Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NEXSEF Amendment to Rule 802(1) IRS Specifications 05/07/2018 Certified 05/21/2018 3
BSEF Rulebook Amendment 08/02/2019 Certified 08/16/2019 1
CBOESEF Cboe SEF is adding a new rule to govern its full amount platform. 03/13/2020 Certified 03/27/2020 1
CBOESEF Amendments to Rules 515 and 606 to conform those rules with NAL 14-118, Expiring December 15, 2015. 09/30/2014 Certified 10/15/2014 1
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook to specify the methods of execution available for packages trades. 02/17/2015 Certified 03/03/2015 4
CMSEF Amendment to Rule 406 09/07/2016 Certified 09/21/2016 2
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 10/27/2016 Certified 11/10/2016 1
TRAD Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. 06/18/2018 Certified 07/02/2018 3
TRAD Implementation of a Trad-X USD IRS Liquidity Provider Program (the "LPP"). 08/02/2019 Certified 08/16/2019 4
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. 08/29/2014 Certified 09/15/2014 2
CBOESEF Bats Hotspot SEF is amending its rulebook to (a) more closely align its disciplinary procedures with those of its affiliate, CBOE Futures Exchange LLC, and (b) make certain other changes relating to the trading of non-deliverable forwards. 08/25/2017 Certified 09/11/2017 3
CBOESEF Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. 05/07/2018 Certified 05/21/2018 1
CBOESEF Amendments to Rules 523, 706, 720, 807, 904, 905 and various definitions to correct typographical errors and clarify definitions. 09/30/2014 Certified 10/15/2014 1
GTX Rulebook Amendments 07/11/2017 Certified 07/25/2017 1
NEXSEF Revised Fee Program to include new market maker program for certain Non Deliverable Forwards 09/17/2019 Certified 10/01/2019 2
BSEF CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook 08/15/2024 Certified 08/29/2024 1
TPSEF Amendments to the tpSEF Fee Schedule 02/22/2023 Certified 03/08/2023 2
CBOESEF Rule amendments regarding trading protocols and scope of disciplinary proceedings 01/15/2015 Certified 01/30/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Trading Hours. 02/18/2015 Certified 03/04/2015 3
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 03/25/2015 Certified 04/08/2015 2
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. 05/13/2015 Certified 05/28/2015 1
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Compliance Manual 08/06/2021 Certified 08/20/2021 2
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed amendments to the Code of Ethics. Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 1
CBOESEF Rule filing to (a) change the name of Bats Hotspot SEF LLC to Cboe SEF, LLC, and (b) make certain other changes as more fully set forth in the submission. 10/17/2017 Certified 10/30/2017 1
CMSEF Rulebook Amendments 06/21/2021 Certified 07/06/2021 1
IGDL Rule 40.6 Rule Change for revised Fee Card 01/15/2015 Certified 01/30/2015 2
CMSEF Update of Exhibit N 09/08/2016 Certified 09/22/2016 1
TDERIV Self certification of SEF fees 10/17/2017 Certified 10/30/2017 1
IGDL Rule 40.6 Rule Change for revised Fee Card. I received an error message when I submitted submission 1501-1517-2029-78 that indicated the files did not upload. I am therefore resubmitting to ensure the files were included. 01/15/2015 Certified 01/30/2015 6
GFISEF We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 2
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
MKAXSEF Updated its Rulebook to reflect recent development and to provide clarity. Rules 101; 301,..., 315; 401,..., 409;..., 702;... 1006 02/11/2014 Certified 02/27/2014 1
RF SEF Thomas Reuters - Submission 14-02 - Amendments to Rulebook - Effective June 13, 2014 05/30/2014 Certified 06/14/2014 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/06/2017 Certified 06/20/2017 1
IGDL US Dollar Interest Swap Rate Swap Central Limit Order Book Market Making Incentive Program. IGDL - 2014-R-2 05/30/2014 Certified 06/14/2014 0
RF SEF Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. 05/02/2022 Certified 05/16/2022 2
TPSEF Amendments to Rule 3109 (Authorized Traders) and Rule 4013.A. (Cleared Swaps) of the tpSEF Rulebook. 09/16/2024 Certified 09/30/2024 1
GFISEF Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
TRAD Tradition SEF, Inc. Notice #14-03 - Observing the Martin Luther King Holiday on Monday, January 20, 2014 01/14/2014 Certified 01/30/2014 0
IGDL Revised Facility Rulebook 08/29/2014 Certified 09/15/2014 2
LATAM See Exhibit A of the Submission 06/22/2015 Certified 07/07/2015 2
IGDL Regulation 40.6(a) Rule Certification. 05/09/2018 Certified 05/23/2018 1
IGDL Amendments to ICAP Global Derivatives Limiteds Rulebook 05/21/2024 Certified 06/05/2024 1
SWAPX SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 10/17/2013 Certified 11/01/2013 2
TRAD Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. 12/12/2014 Certified 12/29/2014 2
TPSEF Amendments to Rule 4012 (Confirmations and USIs) of the tpSEF Rulebook. 05/21/2024 Certified 06/05/2024 1
CBOESEF Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
BSEF Bloomberg SEF LLC hereby submits its self-certification of the BSEF Rulebook, to be effective on September 24, 2015. 09/09/2015 Certified 09/23/2015 2
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/10/2016 Certified 05/24/2016 2