Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. 01/16/2020 Certified 01/31/2020 2
BSEF CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 11/09/2023 Certified 11/27/2023 1
TRAD Changes to fee schedule 11/17/2014 Certified 12/02/2014 2
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
CBOESEF Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." 02/27/2017 Certified 03/13/2017 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 11/18/2014 Certified 12/03/2014 2
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook, Fee Schedule and Exhibit Q-2 to reflect recentdevelopments and provide clarity. 01/13/2015 Certified 01/28/2015 7
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 7, 2015. 11/19/2015 Certified 12/04/2015 1
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
IGDL Updates to IGDL's Fee Schedule and SEF Discount Structure Appendix to IGDL's Fee Schedule. 04/09/2019 Certified 04/23/2019 2
BSEF Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
ICE SEF ICE Swap Trade, LLC's Weekly Notification of Rule Amendments 05/26/2017 Notified 05/26/2017 3
TRAD Amendment to the Tradition SEF fee schedule. 08/13/2015 Certified 08/27/2015 2
CMSEF SEF Rulebook Amendment 04/28/2016 Certified 05/12/2016 1
BSEF Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
TRAD Modifications to Rules 101, 102, 209, 304, 308, 309, 311, 403, 404, 405, 409, 412, 503, 509, 510, 511, 512, 529, 706, and 902 within Tradition SEF's Rulebook, as well as other non-substantive revisions. 08/09/2024 Certified 08/23/2024 3
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
BSEF Rulebook Amendment 10/21/2016 Certified 11/04/2016 1
CMESEF Amendments to Chapter 4 ("Enforcement of Rules") 11/29/2016 Certified 12/13/2016 5
GFISEF Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. 01/09/2017 Certified 01/24/2017 1
TPSEF Rulebook amendment 10/11/2017 Certified 10/25/2017 1
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. 11/20/2015 Certified 12/07/2015 1
TWSEF TW SEF Fee Schedule Update 10/11/2022 Certified 10/25/2022 2
RF SEF Thomas Reuters SEF - Amendments to Rulebook Submission #14-01 01/13/2014 Certified 01/29/2014 1
CBOESEF The Amendment clarifies the recordkeeping requirements of Participants. 07/08/2022 Certified 07/22/2022 1
BGC Rule amendments 01/14/2015 Certified 01/29/2015 1
ISBV Updated Fee Structure and Incentives to reflect volatile markets. No substantive changes to the quantum of fees or incentives. In addition some conformance changes 07/08/2022 Certified 07/22/2022 4
TPSEF tpSEF - Amendments to Rulebook (dated January 10, 2014) 01/13/2014 Certified 01/29/2014 0
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 08/25/2014 Certified 09/09/2014 4
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program 05/08/2015 Certified 05/22/2015 1
TWSEF TW SEF Cover Letter re Fees (11.23.15)TW SEF FOIA Request with Justification (11.23.15)App. A1 - TW SEF Exhibit K (Fees) (Clean 11.23.15)App. A2 - TW SEF Exhibit K (Fees) (Marked 11.23.15)App. A3 - TW SEF Fees Schedules 11/23/2015 Certified 12/08/2015 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached filing. 07/22/2016 Certified 08/05/2016 1
DWSEF DW SEF Amended IRS Fee Schedule 10/24/2016 Certified 11/07/2016 1
GFISEF GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 07/01/2014 Certified 07/17/2014 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program. 05/08/2015 Certified 05/22/2015 1
DWSEF DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules 11/23/2015 Certified 12/08/2015 1
CBOESEF Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. 08/04/2020 Certified 08/18/2020 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-03) 03/12/2021 Certified 03/26/2021 1
SWAPX Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. 06/16/2021 Certified 07/01/2021 4
TDERIV Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S 06/30/2014 Certified 07/16/2014 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended, and Section 40.6(a) of the regulations of the CFTC, tpSEF Inc. hereby notifies the CFTC that it wishes to amend its Rulebook and Risk Mitigation Procedures. 04/29/2016 Certified 05/13/2016 1
BSEF Rulebook Amendment 11/30/2016 Certified 12/14/2016 2
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Rulebook 07/25/2018 Certified 08/08/2018 1
CBOESEF Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. 05/08/2020 Certified 05/22/2020 1
LGX LedgerX Amended Rulebook 03/12/2021 Certified 03/26/2021 1
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
TRAD Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. 03/23/2015 Certified 04/06/2015 2
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook and Exhibit Q-2 to reflect recent developments and provide clarity. 11/23/2015 Certified 12/08/2015 6
NEXSEF Amendment to Facility Rulebook 05/31/2017 Certified 06/14/2017 7
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/19/2018 Certified 11/02/2018 1