Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TWSEF TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) 05/21/2020 Certified 06/05/2020 1
RF SEF This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF 11/20/2023 Notified 11/20/2023 3
SPECTR Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program 01/05/2024 Certified 01/22/2024 4
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) 12/12/2013 Certified 12/28/2013 1
ICAPSEF ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. 04/03/2014 Certified 04/18/2014 1
NEXSEF Revised Fee Schedule, market maker program and discount program 06/12/2017 Certified 06/26/2017 4
DWSEF DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
NEXSEF Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) 05/21/2020 Certified 06/05/2020 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF - effective June 21, 2014 BSEF 2014-R-3 06/06/2014 Certified 06/21/2014 1
TDERIV self certification of fees for the SEF Trading System 11/06/2016 Certified 11/21/2016 1
TRAD Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement 03/29/2018 Certified 04/12/2018 3
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. 12/14/2020 Certified 12/29/2020 1
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
AEGIS The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. 10/19/2022 Certified 11/02/2022 6
CBOESEF Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 04/04/2014 Certified 04/19/2014 1
GFISEF GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M 06/09/2014 Certified 06/24/2014 1
360T Revision of Rulebook and User Guides 11/26/2015 Certified 12/09/2015 14
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
RADSEF Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters 03/30/2018 Certified 04/13/2018 3
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
BSEF Amended governance documentation (Operating Agreement and Information About Board of Directors) 05/22/2020 Certified 06/05/2020 1
IGDL Amendments to IGDL rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
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