Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/28/2021 Notified 05/28/2021 1
AEGIS Contract Position Accountability Levels Table 08/30/2022 Certified 09/14/2022 1
ICE SEF Listingof Commodity Swaps and Related Rule Amendments. ICE SEF #13-02 10/17/2013 Certified 11/01/2013 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook (Submission 13-05) October 30, 2013 10/31/2013 Certified 11/16/2013 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/17/2016 Withdrawn 02/24/2016 4
ICAPSEF Amended Rulebook 09/23/2016 Certified 10/07/2016 7
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. 03/20/2023 Certified 04/03/2023 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook, specifically the Definitions and Rules 204 and 312. (October 31, 2013) 10/31/2013 Certified 11/16/2013 1
TRAD Amendments to Tradition SEF Trad-X Platform Supplement. 03/31/2016 Certified 04/14/2016 1
ICAPSEF Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2019-R-10). 11/01/2019 Certified 11/18/2019 1
TWSEF TW SEF Fee update for GBP swaps 08/30/2021 Certified 09/14/2021 3
GFISEF Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) 02/19/2014 Certified 03/06/2014 1
IGDL Revised Facility Rulebook 08/06/2014 Certified 08/20/2014 2
TPSEF Deletion of Rules 4013(e) and (f) to reflect the expiration of the no-action relief granted in CFTC 14-121. 03/11/2015 Certified 03/25/2015 1
IGDL Amended Rulebook 09/23/2016 Certified 10/07/2016 3
ICE SEF ICE Swap Trade, LLC - weekly notification of rule changes. 11/14/2018 Notified 11/14/2018 4
TRAD Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. 03/18/2019 Certified 04/01/2019 4
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2019-R-09). 11/01/2019 Certified 11/18/2019 1
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 02/13/2020 Certified 02/28/2020 1
LGX LedgerX Revised Participant Agreement 05/28/2021 Certified 06/14/2021 1
NEXSEF Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. 10/26/2023 Certified 11/09/2023 3
ICE SEF Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 10/17/2013 Certified 11/01/2013 1
GTX GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 06/13/2014 Certified 06/28/2014 1
TDERIV self certification of fees on the SEF Trading System 08/16/2016 Certified 08/30/2016 1
IGDL Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
TWSEF New Fee Schedule for TW SEF 06/16/2017 Certified 06/30/2017 1
BSEF BSEF Rulebook Amendment 12/21/2018 Certified 01/08/2019 1
ICE SEF Updating a reference from an expiring CFTC No-Action Letter to the current iteration 11/18/2020 Notified 11/18/2020 4
GFISEF Modifications to Fee Schedule. GFISEF #13-0001 10/17/2013 Certified 11/01/2013 0
GFISEF GFI Swaps Exchange Withdrawal of GFI Rule 507(c) and Submission #14-0002. GFISEF #14-0003 02/19/2014 Certified 03/06/2014 1
GFISEF Revised fee schedule 10/30/2014 Certified 11/14/2014 2
IGDL IGDL-2022-R-1 - 40.6(a) Rule Certification (3.1.2022) 03/01/2022 Certified 03/15/2022 2
MKAXSEF MarketAxess SEF Corporation - Rulebook updated to reflect recent developments and to provide clarity. Letter dated November 5, 2013. Amended Rulebook will be effective November 21, 2013. 11/05/2013 Certified 11/21/2013 1
TDERIV trueEX LLC Rule Amendments, Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-07S 04/09/2014 Certified 04/24/2014 1
MKAXSEF MarketAxess SEF Corporation - Updated its Rulebook to reflect recent developments and to provide clarity. Effective June 30, 2014 06/16/2014 Certified 07/01/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 09/20/2017 Certified 10/04/2017 2
MKAXSEF MarketAxess SEF Corporation - Amended for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 11/05/2013 Certified 11/21/2013 0
INFXSEF INFX SEF, Inc. - Amendments to Rulebook: incorporated requested changes by Commission staff - Notice 13-06(a) (Letter dated December 20, 2013) 12/20/2013 Certified 01/08/2014 1
GTX GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 06/16/2014 Certified 07/01/2014 1
ICE SEF The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. 09/20/2017 Certified 10/04/2017 4
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 04/13/2020 Certified 04/27/2020 1
GFISEF GFI Swaps Exchange LLC Submission #13-0012 -- Amendment to Rule 507(c) Matching of Orders 12/20/2013 Certified 01/08/2014 1
TPSEF tpSEF Inc. Rulebook Amendments - Submission #14-03R - July 1, 2014 06/16/2014 Certified 07/01/2014 1
IGDL Amended Fee Card 08/17/2016 Certified 08/31/2016 2
LGX LedgerX revised Participant Agreement 05/28/2021 Certified 06/14/2021 4
MKAXSEF Rulebook update 08/31/2021 Notified 08/31/2021 3
TRAD CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. 07/24/2023 Certified 08/07/2023 3
INFXSEF Rulebook amendments in response to comments and questions received from Commission staff. 10/18/2013 Certified 11/02/2013 0
ICAPSEF Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4