Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) 12/21/2015 Certified 01/06/2016 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
TPSEF Updates to Appendix B to the tpSEF Rulebook - Swap Specifications 12/15/2017 Notified 12/15/2017 1
NEXSEF Update to Effective Date of MRAN 2019-01 03/04/2019 Notified 03/04/2019 2
TPSEF Amendments to tpSEF rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
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
TDERIV Notification of SEF pricing structure effective 11/3/15 10/20/2015 Certified 11/03/2015 1
NEXSEF Market Regulation Advisory Notices and Rulebook Amendment 12/15/2017 Certified 01/02/2018 4
BSEF Amended Compliance Manual 04/02/2018 Certified 04/16/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 08/10/2018 Certified 08/24/2018 2
TWSEF TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
IGDL Weekly Notification of Rule Amendments pursuant to CFTC Regulation 40.6(d)(x); reduction in minimum price fluctuation for certain contracts. 04/06/2015 Notified 04/06/2015 2
TRAD Amendments to Tradition SEF Rulebook. 08/31/2017 Certified 09/15/2017 2
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of February 28, 2019. 03/04/2019 Notified 03/04/2019 1
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
BGC Amendment to the Volume Match and Volume Match prices rules. 05/27/2015 Certified 06/10/2015 1
TRAD Amendments to the StreamGlobal Platform Supplement. 08/31/2017 Certified 09/15/2017 2
IGDL Notification of certain non-substantive revisions to the ICAP Global Derivatives Limited Rulebook effective as of March 1, 2019. 03/04/2019 Notified 03/04/2019 1
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
BGC Technical corrections and amendments to rules. 05/27/2015 Certified 06/10/2015 1
TWSEF TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. 12/10/2018 Notified 12/10/2018 2
TDERIV Notice of change to execution fees charged to respondents trading on the trueEX Trading System. 03/04/2019 Certified 03/18/2019 3
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
BSEF CFTC Regulation 40.6(a) Certification: Amendment to the Bloomberg SEF LLC Rulebook 05/23/2024 Certified 06/07/2024 1
CBOESEF Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. 07/21/2014 Certified 08/04/2014 3
TRAD Amendments to Tradition SEF Rulebook 07/09/2015 Certified 07/23/2015 2
SWAPX Non-substantive amendment of Rule 513(c) regarding Post-Trade Anonymity. 06/30/2021 Notified 06/30/2021 3
RTX Self Certification of our Fee Schedule 10/03/2023 Certified 10/18/2023 2
GFISEF GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) 03/18/2014 Certified 04/02/2014 0
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
TWSEF Market Regulation Advisory Notice: Trading and Execution Protocols 04/06/2015 Certified 04/20/2015 2
BSEF Rulebook Amendment 04/27/2017 Certified 05/11/2017 1
NEXSEF Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3
NEXSEF Conforming Amendments to NEX SEF Limited Form SEF to Reflect Revisions to the NEX SEF Board of Directors Composition 12/14/2020 Certified 12/29/2020 2
SPECTR Submission of SpectrAxe's Reverse Give Up Credit Program 08/29/2024 Certified 09/13/2024 3
SEED CX An updated rulebook, modified during usual review of rule consistencies and market structure. 09/01/2017 Certified 09/18/2017 3
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook related to 37.6 amendments and other grammatical amendments 05/24/2024 Certified 06/10/2024 1
TWSEF TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
MKAXSEF Rulebook changes to reflect recent developments and to provide clarity. 11/09/2016 Certified 11/25/2016 4
IGDL Amendment to IGDL's Rulebook. 12/18/2017 Certified 01/03/2018 1
TRAD Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. 06/30/2021 Certified 07/15/2021 1
BSEF Amendments to the Bloomberg SEF LLC Rulebook 08/29/2024 Certified 09/13/2024 1
CBOESEF Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 06/09/2014 Certified 06/24/2014 1
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
TRAD Amendments to Tradition SEF Rulebook. 11/28/2017 Certified 12/12/2017 2
TDERIV Change of exchange opening hours 08/14/2018 Notified 08/14/2018 1
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 1
NEXSEF Modifications to the NEX SEF LATAM EBS NDF Streaming Incentive Program 02/11/2022 Certified 02/28/2022 2