Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
GFISEF GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 07/01/2014 Certified 07/17/2014 1
GFISEF GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. 07/03/2014 Certified 07/19/2014 1
GFISEF Rulebook amendments 12/14/2015 Certified 12/29/2015 1
GFISEF GFI Swaps Exchange LLC Submission #13-0008 - Rulebook Amendments (December 10, 2013) 12/11/2013 Certified 12/27/2013 1
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 2
GFISEF We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 2
GFISEF Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
GFISEF Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 10/17/2013 Certified 11/01/2013 0
GFISEF Various Rulebook Amendments 02/25/2015 Certified 03/11/2015 1
GFISEF GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M 06/09/2014 Certified 06/24/2014 1
GFISEF GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) 03/18/2014 Certified 04/02/2014 0
GFISEF GFI Swaps - Amendments to GFI Rules 101, 508, 528, 529, 533, 601, 602, 1001. GFISEF #14-0007 03/18/2014 Certified 04/02/2014 1
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
GFISEF GFI Swaps Exchange Submission #14-0012 - Rule Amendments to GFI Rules 101, 401, 405, 525, 538, 541 06/11/2014 Certified 06/26/2014 1
GFISEF Amended Rule 406(b) to include 37.6(b) and 37.6(b)(1) incorporating documents for uncleared swaps and the ability to request docs for regulatory review should the commission ask for specific documents. \r\n Amended Rule 541(a) for SEF notification. 05/30/2024 Certified 06/13/2024 2
GFISEF Various Rulebook amendments 04/10/2015 Certified 04/24/2015 1
GFISEF We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
GFISEF GFI is amending the terms and conditions of its Rulebook, GFI SEF Rule 1101, and Appendix A - Contract Specifications to incorporate equity index swaps, option on variance swaps, and volatility swaps, as well as additional underlying indices for equities. 11/26/2024 Certified 12/10/2024 3
GFISEF Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions 01/04/2016 Certified 01/19/2016 1
GFISEF Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 12/17/2013 Certified 01/03/2014 2
GFISEF GFI Swaps is publishing certain revisions to its fee schedule. GFISEF #14-0010 05/06/2014 Certified 05/21/2014 1
GFISEF GFI Swaps Exchange LLC Submission #13-0011 (Letter dated December 18, 2013) Amendments to GFI Rules 101, 528, 529, 533, 903, and 914 12/19/2013 Certified 01/07/2014 1
GFISEF GFI Swaps Exchange LLC Submission #13-0012 12/19/2013 Certified 01/07/2014 1
GFISEF Please find attached changes to certain rules to align more closely with the language of the Commission Rules and also amendments made in response to guidance of Commission staff. 02/28/2022 Certified 03/14/2022 1
GFISEF Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) 02/19/2014 Certified 03/06/2014 1
GFISEF Modifications to Fee Schedule. GFISEF #13-0001 10/17/2013 Certified 11/01/2013 0
GFISEF GFI Swaps Exchange Withdrawal of GFI Rule 507(c) and Submission #14-0002. GFISEF #14-0003 02/19/2014 Certified 03/06/2014 1
GFISEF Revised fee schedule 10/30/2014 Certified 11/14/2014 2
GFISEF GFI Swaps Exchange LLC Submission #13-0012 -- Amendment to Rule 507(c) Matching of Orders 12/20/2013 Certified 01/08/2014 1
GFISEF CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA 07/24/2023 Certified 08/07/2023 1
GFISEF Various Rulebook amendments 12/23/2014 Withdrawn 01/05/2015 1
GFISEF Holiday Closures 12/23/2014 Certified 01/08/2015 1
GFISEF GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 11/01/2013 Certified 11/19/2013 1
GFISEF GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M 06/18/2014 Certified 07/03/2014 1
GFISEF Rulebook Amendments - GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
GTX Amendment to Rulebook. 04/07/2016 Certified 04/21/2016 5
GTX Amendment to Fee schedule. 02/10/2015 Certified 02/25/2015 1
GTX Fee Schedule 08/24/2017 Certified 09/08/2017 1
GTX Rulebook Amendments 07/11/2017 Certified 07/25/2017 1
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
GTX Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. 02/16/2018 Certified 03/05/2018 1
GTX GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 06/13/2014 Certified 06/28/2014 1
GTX GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 06/16/2014 Certified 07/01/2014 1
ICAPSEF Amended Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICAPSEF Rulebook amendments to set forth new Rules designed to meet the 10-minute AQATP standard; MRAN 2016-7 to explain the new Rules to Participants. 07/11/2016 Certified 07/25/2016 9
ICAPSEF ICAP SEF - Amended Rulebook - ICAPSEF #2014-R4 06/26/2014 Certified 07/12/2014 1