Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
IGDL Rule 40.6 Rule Change for revised Fee Card 01/15/2015 Certified 01/30/2015 2
CMSEF Update of Exhibit N 09/08/2016 Certified 09/22/2016 1
TDERIV Self certification of SEF fees 10/17/2017 Certified 10/30/2017 1
IGDL Rule 40.6 Rule Change for revised Fee Card. I received an error message when I submitted submission 1501-1517-2029-78 that indicated the files did not upload. I am therefore resubmitting to ensure the files were included. 01/15/2015 Certified 01/30/2015 6
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
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
MKAXSEF Updated its Rulebook to reflect recent development and to provide clarity. Rules 101; 301,..., 315; 401,..., 409;..., 702;... 1006 02/11/2014 Certified 02/27/2014 1
RF SEF Thomas Reuters - Submission 14-02 - Amendments to Rulebook - Effective June 13, 2014 05/30/2014 Certified 06/14/2014 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/06/2017 Certified 06/20/2017 1
IGDL US Dollar Interest Swap Rate Swap Central Limit Order Book Market Making Incentive Program. IGDL - 2014-R-2 05/30/2014 Certified 06/14/2014 0
RF SEF Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. 05/02/2022 Certified 05/16/2022 2
TPSEF Amendments to Rule 3109 (Authorized Traders) and Rule 4013.A. (Cleared Swaps) of the tpSEF Rulebook. 09/16/2024 Certified 09/30/2024 1
GFISEF Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
TRAD Tradition SEF, Inc. Notice #14-03 - Observing the Martin Luther King Holiday on Monday, January 20, 2014 01/14/2014 Certified 01/30/2014 0
IGDL Revised Facility Rulebook 08/29/2014 Certified 09/15/2014 2
LATAM See Exhibit A of the Submission 06/22/2015 Certified 07/07/2015 2
IGDL Regulation 40.6(a) Rule Certification. 05/09/2018 Certified 05/23/2018 1
LGX Fee Schedule Change 12/09/2020 Notified 12/09/2020 1
IGDL Amendments to ICAP Global Derivatives Limiteds Rulebook 05/21/2024 Certified 06/05/2024 1
SWAPX SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 10/17/2013 Certified 11/01/2013 2
TRAD Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. 12/12/2014 Certified 12/29/2014 2
TPSEF Amendments to Rule 4012 (Confirmations and USIs) of the tpSEF Rulebook. 05/21/2024 Certified 06/05/2024 1
CBOESEF Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
BSEF Bloomberg SEF LLC hereby submits its self-certification of the BSEF Rulebook, to be effective on September 24, 2015. 09/09/2015 Certified 09/23/2015 2
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/10/2016 Certified 05/24/2016 2
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") 05/08/2018 Certified 05/22/2018 1
ISBV Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Nov '24, Dec '24 and Jan '25). Page 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. 10/24/2024 Certified 11/07/2024 3
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 10/17/2013 Certified 11/01/2013 0
TPSEF tpSEF Inc. - Amended Swap Execution Facility Application Exhibits. 06/02/2014 Certified 06/17/2014 0
ICE SEF EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. 10/01/2014 Certified 10/16/2014 2
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") 05/08/2018 Certified 05/22/2018 1
BSEF BSEF Compliance Manual 02/21/2019 Certified 03/07/2019 2
NEXSEF Modifications to the NEX SEF Fee Schedule 06/16/2020 Certified 06/30/2020 2
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 10/17/2013 Certified 11/01/2013 0
TWSEF TW SEF LLC Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 11/02/2020 Certified 11/17/2020 2
TWSEF Amendment of Rule 205 (Regulatory Oversight Committee) 02/03/2022 Certified 02/17/2022 4
NEXSEF Amendments to NEX SEF Rule 312(c) ("Enforceability of Transactions - Issuance of Facility Confirmations for Uncleared Transactions") of the NEX SEF Rulebook (Form SEF Exhibit M) 05/22/2024 Certified 06/06/2024 1
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
DWSEF Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions 01/16/2015 Certified 02/02/2015 1
NEXSEF Modifications to the NEX SEF Fee Schedule 03/17/2021 Certified 03/31/2021 2
CBOESEF (1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. 03/17/2022 Certified 03/31/2022 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
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 05/30/2014 Certified 06/14/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 01/16/2015 Certified 02/02/2015 2
TRAD Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. 03/27/2015 Certified 04/10/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby submits to the Commission certain rule amendment. 08/01/2016 Certified 08/15/2016 2
RADSEF New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references 11/03/2020 Certified 11/18/2020 4