Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
LGX Rulebook for LedgerX DCM 06/24/2019 Certified 07/09/2019 2
LGX LedgerX Updated Fee Schedule 06/23/2021 Notified 06/23/2021 3
LGX Revisions to SEF Rulebook 08/20/2024 Certified 09/04/2024 3
LGX LedgerX SEF Rulebook Revisions 11/15/2023 Certified 11/30/2023 3
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
LGX Amended Operations Manual 10/18/2017 Certified 11/01/2017 4
LGX Submission of revised fee schedule. 03/27/2018 Certified 04/10/2018 1
LGX New Fee Schedule 10/25/2024 Certified 11/08/2024 1
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
LGX LedgerX Fee Schedule Update 09/23/2020 Notified 09/23/2020 1
LGX Compliance Manual Version Control 10/22/2021 Notified 10/22/2021 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
LGX Compliance Manual Amendments 10/27/2021 Certified 11/10/2021 3
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
LGX Compliance Manual update 07/10/2019 Certified 07/24/2019 2
LGX Submission of revised fee schedule. 02/13/2018 Certified 02/28/2018 1
LGX Rulebook Amendment 07/27/2022 Certified 08/10/2022 2
LGX Revised Enterprise Risk Management Plan 05/31/2019 Certified 06/14/2019 1
LGX Rulebook updates 04/08/2022 Certified 04/22/2022 2
LGX A routine update to reflect details of intermediated trading on LedgerX's exchange. 12/04/2017 Certified 12/18/2017 1
LGX Revised SEF Exhibit B 09/19/2017 Notified 09/19/2017 1
LGX LedgerX Revised Participant Agreement 05/28/2021 Certified 06/14/2021 1
LGX LedgerX revised Participant Agreement 05/28/2021 Certified 06/14/2021 4
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 09/28/2015 Notified 09/28/2015 1
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 06/08/2015 Certified 06/22/2015 6
MKAXSEF MarketAxess SEF Corporation - Updated Rulebook - effective July 11, 2014 06/25/2014 Certified 07/11/2014 1