Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BGC Technical corrections and amendments to rules. 05/27/2015 Certified 06/10/2015 1
BGC Amendment raising 5 second cross-delay to 15 seconds. 04/10/2015 Certified 04/24/2015 1
BGC Amended Rule 403(b) to reference Rule 515. 05/30/2024 Certified 06/13/2024 2
BGC Implementation document for an incentive program. 04/10/2015 Certified 04/24/2015 2
BGC We are submitting on behalf of our client, BGC Derivative Markets, LP ("BGC") new Rule 516, 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
BGC BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) 11/01/2013 Certified 11/19/2013 1
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed rule amendments. 01/05/2016 Certified 01/20/2016 1
BGC BGC Derivative Markets, L.P. submits these rule amendments to reflect codification of CFTC No Action Letters. 02/16/2021 Notified 02/16/2021 1
BGC Amending the rulebook to include additional clearing organizations. 03/31/2016 Certified 04/14/2016 1
BGC BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. 07/24/2023 Certified 08/07/2023 3
BGC The attached amendments are made in response to suggestions and guidance from staff. 08/31/2015 Certified 09/15/2015 1
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker 07/25/2023 Certified 08/08/2023 1
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4
AEGIS Updates to AEGIS Markets Rulebook and Exhibit K (Fee Schedule) 12/05/2024 Notified 12/05/2024 5
AEGIS Rule Amendment - 4.10.2 - Removes No Action Letter language which is no longer needed per adoption by CFTC of amended rule 37.6 05/20/2024 Notified 05/20/2024 3
AEGIS Rule 4.4 - Clean up of description of `electronic messaging capability' Rule 4.15.2 - Remove reference to 'electronic communications capability'Rule 9.8 - Correction of rule reference 11/19/2024 Notified 11/19/2024 3
AEGIS The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. 10/14/2022 Certified 10/28/2022 3
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
AEGIS Updates to AEGIS Markets Rulebook and Exhibit K (Fee Schedule) 12/09/2024 10 Day Review 12/09/2024 5
AEGIS Modifications to - Exhibit N1a Market Participant Agreement 08/26/2024 Notified 08/26/2024 2
AEGIS The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. 10/19/2022 Certified 11/02/2022 6
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
AEGIS NEW - Exhibit N1a Participant Agreement for Market Participants 07/11/2024 Notified 07/11/2024 2
AEGIS Rulebook and Exhibit N-1 Participant Agreement amended to allow for Block Trades 12/10/2024 10 Day Review 12/10/2024 4
AEGIS Amendments to Exhibit N-1 Participant Agreement 11/03/2022 Notified 11/03/2022 2
AEGIS Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule 07/26/2022 Notified 07/26/2022 4
AEGIS Contract Position Accountability Levels Table 08/30/2022 Certified 09/14/2022 1
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
360T Various amendments to 360T Rulebook 12/24/2014 Certified 01/09/2015 5
360T terminology update 03/24/2023 Certified 04/07/2023 7
360T The Rulebook has been amended in response to 360T functionality development. 04/17/2020 Certified 05/01/2020 6
360T 360 Trading Networks, Inc. amendment to Form SEF 11/27/2013 Certified 12/13/2013 0
360T Rulebook and User Guides updated in view of CFTC comments and participant queries. 09/30/2015 Certified 10/14/2015 5
360T 360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. 03/13/2015 Certified 03/27/2015 4
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 08/10/2017 Certified 08/24/2017 5
360T Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. 08/04/2015 Certified 08/17/2015 4
360T 360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 02/25/2014 Certified 03/12/2014 1
360T Amendments to 360T SEF Application for Registration and documents with request for confidential treatment. October 2, 2013 10/17/2013 Certified 11/01/2013 0
360T Revision of Rulebook and User Guides. 09/13/2016 Certified 09/27/2016 7
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 07/19/2017 Withdrawn 07/24/2017 5
360T Revision of Rulebook and User Guides 11/26/2015 Certified 12/09/2015 14
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 1
360T 360 Trading Networks Inc. ("360T") hereby files the attached amendments to its Fee Schedule for 360T Participants. The Fee Schedule has been amended in response to 360T business development. 04/30/2019 Certified 05/14/2019 3
360T The 360T Rulebook has been amended in response to regulatory development. Added Rule 527 (Post-Trade Name Give-Up). 11/12/2020 Certified 11/27/2020 8