Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. 03/23/2023 Certified 04/06/2023 2
CMESEF Amendments to CME/CBOT/NYMEX/COMEX and CME SEF Rule 537 07/29/2015 Certified 08/12/2015 2
CMESEF Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" 10/06/2016 Certified 10/21/2016 1
CMESEF Amendments to CME/CBOT/NYMEX/COMEX/SEF Rule 230. ("General") 02/16/2017 Certified 03/03/2017 1
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1
CMESEF Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 04/25/2014 Certified 05/10/2014 1
CMESEF Amendments to Chapter 4 ("Enforcement of Rules") 11/29/2016 Certified 12/13/2016 5
CMESEF Weekly Notification of Rule Amendments - Week of December 4, 2017 12/14/2017 Notified 12/14/2017 2
CMESEF Amendments to SEF Rules to Reflect Recent CFTC Guidance and No-Action Relief. CMESEF #14-018 01/15/2014 Certified 01/31/2014 1
CMESEF Conforming Amendments to Various CME SEF Rules. 12/14/2017 Certified 12/29/2017 2
CMESEF Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief 07/18/2014 Certified 08/01/2014 2
CMESEF Elimination of CME SEF Rule 524 ("Uncleared Swaps") 12/18/2015 Certified 01/05/2016 1
CMESEF Amendments to Rule 432. ("General Offenses") 02/01/2017 Certified 02/15/2017 1
CMESEF Amendments to Rule 574. ("Globex Access Restrictions") 02/01/2017 Certified 02/15/2017 1
CMESEF Adoption of CME SEF Recordkeeping and Reporting Policy 01/28/2015 Certified 02/11/2015 1
CMESEF Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 09/22/2015 Certified 10/06/2015 1
CMESEF Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) 12/03/2015 Certified 12/17/2015 1
CMESEF Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. 07/11/2018 Certified 07/25/2018 1
CMSEF SEF Rulebook Amendment 04/05/2016 Certified 04/19/2016 1
CMSEF Amendment to SEF Rulebook 02/24/2016 Certified 03/09/2016 1
CMSEF Rulebook Amendments 01/11/2022 Certified 01/26/2022 2
CMSEF SEF Rulebook Amendment 07/31/2015 Certified 08/14/2015 3
CMSEF SEF Rulebook Amendment 04/28/2016 Certified 05/12/2016 1
CMSEF Rule Amendment 11/30/2016 Certified 12/14/2016 2
CMSEF Amendment to Rule 406 09/07/2016 Certified 09/21/2016 2
CMSEF Rulebook Amendments 06/21/2021 Certified 07/06/2021 1
CMSEF Update of Exhibit N 09/08/2016 Certified 09/22/2016 1
CMSEF Amendment and revision to rulebook. 07/13/2017 Certified 07/27/2017 1
CMSEF SEF Rulebook Amendment Certification 06/29/2015 Certified 07/14/2015 1
CMSEF SEF Rulebook Amendment 08/03/2016 Certified 08/17/2016 1
CMSEF Rule Certification 11/06/2020 Certified 11/23/2020 2
CMSEF SEF Rule Amendment 08/04/2016 Certified 08/18/2016 1
CMSEF Rule amendments regarding settlement 04/01/2022 Certified 04/15/2022 1
CMSEF SEF Rulebook Amendment Certification 07/20/2015 Withdrawn 07/28/2015 1
CMSEF SEF Rule Amendment 08/19/2016 Certified 09/02/2016 1
DWSEF DW SEF - Work-Up Protocol 12/29/2014 Certified 01/13/2015 2
DWSEF Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
DWSEF DW SEF Amended Rulebook 09/30/2015 Certified 10/15/2015 4
DWSEF DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 11/12/2013 Certified 11/27/2013 1
DWSEF Amendments to the DW SEF IRS Fee Schedule 07/21/2020 Certified 08/04/2020 2
DWSEF DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) 02/03/2014 Certified 02/19/2014 1
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
DWSEF DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. 04/02/2019 Notified 04/02/2019 1
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
DWSEF DW SEF Market Regulation Advisory Notice re STP and Affirmation 05/31/2016 Certified 06/14/2016 2
DWSEF Notice to participants- SDR rewrite 11/22/2022 Certified 12/07/2022 2
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4