Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. 08/06/2018 Certified 08/20/2018 1
MKAXSEF Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 12/11/2013 Certified 12/27/2013 1
ICE SEF ICE Swap Trade, LLC is submitting Certification under 40.6(a) amending its current SEF Fee Schedule. Please note that ICE Swap Trade has requested confidential treatment for this filing. 10/02/2014 Certified 10/17/2014 3
CBOESEF Notice to Participants related to amendments made to Rule 318. 05/15/2015 Certified 06/01/2015 1
CMSEF SEF Rulebook Amendment Certification 06/29/2015 Certified 07/14/2015 1
CMSEF SEF Rulebook Amendment 08/03/2016 Certified 08/17/2016 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). 08/14/2023 Certified 08/28/2023 1
TPSEF Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) 10/17/2013 Certified 11/01/2013 1
MKAXSEF MarketAccess SEF Corporation has made the rule changes below to update the MarketAccess SEF Rulebook to reflect recent developments and provide clarity. 05/15/2015 Certified 06/01/2015 4
BGC Notice of BGC Derivative Markets, L.P. Claiming Relief Under CFTC Letter No. 13-62 October 8, 2013 (2013-01) 10/17/2013 Certified 11/01/2013 1
TWSEF Amended TW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to clarify the process by which IST intends to implement and enforce certain of its rules. 02/01/2018 Certified 02/15/2018 1
NEXSEF Self certification of NEX SEF Market Regulation Advisory Notice for update of Quote Fill Ratio Thresholds. 03/18/2020 Certified 04/01/2020 2
CBOESEF Amendments to reflect the terms of the prohibition of the practice of post-trade name give-up in accordance with Commission regulation 37.9(d), and elimination of minimum Notional Amount for Contracts executed on Cboe SEF. 11/06/2020 Certified 11/23/2020 1
BSEF Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) 12/02/2022 Certified 12/16/2022 1
TRAD Updates to Tradition SEF Rulebook Appendix A and Appendix B to add CAD Overnight Repo Rate Average (CORRA) and Markitr iBoxx USD Liquid Investment Grade (IG Index) Credit Index. 05/19/2023 Certified 06/05/2023 5
SWAPX Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 10/18/2013 Certified 11/02/2013 1
TPSEF tpSEF Inc. Amended Fee Schedule (January 31, 2014) 02/03/2014 Certified 07/29/2014 1
ICE SEF ICE Swap Trade, LLC is issuing guidance with respect to Rule 525(g) "Mid-Market Order" type. 12/16/2015 Certified 12/31/2015 3
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
CBOESEF Bats Hotspot SEF has revised its rulebook in order to remove interest rate swaps, add non-deliverable forwards and reflect changes to governance and disciplinary processes resulting from ownership changes. 04/21/2017 Certified 05/05/2017 2
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. 09/28/2023 Certified 10/13/2023 1
360T Amendments to 360T SEF Application for Registration and documents with request for confidential treatment. October 2, 2013 10/17/2013 Certified 11/01/2013 0
SWAPX Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) 11/15/2013 Certified 12/03/2013 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 09/11/2015 Certified 09/25/2015 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 (the "Commission"), Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has amended itsRulebook. 08/04/2016 Certified 08/18/2016 2
TWSEF Amended Fees Schedules 09/12/2016 Certified 09/26/2016 3
NEXSEF Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider 08/17/2020 Certified 08/31/2020 4
GFISEF Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 10/17/2013 Certified 11/01/2013 0
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF Inc. hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 06/13/2016 Certified 06/27/2016 1
BSEF Pursuant to Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants. 08/04/2016 Certified 08/18/2016 2
BSEF Rulebook amendment 04/21/2017 Certified 05/05/2017 1
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 02/27/2023 Certified 03/13/2023 1
MKAXSEF Amended MarketAxess application for registration as a SEF. (October 17, 2013) 10/17/2013 Certified 11/01/2013 0
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
SWAPX Advisory Notices to SwapEx Market Participants 01/20/2015 Certified 02/03/2015 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. 05/18/2015 Certified 06/02/2015 2
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Certified 09/03/2015 3
CBOESEF Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. 09/17/2018 Certified 10/01/2018 1
CMSEF Rule Certification 11/06/2020 Certified 11/23/2020 2
MKAXSEF Updating the Rulebook to reflect recent developments and to provide clarity. (10-17-13) 10/17/2013 Certified 11/01/2013 0
ICE SEF ICE Swap Trade LLC - Fee Schedule Amendment - Submission 14-16 06/04/2014 Certified 06/19/2014 1
TPSEF Regulation 40.6 certification of tpSEF's procedures for risk mitigation sessions. 01/20/2015 Certified 02/03/2015 1
IGDL Revised Discount Structure Appendix 03/17/2016 Certified 03/31/2016 2
BSEF Compliance Manual amendment 04/21/2017 Certified 05/05/2017 1
LATAM Mexican TIIE Fixed/Floating Interest Rate Swap, Mexican TIIE/U.S. Dollar 1-Month Libor Cross-Currency Basis Swap, Mexican UDI/TIIE Interest Rate Swap, Mexican UDI/U.S. Dollar 6-Month Libor Cross-Currency Basis Swap, Peruvian PEN/TIS Interest Rate Swap, Me 07/17/2017 Certified 07/31/2017 1
LGX Amended Operations Manual 10/18/2017 Certified 11/01/2017 4
SWAPX The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 01/28/2021 Certified 02/11/2021 4
TWSEF TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) 10/21/2013 Certified 11/05/2013 0