Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. 05/06/2015 Certified 05/20/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 08/13/2015 Certified 08/27/2015 3
BGC Amending rules for determining speculative position limits or position accountability. 10/06/2015 Certified 10/21/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF LLC will release the Notice to Participants attached on January 19, 2016, to become effective on February 3, 2016. 01/19/2016 Certified 02/02/2016 1
BSEF Amendment to Compliance Manual 06/28/2017 Certified 07/13/2017 2
TRAD Amendments to the Tradition SEF Fee Schedule. 12/12/2017 Certified 12/27/2017 2
CBOESEF Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. 02/06/2019 Certified 02/21/2019 1
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4
RTX Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) 11/07/2023 Certified 11/22/2023 2
INFXSEF Rule amendments to incorporate certain clarifications and updates. 11/14/2014 Certified 12/01/2014 1
BSEF CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook BSEF Submission No. 2024-R-08. 06/13/2024 Certified 06/28/2024 1
BGC Amendments to the fee schedule. 10/06/2015 Certified 10/21/2015 2
CBOESEF Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. 08/26/2016 Certified 09/12/2016 1
TRAD 40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" 11/17/2021 Certified 12/02/2021 1
CBOESEF Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. 08/18/2022 Certified 09/01/2022 1
TWSEF Market Participant Notice- SDR reporting 11/22/2022 Certified 12/07/2022 2
INFXSEF Making changes to order book execution explanations based on request contained in DMO Letter dated 11/21/14. 01/13/2015 Certified 01/28/2015 2
BGC These rule amendments are cumulative and are in response to suggestions and guidance from the staff. 10/06/2015 Certified 10/21/2015 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/01/2016 Certified 06/15/2016 1
CBOESEF Update the appeal provisions under Cboe SEF's Rules. 08/18/2022 Certified 09/01/2022 1
DWSEF Notice to participants- SDR rewrite 11/22/2022 Certified 12/07/2022 2
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 02/11/2015 Certified 02/26/2015 6
TDERIV Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. 03/19/2015 Certified 04/02/2015 1
TWSEF Update to Fee Schedule for Cross Currency Swaps 09/21/2020 Certified 10/05/2020 2
ICE SEF ICE Swap Trade LLC - Rule Amendment - Revised Fee Schedule, Error Trade Policy and Block Trade FAQ. ICESEF #14-06 02/27/2014 Certified 03/14/2014 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) 05/10/2023 Certified 05/24/2023 1
IGDL Rule certification to amend Rule 902, IGDL's vRFQ protocols. 03/19/2015 Certified 04/02/2015 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 10/06/2021 Certified 10/21/2021 1
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
LATAM CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 01/20/2022 Certified 02/03/2022 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-09. 06/13/2024 Certified 06/28/2024 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S 02/07/2014 Certified 02/25/2014 1
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4
SWAPX Clarifications and updates to existing rules 09/04/2015 Certified 09/21/2015 4
DWSEF Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP 07/22/2016 Certified 08/05/2016 6
BSEF BSEF Rulebook Amendment 07/26/2019 Certified 08/09/2019 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-R-2) 03/10/2021 Certified 03/24/2021 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 12/06/2013 Certified 12/21/2013 1
CMESEF Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 04/25/2014 Certified 05/10/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. 08/21/2014 Certified 09/05/2014 2
BSEF Bloomberg SEF LLC hereby submits its revised Rulebook, effective as of February 4, 2016. 01/20/2016 Certified 02/03/2016 1
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
BSEF Compliance Manual Amendment 07/26/2019 Certified 08/09/2019 2
TPSEF Notification of Amendments to Rulebook 03/10/2021 Certified 03/24/2021 1
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
TPSEF tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) 02/10/2014 Certified 02/26/2014 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook - Definitions and Rules 204, 205, 305, 315, 404. ICAPSEF #2014-R-3 05/22/2014 Certified 06/07/2014 0
IGDL Revised Fee Schedule 02/12/2015 Certified 02/27/2015 2
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4