/2019 Notified 12/06/2019 2
LGX 40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. 11/16/2022 Notified 11/16/2022 1
LGX LedgerX Revised Rulebook 06/10/2021 Certified 06/24/2021 3
LGX Revision to LedgerX Rulebook 05/29/2020 Certified 06/12/2020 1
LGX Inclusion of new d/b/a "MIAX Derivatives Exchange" in Rulebooks 06/07/2024 Notified 06/07/2024 1
LGX Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. 06/11/2018 Certified 06/25/2018 4
LGX Weekly notification, withdrawal fee change 11/12/2021 Notified 11/12/2021 1
LGX Updates to Participant Agreement 06/07/2024 Certified 06/24/2024 2
LGX Submission of Revised fee schedule 03/04/2020 Certified 03/18/2020 2
LGX Updates to User Agreement 06/07/2024 Certified 06/24/2024 2
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
LGX Privacy Policy updates 06/07/2024 Certified 06/24/2024 2
LGX LedgerX Updated BCDR Plan 06/13/2021 Certified 06/25/2021 4
LGX Revised operations manual 11/14/2017 Certified 11/29/2017 3
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
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
LGX LedgerX Amended Rulebook 03/12/2021 Certified 03/26/2021 1
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/19/2018 Certified 11/02/2018 1
LGX LedgerX Unredacted Operations Manual 03/12/2021 Certified 03/26/2021 2
LGX LedgerX Redacted Operations Manual 03/12/2021 Certified 03/26/2021 1
LGX LedgerX Revised Participant Agreement 03/12/2021 Certified 03/26/2021 1
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 1
LGX Revised Enterprise Risk Management Plan 06/18/2019 Certified 07/02/2019 3
LGX Fee Schedule Change 12/09/2020 Notified 12/09/2020 1
LGX LedgerX Liquidity Provider Program 06/23/2021 Certified 07/08/2021 3