Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) 02/21/2014 Certified 07/29/2014 1
TRAD Tradition SEF, Inc. - Amendments to Trad-X Platform Supplement - TRAD #14-17 06/05/2014 Certified 06/20/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 07/02/2015 Certified 07/17/2015 1
LGX Submission of revised fee schedule. 03/27/2018 Certified 04/10/2018 1
BSEF Addendum to BSEF-NFA Regulatory Services Agreement 09/22/2020 Certified 10/06/2020 2
CBOESEF Amendment to Exhibit A to Form SEF 10/18/2022 Certified 11/01/2022 1
NEXSEF Amendments to NEX SEF Rule 901 ("System Protocols") of the NEX SEF Rulebook (Form SEF Exhibit M) and the Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2023-01 08/15/2023 Certified 08/29/2023 2
DWSEF DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
INFXSEF Rulebook amendments to incorporate non-material changes requested by Commission Staff. Amendments will become effective on November 25, 2013. 11/19/2013 Certified 12/05/2013 1
TDERIV This is an EMERGENY RULE CERTIFICATION to incorporate the reference to CFTC no-action letter 16-58 and the new expiration date, and to remove reference to CFTC no-action letter 15-24 and its June 15, 2016 expiration. 06/14/2016 Certified 06/27/2016 1
360T Revision of Rulebook and User Guides. 09/13/2016 Certified 09/27/2016 7
RF SEF Amendments to i) accommodate the execution of Block Trades; and ii) describe the manner in which participants elect to treat such trades as Block Trades. 09/20/2024 Certified 10/04/2024 1
INFXSEF Amendments to Rulebook clarify the process of submitting an RFQ onto the INFX SEF RFQ Platform. (10-22-13) 10/22/2013 Certified 11/06/2013 1
GFISEF Various Rulebook Amendments 02/25/2015 Certified 03/11/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 04/02/2015 Certified 04/16/2015 4
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3
CMSEF SEF Rule Amendment 08/04/2016 Certified 08/18/2016 1
ICE SEF ICE Swap Trade, LLC is amending its Compliance Manual. 01/17/2017 Certified 01/31/2017 4
BSEF Amended Compliance Manual (BSEF-2018-R-08) 11/01/2018 Certified 11/16/2018 2
CBOESEF Rules amendments to provide (a)for use of Javelin systems to communicate bids and offers to Javelin to insure compliance with Reg 37.9(b) and (b) state in rulebook that bid and offers in voice order book will be disclosed to all market participants. 05/21/2015 Certified 06/05/2015 1
LGX New Fee Schedule 10/25/2024 Certified 11/08/2024 1
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
INFXSEF Amendments to Rulebook -- Notice 13-05 11/19/2013 Certified 12/05/2013 1
CBOESEF Rule amendments related to new pre-trade credit check functionality for Block Trades. 02/25/2015 Certified 03/11/2015 1
CBOESEF Rule amendments related to Phase 1 Questions 10/16/2015 Certified 10/30/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 12/17/2015 Certified 01/04/2016 3
CMESEF Conforming Amendments to Various CME SEF Rules. 12/14/2017 Certified 12/29/2017 2
CMESEF Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief 07/18/2014 Certified 08/01/2014 2
BSEF Bloomberg SEF LLC hereby notifies the CFTC that it wishes to amend the May 13 Rulebook Certification to respond to certain comments received from CFTC staff. We understand that the amended Rulebook will become effective on May 28, 2015. 05/22/2015 Certified 06/08/2015 1
CBOESEF Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting 10/16/2015 Certified 10/30/2015 3
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and an additional order type. 04/24/2017 Certified 05/08/2017 4
NEXSEF Amended Fee Program 07/17/2017 Certified 07/31/2017 2
TPSEF Rulebook amendment. 10/20/2017 Certified 11/03/2017 1
BSEF Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it hasamended its Rulebook. The amended Rulebook will become effective on April 13, 2018. 03/28/2018 Certified 04/11/2018 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 02/23/2024 Certified 03/08/2024 1
TDERIV self-certification of fees on the SEF Trading System 03/17/2016 Certified 03/31/2016 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/18/2022 Certified 08/01/2022 1
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
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
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
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
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
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