Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP 07/22/2016 Certified 08/05/2016 6
DWSEF DW SEF Amended IRS Fee Schedule 10/24/2016 Certified 11/07/2016 1
DWSEF DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules 11/23/2015 Certified 12/08/2015 1
DWSEF SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
DWSEF Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions 01/16/2015 Certified 02/02/2015 1
DWSEF DW SEF Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
DWSEF DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
DWSEF New Rule 419 to prohibit Post-Name Trade Give Up in accordance with 37.9(d) 11/05/2020 Certified 11/20/2020 6
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
DWSEF DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
DWSEF DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
DWSEF DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) 12/21/2015 Certified 01/06/2016 1
DWSEF Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) 10/21/2013 Certified 11/05/2013 0
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
DWSEF DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
DWSEF DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
DWSEF Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. 10/16/2014 Certified 10/30/2014 2
DWSEF DW SEF Rulebook Amendments 04/11/2018 Certified 04/25/2018 4
DWSEF Revised and amended Rulebook for DW SEF LLC. 07/29/2014 Certified 08/12/2014 13
DWSEF Amended Fee Schedule 06/15/2017 Certified 06/29/2017 1
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4
DWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 3
DWSEF DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) 01/07/2016 Certified 01/22/2016 2
DWSEF Emergency Rule Certification - Notice to DW SEF Participants - no-action relief relating to onboarding and pre-trade screening of orders 10/17/2013 Certified 11/01/2013 0
DWSEF Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
DWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
DWSEF DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. 11/01/2013 Certified 11/19/2013 1
DWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
FTSEF Amendments to FTSEF Product Specifications and FTSEF Rules 101, 202, 205, 212, 301, 317, 401, 402, 403, 404, 405, 408, 409, 503, 602, 703, 924,1001, 1003, 1011, 1012, 1013, 1016, Chapter 13 04/01/2016 Certified 04/15/2016 5
FTSEF The Rulebook has been amended to update certain No Action Letters on which it relies. 03/13/2019 Certified 03/27/2019 3
GFISEF Amendments to Rule 509(c) - GFISEF Submission #13-0005 11/26/2013 Certified 12/12/2013 1
GFISEF Modifying the Exchange's Fee Schedule. GFISEF Submission #13-0004 11/26/2013 Certified 12/12/2013 1
GFISEF Certification that these rules comply with the Commodity Exchange Act and the Commission's regulations. The document includes a concise analysis of the operation, purpose and effect of each of the amended rules. 10/19/2020 Certified 11/02/2020 1
GFISEF Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU 10/20/2020 Certified 11/03/2020 1
GFISEF Withdrawal of Registration Submission #14-0012W 06/25/2014 Certified 07/11/2014 1
GFISEF GFI Swaps Submission #14-0008 - Amendments to Rules 101, 528, 529, 533 and 1101. March 27, 2014 03/27/2014 Certified 04/11/2014 1
GFISEF Miscellaneous Rulebook amendments 12/31/2014 Certified 01/15/2015 4
GFISEF Various Rulebook Amendments 11/11/2015 Certified 11/25/2015 1
GFISEF Various Rulebook Amendments 09/30/2015 Certified 10/15/2015 2
GFISEF GFI Swaps Exchange LLC USD Interest Rate Swap Streaming Liquidity Market Maker Incentive Program. GFISEF #14-0001 02/05/2014 Withdrawn 02/19/2014 1
GFISEF Publishing a revised Fee Schedule. GFISEF #14-0004 02/25/2014 Certified 03/12/2014 1
GFISEF Matching Session Description 09/30/2015 Certified 10/15/2015 2
GFISEF GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 02/05/2014 Withdrawn 02/19/2014 1
GFISEF Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 06/27/2014 Certified 07/15/2014 1
GFISEF 40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" 08/05/2015 Certified 08/19/2015 2
GFISEF Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 12/05/2013 Certified 12/20/2013 1
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
GFISEF Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. 01/09/2017 Certified 01/24/2017 1