Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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 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 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
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. 09/30/2015 Certified 10/15/2015 4
MKAXSEF MarketAxess SEF Updating the Rulebook to reflect recent developments and to provide clarity. Letter dated December 20, 2013 12/20/2013 Certified 01/08/2014 1
MKAXSEF MarketAxess SEF Corporation - Rulebook Amendments - Rules 214, 311, 407 to become effective March 26, 2014 02/27/2014 Certified 03/14/2014 1
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 08/07/2015 Certified 08/21/2015 4
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 10/05/2015 Notified 10/05/2015 1
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook, Fee Schedule and Exhibit Q-2 to reflect recentdevelopments and provide clarity. 01/13/2015 Certified 01/28/2015 7
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 08/25/2014 Certified 09/09/2014 4
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook and Exhibit Q-2 to reflect recent developments and provide clarity. 11/23/2015 Certified 12/08/2015 6
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 12/14/2015 Certified 12/29/2015 4
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook to specify the methods of execution available for packages trades. 02/17/2015 Certified 03/03/2015 4
MKAXSEF Updated its Rulebook to reflect recent development and to provide clarity. Rules 101; 301,..., 315; 401,..., 409;..., 702;... 1006 02/11/2014 Certified 02/27/2014 1
MKAXSEF Updating its Rulebook to reflect recent developments and to provide clarity. Letter dated December 11, 2013 12/11/2013 Withdrawn 12/20/2013 1
MKAXSEF Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 12/11/2013 Certified 12/27/2013 1
MKAXSEF MarketAccess SEF Corporation has made the rule changes below to update the MarketAccess SEF Rulebook to reflect recent developments and provide clarity. 05/15/2015 Certified 06/01/2015 4
MKAXSEF Amended MarketAxess application for registration as a SEF. (October 17, 2013) 10/17/2013 Certified 11/01/2013 0
MKAXSEF Updating the Rulebook to reflect recent developments and to provide clarity. (10-17-13) 10/17/2013 Certified 11/01/2013 0
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 10/08/2014 Certified 10/23/2014 4
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) 12/12/2013 Certified 12/28/2013 1
MKAXSEF Rulebook changes to reflect recent developments and to provide clarity. 11/09/2016 Certified 11/25/2016 4
MKAXSEF MarketAccess SEF Corporation has updated Exhibit Q-2 to reflect recent developments and provide clarity. 12/18/2015 Certified 01/05/2016 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. 09/09/2014 Certified 09/23/2014 4
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 04/08/2015 Notified 04/08/2015 1
MKAXSEF MarketAxess SEF Update Rulebook to reflect recent developments and to provide clarity. (February 14, 2014) 02/14/2014 Certified 03/04/2014 1