Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
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
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
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
SWAPX Non-substantive amendment of Rule 513(c) regarding Post-Trade Anonymity. 06/30/2021 Notified 06/30/2021 3
TDERIV Change of exchange opening hours 08/14/2018 Notified 08/14/2018 1
ICE SEF Amended Block Trade FAQ 12/19/2017 Notified 12/19/2017 4
TPSEF Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. 02/04/2021 Notified 02/04/2021 1
IGDL Non-substantive revisions to the IGDL Rulebook effective February 12, 2021. 02/04/2021 Notified 02/04/2021 1
ICE SEF 2019 Trading and Holiday Schedule 12/10/2018 Notified 12/10/2018 3
BSEF CFTC Regulation 40.6(d) Weekly Notification of Rule Amendments 02/29/2024 Notified 02/29/2024 1
ICE SEF Weekly notification of rule amendments 07/02/2019 Notified 07/02/2019 4
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 04/08/2015 Notified 04/08/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 07/02/2021 Notified 07/02/2021 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of March 20, 2020. 03/26/2020 Notified 03/26/2020 1
TDERIV Non-substantive Rulebook Amendments 09/21/2015 Notified 09/21/2015 2
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
AEGIS NEW - Exhibit N1a Participant Agreement for Market Participants 07/11/2024 Notified 07/11/2024 2
ICE SEF Adjustment to ICE Swap Trade Trading Hours 03/30/2021 Notified 03/30/2021 4
TRAD Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. 04/01/2021 Notified 04/01/2021 3
ICE SEF The trading and holiday schedule for 2018 is being revised to clarify the reserved maintenance window in Commodity Contracts. 05/22/2018 Notified 05/22/2018 5
TDERIV non-substantive rule changes 04/11/2018 Notified 04/11/2018 1
AEGIS Amendments to Exhibit N-1 Participant Agreement 11/03/2022 Notified 11/03/2022 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/20/2022 Notified 05/20/2022 1
AEGIS Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule 07/26/2022 Notified 07/26/2022 4
ICE SEF Update to Board language 07/08/2021 Notified 07/08/2021 4
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(d) of the CFTC Regulations, tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B of the tpSEF Rulebook effective as of the date hereof. 05/17/2016 Notified 05/17/2016 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/18/2020 Notified 12/18/2020 1
TDERIV Expansion of trading hours for IRS products 02/16/2018 Notified 02/16/2018 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. 02/11/2021 Notified 02/11/2021 1
IGDL Non-substantive revisions to the IGDL Rulebook effective February 12, 2021. 02/11/2021 Notified 02/11/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/25/2022 Notified 02/25/2022 1
RTX Weekly Notification of Rule Amendments 08/31/2023 Notified 08/31/2023 1
ICE SEF Administrative edits to IST Rulebook 02/15/2021 Notified 02/15/2021 4
BSEF Non-substantive amendment of rules to incorporate recent CFTC rule amendments which codified prior CFTC no-action relief 02/16/2021 Notified 02/16/2021 1
BGC BGC Derivative Markets, L.P. submits these rule amendments to reflect codification of CFTC No Action Letters. 02/16/2021 Notified 02/16/2021 1
TDERIV Weekly notification of non-substantive rulebook revisions. 08/05/2014 Notified 08/05/2014 2
LGX Revised SEF Exhibit B 09/19/2017 Notified 09/19/2017 1
ICE SEF The SEF corrected typographical errors in Rules 1226 and 1233 relating to two Markit iTraxx Crossover Index contracts. 10/29/2014 Notified 10/29/2014 2
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of August 21, 2019. 08/26/2019 Notified 08/26/2019 1
NEXSEF Update Chapter 8 to incorporate changes made to the terms of existing products (made in separately filed 40.2(a) filings) and make various substantive formatting and clean-up changes throughout the rule book. 08/27/2019 Notified 08/27/2019 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/28/2021 Notified 05/28/2021 1
ICE SEF ICE Swap Trade, LLC - weekly notification of rule changes. 11/14/2018 Notified 11/14/2018 4
ICE SEF Updating a reference from an expiring CFTC No-Action Letter to the current iteration 11/18/2020 Notified 11/18/2020 4
MKAXSEF Rulebook update 08/31/2021 Notified 08/31/2021 3
TDERIV Changes to Trading Hours on the SEF Trading System. PTC system closes at 5 pm Eastern time effective May 1, 2019. 05/10/2019 Notified 05/10/2019 1
TDERIV notification of non-substantive amendments. 06/18/2017 Notified 06/18/2017 1
ICE SEF Amended its SEF Fee Schedule ICE SEF Submission #14-03 02/21/2014 Withdrawn 02/27/2014 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/13/2016 Withdrawn 01/14/2016 1
CBOESEF Changes to composition of Business Conduct Committee and Panels, introduction of PEN and RUB Contracts. 03/05/2018 Withdrawn 03/05/2018 1
GFISEF GFI Swaps Exchange LLC USD Interest Rate Swap Streaming Liquidity Market Maker Incentive Program. GFISEF #14-0001 02/05/2014 Withdrawn 02/19/2014 1