Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LGX LedgerX Redacted Operations Manual 03/12/2021 Certified 03/26/2021 1
ISBV Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. 06/29/2023 Certified 07/14/2023 11
BSEF CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook 09/13/2024 Certified 09/27/2024 1
SWAPX SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) 04/01/2014 Certified 04/16/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 07/02/2014 Certified 07/18/2014 1
SWAPX Amendments and updates to various rules. 12/14/2015 Certified 12/29/2015 10
CMSEF Rule Amendment 11/30/2016 Certified 12/14/2016 2
BSEF Bloomberg SEF LLC - Certification 2021-R-09 (Notice to Participants) 11/24/2021 Certified 12/09/2021 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 07/02/2014 Certified 07/18/2014 1
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. 11/24/2015 Certified 12/09/2015 1
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
BSEF Compliance Manual Amendment 11/30/2016 Certified 12/14/2016 4
BSEF CFTC Regulation 40.6(a) Certification - Amendment to the Bloomberg SEF LLC Rulebook - BSEF Submission No. 2024-R-06 05/16/2024 Certified 05/31/2024 1
IGDL Revised Facility Rulebook 03/24/2015 Certified 04/07/2015 4
TWSEF Market Regulation Advisory Notice to TW SEF Participants re straight through processing. 06/02/2016 Certified 06/16/2016 2
LGX LedgerX Revised Participant Agreement 03/12/2021 Certified 03/26/2021 1
SWAPX The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. 01/28/2022 Certified 02/11/2022 1
BSEF Notice to Participants 06/01/2017 Certified 06/15/2017 1
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) 07/26/2018 Certified 08/09/2018 2
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 1
GFISEF GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. 07/03/2014 Certified 07/19/2014 1
ICE SEF ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. 12/14/2015 Certified 12/29/2015 3
BSEF Amendment to BSEF Rule 533 09/02/2016 Certified 09/19/2016 1
TRAD Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program 08/10/2020 Certified 08/24/2020 2
GFISEF Rulebook amendments 12/14/2015 Certified 12/29/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. 10/26/2016 Certified 11/09/2016 4
IGDL Amendment to IGDL Facility Rulebook pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a). 11/29/2018 Certified 12/13/2018 1
ICE SEF ICE Swap Trade - Rule Amendment - Amended Rulebook: Chapter 12 Rules 1210, 1238, 1239, 1240 Submission 14-07 March 5, 2014 03/06/2014 Certified 03/21/2014 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
TWSEF Fee Schedule Amendments 08/22/2017 Certified 09/06/2017 2
GFISEF GFI Swaps Exchange LLC Submission #13-0008 - Rulebook Amendments (December 10, 2013) 12/11/2013 Certified 12/27/2013 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF. March 31, 2014 BSEF #2014-R-2 04/01/2014 Certified 04/16/2014 1
SWAPX Rule Amendment to Refer to Recent No-Action Letter 06/02/2017 Certified 06/16/2017 4
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Initial Administrator(s) Authorization Form (BSEF-2021-R-04) 03/15/2021 Certified 03/29/2021 2
CBOESEF Clarifying definition of API and new definition of Participant API. Clarifying that prior to commencing trading activity on the SEF, each Authorized Trader must register an order entry operator ID (OEOID) with the SEF. 09/13/2024 Certified 09/27/2024 1
NEXSEF Revisions to the rulebook of NEX SEF Limited. 10/13/2017 Certified 10/27/2017 3
NEXSEF Rulebook updated to reflect certain new trading hours and updated product information 01/17/2019 Certified 02/01/2019 3
NEXSEF Amendment to Market Regulation Advisory Notice 2018-04 02/15/2019 Certified 03/04/2019 2
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 2
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 12/14/2015 Certified 12/29/2015 4
NEXSEF Revised Fee Program 06/18/2018 Certified 07/02/2018 4
NEXSEF Updated Fee Program 01/17/2019 Certified 02/01/2019 2
LGX Revised Enterprise Risk Management Plan 06/18/2019 Certified 07/02/2019 3
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
RF SEF Thomas Reuters - Amendments to Rulebook - Submission #14-03 07/08/2014 Certified 07/23/2014 1
SEED CX Seed SEF LLC Rule Submission - Amending Various Rules Related to Execution and Settlement of Transactions (SCXS Submission #19-001) 08/02/2019 Certified 08/16/2019 1
TRAD CFTC Submission 2024-01; Amendment regarding intended to be cleared swaps and uncleared swaps confirmations and other amendments to reflect expiration of No-Action Letter 17-17. We will not be relying on No Action Letter 17-17 after May 31, 2024. 05/20/2024 Certified 06/04/2024 6
ICE SEF ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. 03/24/2015 Certified 04/07/2015 2
ICAPSEF Amended fee card and discount program documents. 04/12/2017 Certified 04/26/2017 2
GTX Fee Schedule 08/24/2017 Certified 09/08/2017 1