Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook. 09/21/2016 Certified 10/05/2016 4
ICE SEF ICE Swap Trade - Rule Amendment - Amended Rulebook - Submission 14-10 March 25, 2014 03/25/2014 Certified 04/09/2014 1
ICE SEF Part 40 Rule Amendment - Amended Fee Schedule 05/09/2017 Certified 05/23/2017 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. 07/17/2015 Certified 07/31/2015 4
ICE SEF Administrative edits to IST Rulebook 02/15/2021 Notified 02/15/2021 4
ICE SEF The SEF corrected typographical errors in Rules 1226 and 1233 relating to two Markit iTraxx Crossover Index contracts. 10/29/2014 Notified 10/29/2014 2
ICE SEF Listingof Commodity Swaps and Related Rule Amendments. ICE SEF #13-02 10/17/2013 Certified 11/01/2013 1
ICE SEF ICE Swap Trade, LLC - weekly notification of rule changes. 11/14/2018 Notified 11/14/2018 4
ICE SEF Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 10/17/2013 Certified 11/01/2013 1
ICE SEF Updating a reference from an expiring CFTC No-Action Letter to the current iteration 11/18/2020 Notified 11/18/2020 4
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook Submission 14-02 (February 11, 2014) 02/12/2014 Withdrawn 04/30/2014 Stay applies to (1) Definition of "Packaged Transaction"; and (2) Rule 701(a) and (k) in ICE Swap Trade, LLC Rulebook 3
ICE SEF The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. 09/20/2017 Certified 10/04/2017 4
ICE SEF ICE Swap Trade LLC - Rule Amendment - Amended Rulebook Submission #14-18 Effective June 27, 2014 06/13/2014 Certified 06/28/2014 1
ICE SEF Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 11/25/2013 Certified 12/11/2013 0
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. 02/23/2016 Certified 03/08/2016 5
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
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