Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook BSEF Submission No. 2024-R-08. 06/13/2024 Certified 06/28/2024 1
CBOESEF Revised - Javelin Determination of Made Available to Trade of certain Interest Rate Swaps (Submission 13-06R(3)) 01/08/2014 90 Day Review 01/14/2014 0
BGC Amendments to the fee schedule. 10/06/2015 Certified 10/21/2015 2
CBOESEF Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. 08/26/2016 Certified 09/12/2016 1
TRAD 40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" 11/17/2021 Certified 12/02/2021 1
CBOESEF Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. 08/18/2022 Certified 09/01/2022 1
TWSEF Market Participant Notice- SDR reporting 11/22/2022 Certified 12/07/2022 2
INFXSEF Making changes to order book execution explanations based on request contained in DMO Letter dated 11/21/14. 01/13/2015 Certified 01/28/2015 2
BGC These rule amendments are cumulative and are in response to suggestions and guidance from the staff. 10/06/2015 Certified 10/21/2015 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/01/2016 Certified 06/15/2016 1
TDERIV name change for GBP OIS floating rate index 04/30/2018 Notified 04/30/2018 1
CBOESEF Update the appeal provisions under Cboe SEF's Rules. 08/18/2022 Certified 09/01/2022 1
DWSEF Notice to participants- SDR rewrite 11/22/2022 Certified 12/07/2022 2
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 02/11/2015 Certified 02/26/2015 6
TDERIV Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. 03/19/2015 Certified 04/02/2015 1
TWSEF Update to Fee Schedule for Cross Currency Swaps 09/21/2020 Certified 10/05/2020 2
BSEF CFTC Regulation 40.6(a) Certification: Amendment to the Bloomberg SEF LLC Rulebook 11/15/2024 Certified 12/02/2024 1
ICE SEF ICE Swap Trade LLC - Rule Amendment - Revised Fee Schedule, Error Trade Policy and Block Trade FAQ. ICESEF #14-06 02/27/2014 Certified 03/14/2014 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) 05/10/2023 Certified 05/24/2023 1
IGDL Rule certification to amend Rule 902, IGDL's vRFQ protocols. 03/19/2015 Certified 04/02/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 10/06/2021 Certified 10/21/2021 1
NEXSEF Amendments to NEX SEF Rule 901(e) ("NEX SEF NDF System Protocol" - "The Matching Process") (Form SEF Exhibit M) in Connection with the Adoption of Conditional Price Increments for Certain Products. 08/07/2024 Certified 08/21/2024 1
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
LATAM CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 01/20/2022 Certified 02/03/2022 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-09. 06/13/2024 Certified 06/28/2024 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S 02/07/2014 Certified 02/25/2014 1
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4
SWAPX Clarifications and updates to existing rules 09/04/2015 Certified 09/21/2015 4
DWSEF Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP 07/22/2016 Certified 08/05/2016 6
BSEF BSEF Rulebook Amendment 07/26/2019 Certified 08/09/2019 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-R-2) 03/10/2021 Certified 03/24/2021 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 12/06/2013 Certified 12/21/2013 1
CMESEF Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 04/25/2014 Certified 05/10/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. 08/21/2014 Certified 09/05/2014 2
BSEF Bloomberg SEF LLC hereby submits its revised Rulebook, effective as of February 4, 2016. 01/20/2016 Certified 02/03/2016 1
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
BSEF Compliance Manual Amendment 07/26/2019 Certified 08/09/2019 2
TPSEF Notification of Amendments to Rulebook 03/10/2021 Certified 03/24/2021 1
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
TPSEF tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) 02/10/2014 Certified 02/26/2014 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook - Definitions and Rules 204, 205, 305, 315, 404. ICAPSEF #2014-R-3 05/22/2014 Certified 06/07/2014 0
IGDL Revised Fee Schedule 02/12/2015 Certified 02/27/2015 2
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook and Risk Mitigation Procedures. 10/07/2015 Certified 10/22/2015 1
IGDL Rule 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
BSEF Revised BSEF fee schedule 03/14/2018 Certified 03/28/2018 2
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. 05/01/2018 Certified 05/15/2018 3
TPSEF Amendments to tpSEF Fee Schedule 12/13/2019 Certified 12/30/2019 2