Swap Execution Facility Rules

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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 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
GFISEF GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 02/05/2014 Withdrawn 02/19/2014 1
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
ICAPSEF Revised SEF Rulebook 09/16/2014 Withdrawn 10/01/2014 1
IGDL Revised Facility Rulebook 09/16/2014 Withdrawn 10/01/2014 1
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. 09/17/2014 Withdrawn 09/18/2014 4
IGDL Revised Facility Rulebook 07/15/2014 Withdrawn 07/18/2014 5
MKAXSEF Updating its Rulebook to reflect recent developments and to provide clarity. Letter dated December 11, 2013 12/11/2013 Withdrawn 12/20/2013 1
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Withdrawn 08/21/2015 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 certain rules in its Rulebook 02/17/2016 Withdrawn 02/24/2016 4
ICAPSEF Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
IGDL Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook Submission 14-02 (February 11, 2014) 02/12/2014 Withdrawn 04/30/2014 Stay applies to (1) Definition of "Packaged Transaction"; and (2) Rule 701(a) and (k) in ICE Swap Trade, LLC Rulebook 3