Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TRAD Amendment to the tradition SEF fee schedule 07/01/2015 Certified 07/16/2015 2
TRAD Amendments to the Tradition SEF Fee Schedule 11/27/2017 Certified 12/11/2017 2
NEXSEF Fee Program Amendment 12/15/2017 Certified 01/02/2018 2
TWSEF Weekly Notification of Rule Amendments for TW SEF - Week of September 30, 2019 10/07/2019 Notified 10/07/2019 2
NEXSEF Market Regulation Advisory Notice 2020-01 and related rulebook amendment 12/18/2019 Certified 01/03/2020 2
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 07/19/2017 Withdrawn 07/24/2017 5
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. 03/01/2019 Certified 03/15/2019 2
LGX LedgerX Fee Schedule Update 09/23/2020 Notified 09/23/2020 1
IGDL Notification of Amendments to Rulebook. 01/29/2021 Certified 02/12/2021 1
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook 02/09/2022 Certified 02/24/2022 1
AEGIS Modifications to - Exhibit N1a Market Participant Agreement 08/26/2024 Notified 08/26/2024 2
BSEF The Rulebook of Bloomberg SEF LLC ("Bloomberg SEF") has been amended in response to comments and questions received from the staff of the Commodity Futures Trading Commission, as well as potential users of Bloomberg SEF's swap execution facility. 10/08/2014 Certified 10/23/2014 2
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(d), tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B to its Rulebook effective as of the date hereof. 12/18/2015 Notified 12/18/2015 1
TRAD Amendments to Fee Schedule 10/07/2019 Certified 10/22/2019 2
TPSEF Notification of Amendments to Rulebook 01/29/2021 Certified 02/12/2021 1
TPSEF Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. 11/19/2013 Certified 12/05/2013 1
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 10/08/2014 Certified 10/23/2014 4
IGDL Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
CMESEF Elimination of CME SEF Rule 524 ("Uncleared Swaps") 12/18/2015 Certified 01/05/2016 1
RADSEF TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants 06/15/2016 Certified 06/29/2016 3
CBOESEF Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. 12/09/2016 Certified 12/23/2016 2
BSEF Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) 05/21/2020 Certified 06/05/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 01/29/2021 Notified 01/29/2021 1
LGX Compliance Manual Version Control 10/22/2021 Notified 10/22/2021 3
SWAPX Amendment of certain trade practice and disciplinary rules 09/15/2016 Certified 09/29/2016 4
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