Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A 06/27/2014 Certified 07/15/2014 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook Rules: 202, 203,...,514 March 28, 2014 ICAP-2014-R-1 03/28/2014 Certified 04/12/2014 1
ICAPSEF Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. 10/17/2013 Certified 11/01/2013 1
ICAPSEF Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. 10/17/2013 Certified 11/01/2013 1
ICAPSEF Revised SEF Rulebook 09/16/2014 Withdrawn 10/01/2014 1
ICAPSEF Amended EBS Trading Protocol and Rules 202, 208 and 315 12/11/2015 Certified 12/28/2015 4
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 12/06/2013 Certified 12/21/2013 1
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook - Definitions and Rules 204, 205, 305, 315, 404. ICAPSEF #2014-R-3 05/22/2014 Certified 06/07/2014 0
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 07/02/2014 Certified 07/18/2014 1
ICAPSEF Amended fee card and discount program documents. 04/12/2017 Certified 04/26/2017 2
ICAPSEF Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
ICAPSEF Amended Rulebook to reflect NAL 16-76 11/01/2016 Certified 11/16/2016 3
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
ICAPSEF ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. 04/03/2014 Certified 04/18/2014 1
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
ICAPSEF Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Amended Rulebook 12/13/2016 Certified 12/28/2016 3
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - Specifically Rules 204, 404, 503 and 506 ICAP 2014-R-6 07/11/2014 Certified 07/25/2014 0
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
ICAPSEF Amended Form SEF pursuant to Regulation 37.3(b)(3) 08/11/2016 Certified 08/25/2016 5
ICAPSEF Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
ICAPSEF Revised exhibit to Rule 901 11/15/2016 Certified 11/30/2016 2
ICAPSEF Amended Rulebook 09/23/2016 Certified 10/07/2016 7
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook, specifically the Definitions and Rules 204 and 312. (October 31, 2013) 10/31/2013 Certified 11/16/2013 1
ICAPSEF Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
ICAPSEF Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
ICAPSEF Amended Fee Card 08/17/2016 Certified 08/31/2016 2
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and clarify the process by which IST intends to implement and enforce certain of its rules. 04/05/2016 Certified 04/19/2016 12
ICE SEF ICE Swap Trade, LLC - Rule Amendment - Revised Error Trade Policy - Submission 14-12 04/14/2014 Certified 04/29/2014 0
ICE SEF Amended its SEF Fee Schedule ICE SEF Submission #14-03 02/21/2014 Withdrawn 02/27/2014 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. 11/06/2015 Certified 11/23/2015 3
ICE SEF ICE Swap Trade, LLC - Rulebook Amendments - Effective July 9, 2014 06/25/2014 Certified 07/11/2014 1
ICE SEF ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. 12/19/2016 Certified 01/04/2017 5
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to clarify the process by which IST intends to implement and enforce certain of its rules and respond to guidance received from the Commission. 07/14/2016 Certified 07/28/2016 4
ICE SEF ICE Swap Trade LLC - Rule Amendment - Revised Error Trade Policy. ICE SEF #14-20 06/25/2014 Certified 07/11/2014 1
ICE SEF ICE Swap Trade, LLC is amending its Error Trade Policy. 11/07/2014 Certified 11/24/2014 2
ICE SEF ICE Swap Trade - Revising Rule 512 for clarity. Submission No. 14-08 03/28/2014 Certified 04/12/2014 1
ICE SEF ICE Swap Trade, LLC - Rule Amendment - Amended Rulebook Submission 13-09 (Letter dated December 4, 2013) 12/05/2013 Certified 12/20/2013 1
ICE SEF ICE Swap Trade LLC - Rule 701 Block Trade has been amended to remove reference to Packaged Transactions. Submission 14-02 February 5, 2014 02/06/2014 Certified 02/22/2014 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 09/16/2014 Certified 09/30/2014 2