Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
CBOESEF Bats Hotspot SEF has revised its rulebook in order to remove interest rate swaps, add non-deliverable forwards and reflect changes to governance and disciplinary processes resulting from ownership changes. 04/21/2017 Certified 05/05/2017 2
ICE SEF Rulebook amendments to reflect upcoming changes by the index provider for Singapore Gasoil (0.05% sulfur Gasoil grade). 07/14/2017 Notified 07/14/2017 3
NEXSEF Weekly Submission of Rule Amendments 02/02/2018 Notified 02/02/2018 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/19/2021 Notified 03/19/2021 1
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. 09/28/2023 Certified 10/13/2023 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
SWAPX Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) 11/15/2013 Certified 12/03/2013 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 09/11/2015 Certified 09/25/2015 2
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 (the "Commission"), Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has amended itsRulebook. 08/04/2016 Certified 08/18/2016 2
TWSEF Amended Fees Schedules 09/12/2016 Certified 09/26/2016 3
NEXSEF Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider 08/17/2020 Certified 08/31/2020 4
GFISEF Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 10/17/2013 Certified 11/01/2013 0
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Withdrawn 08/21/2015 3
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF Inc. hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 06/13/2016 Certified 06/27/2016 1
BSEF Pursuant to Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants. 08/04/2016 Certified 08/18/2016 2
BSEF Rulebook amendment 04/21/2017 Certified 05/05/2017 1
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 02/27/2023 Certified 03/13/2023 1
MKAXSEF Amended MarketAxess application for registration as a SEF. (October 17, 2013) 10/17/2013 Certified 11/01/2013 0
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
SWAPX Advisory Notices to SwapEx Market Participants 01/20/2015 Certified 02/03/2015 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook 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. 05/18/2015 Certified 06/02/2015 2
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Certified 09/03/2015 3
CBOESEF Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. 09/17/2018 Certified 10/01/2018 1
CMSEF Rule Certification 11/06/2020 Certified 11/23/2020 2
MKAXSEF Updating the Rulebook to reflect recent developments and to provide clarity. (10-17-13) 10/17/2013 Certified 11/01/2013 0
ICE SEF ICE Swap Trade LLC - Fee Schedule Amendment - Submission 14-16 06/04/2014 Certified 06/19/2014 1
TPSEF Regulation 40.6 certification of tpSEF's procedures for risk mitigation sessions. 01/20/2015 Certified 02/03/2015 1
IGDL Revised Discount Structure Appendix 03/17/2016 Certified 03/31/2016 2
BSEF Compliance Manual amendment 04/21/2017 Certified 05/05/2017 1
LATAM Mexican TIIE Fixed/Floating Interest Rate Swap, Mexican TIIE/U.S. Dollar 1-Month Libor Cross-Currency Basis Swap, Mexican UDI/TIIE Interest Rate Swap, Mexican UDI/U.S. Dollar 6-Month Libor Cross-Currency Basis Swap, Peruvian PEN/TIS Interest Rate Swap, Me 07/17/2017 Certified 07/31/2017 1
LGX Amended Operations Manual 10/18/2017 Certified 11/01/2017 4
SWAPX The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 01/28/2021 Certified 02/11/2021 4
TWSEF TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) 10/21/2013 Certified 11/05/2013 0
TPSEF tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) 02/21/2014 Certified 07/29/2014 1
TRAD Tradition SEF, Inc. - Amendments to Trad-X Platform Supplement - TRAD #14-17 06/05/2014 Certified 06/20/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 07/02/2015 Certified 07/17/2015 1
LGX Submission of revised fee schedule. 03/27/2018 Certified 04/10/2018 1
BSEF Addendum to BSEF-NFA Regulatory Services Agreement 09/22/2020 Certified 10/06/2020 2
CBOESEF Amendment to Exhibit A to Form SEF 10/18/2022 Certified 11/01/2022 1
NEXSEF Amendments to NEX SEF Rule 901 ("System Protocols") of the NEX SEF Rulebook (Form SEF Exhibit M) and the Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2023-01 08/15/2023 Certified 08/29/2023 2
DWSEF DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
INFXSEF Rulebook amendments to incorporate non-material changes requested by Commission Staff. Amendments will become effective on November 25, 2013. 11/19/2013 Certified 12/05/2013 1
TDERIV This is an EMERGENY RULE CERTIFICATION to incorporate the reference to CFTC no-action letter 16-58 and the new expiration date, and to remove reference to CFTC no-action letter 15-24 and its June 15, 2016 expiration. 06/14/2016 Certified 06/27/2016 1
360T Revision of Rulebook and User Guides. 09/13/2016 Certified 09/27/2016 7
INFXSEF Amendments to Rulebook clarify the process of submitting an RFQ onto the INFX SEF RFQ Platform. (10-22-13) 10/22/2013 Certified 11/06/2013 1
GFISEF Various Rulebook Amendments 02/25/2015 Certified 03/11/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 04/02/2015 Certified 04/16/2015 4
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3