Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
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
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
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
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
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Compliance Manual (BSEF-2021-R-07) 07/23/2021 Certified 08/06/2021 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
NEXSEF Issuance of Market Advisory Regulatory Notice and Amended Rulebook 08/14/2017 Certified 08/28/2017 4
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
CBOESEF (1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. 01/14/2022 Certified 01/31/2022 1
LGX Privacy Policy updates 06/07/2024 Certified 06/24/2024 2
TRAD Changes to fee schedule 11/10/2014 Certified 11/25/2014 2
ICAPSEF Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. 10/17/2013 Certified 11/01/2013 1
TPSEF tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F 05/19/2014 Certified 06/04/2014 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 09/16/2014 Certified 09/30/2014 2
360T Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. 08/04/2015 Certified 08/17/2015 4
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). 06/03/2020 Certified 06/17/2020 2
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Adoption of the Board of Directors Terms of Reference 04/26/2021 Certified 05/10/2021 2
TPSEF Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. 12/18/2023 Certified 01/03/2024 1
ICAPSEF Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. 10/17/2013 Certified 11/01/2013 1
BSEF BSEF hereby notifies the Commission that it has amended the January 30 Rulebook Certification to respond to certain comments received from Commission staff. We understand that the amended Rulebook will become effective on February 15, 2015. 02/10/2015 Certified 02/25/2015 1
TPSEF Supplement to Exhibit N to Form SEF 10/11/2016 Certified 10/25/2016 1
CBOESEF Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) 10/17/2013 Certified 11/01/2013 1
TRAD Amendments to Tradition SEF Rulebook. 08/04/2015 Certified 08/18/2015 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/17/2015 Certified 12/02/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook, effective August 1, 2016. 07/15/2016 Certified 07/29/2016 1
RF SEF Incorporate rules requiring SEF Participants to notify LSEG SEF, prior to entering into any Prime Broker Trades, of their intent to use the services of Prime Broker(s) as well as identity the name of such Prime Broker(s). 08/02/2024 Certified 08/16/2024 1
GFISEF Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 06/27/2014 Certified 07/15/2014 1
TPSEF Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. 08/04/2015 Certified 08/18/2015 1
RADSEF Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. 04/15/2016 Certified 04/29/2016 3
BSEF Amended schedule 09/17/2020 Certified 10/01/2020 2
SWAPX SwapEX LLC - Rule Amendments - effective July 15, 2014 06/27/2014 Certified 07/15/2014 1
CBOESEF Cboe SEF, LLC is submitting certain changes to its rulebook to, among other things, add a definition of "Minimum Tick Size," clarify the difference between Participant Data and SEF Market Data, and clarify applicable fitness standards. 01/17/2018 Certified 01/31/2018 1
NEXSEF Amended Fee Program 07/18/2019 Certified 08/01/2019 2