Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TWSEF Updates to the TWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 2
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
LGX Inclusion of new d/b/a MIAX Derivatives Exchange in Rulebooks 06/07/2024 Notified 06/07/2024 1
GFISEF GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 02/05/2014 Withdrawn 02/19/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective July 1, 2014 Submission #2014-R-4 06/27/2014 Certified 07/15/2014 1
LGX Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. 06/11/2018 Certified 06/25/2018 4
TPSEF Amendments to tpSEF Fee Schedule 12/09/2019 Certified 12/23/2019 2
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A 06/27/2014 Certified 07/15/2014 1
SEED CX Weekly Notification of Rule Amendments 03/05/2018 Notified 03/05/2018 1
BSEF Bloomberg SEF LLC - Rule Amendment - Revised Fees (2024-R-18) 12/03/2024 Certified 12/17/2024 1
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A 06/27/2014 Certified 07/15/2014 1
CMSEF SEF Rulebook Amendment 07/31/2015 Certified 08/14/2015 3
BSEF Notice to Participants 01/14/2016 Certified 01/29/2016 1
TWSEF Amendments to TW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
SEED CX Seed SEF is amending various rules to clarify certain definitions and to make substantive revisions to Chapters 7 (Contract Settlement) and 9 (Arbitration) 01/12/2018 Withdrawn 01/16/2018 2
TRAD Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. 04/01/2019 Certified 04/15/2019 3
LGX Weekly notification, withdrawal fee change 11/12/2021 Notified 11/12/2021 1
LGX Updates to Participant Agreement 06/07/2024 Certified 06/24/2024 2
TPSEF Amendments to Rules 4003.A. (Execution of Transactions) and 4011 (Time Delay Requirement for Required Cross Transactions) of the tpSEF Rulebook. 12/03/2024 Certified 12/17/2024 1
SWAPX Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 12/04/2013 Certified 12/19/2013 0
BSEF Notice to Participants 01/14/2016 Certified 01/29/2016 1
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
NEXSEF Revised Fee Program discount programs 07/17/2018 Certified 07/31/2018 2
TPSEF Amendments to tpSEF Inc. Risk Mitigation Procedures. 12/03/2024 Certified 12/17/2024 1
ICE SEF ICE Swap Trade, LLC - Rule Amendment - Amended Rulebook Submission 13-09 (Letter dated December 4, 2013) 12/05/2013 Certified 12/20/2013 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook Rules: 202, 203,...,514 March 28, 2014 ICAP-2014-R-1 03/28/2014 Certified 04/12/2014 1
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/14/2016 Certified 01/29/2016 1
BSEF BSEF Rulebook Amendment 02/21/2017 Certified 03/07/2017 1
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 06/11/2021 Certified 06/25/2021 4
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
TWSEF Amended Fee Schedule for CAD Swaps for API Participants 11/28/2016 Certified 12/12/2016 1
BSEF BSEF Compliance Manual Amendment 02/21/2017 Certified 03/07/2017 1
DWSEF DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. 04/02/2019 Notified 04/02/2019 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/17/2019 Certified 07/31/2019 1
LGX Submission of Revised fee schedule 03/04/2020 Certified 03/18/2020 2
LGX Updates to User Agreement 06/07/2024 Certified 06/24/2024 2
ICE SEF ICE Swap Trade LLC - Rule 701 Block Trade has been amended to remove reference to Packaged Transactions. Submission 14-02 February 5, 2014 02/06/2014 Certified 02/22/2014 1
TRAD Amendments to Tradition SEF Rulebook. 07/15/2016 Certified 07/29/2016 2
NEXSEF Amended Facility Rulebook 07/17/2019 Certified 07/31/2019 6
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1
IGDL Amended Rulebook - specifically the Definitions and Rules 204, 304, 305, 315, 404. IGDL 2014-R-1 05/16/2014 Certified 05/31/2014 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Compliance Manual (BSEF-2021-R-07) 07/23/2021 Certified 08/06/2021 1
NEXSEF Weekly Notification of Rule Amendments - Week of September 27, 2021 10/04/2021 Notified 10/04/2021 1
IGDL Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook 07/31/2023 Certified 08/14/2023 1
TRAD Revisions to the StreamGlobal Platform Supplement 12/21/2016 Certified 01/06/2017 2