Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
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
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