Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
SWAPX Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments 06/15/2016 Certified 06/29/2016 4
IGDL Fee Card and Discount Appendix amendment 12/12/2016 Certified 12/27/2016 2
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
IGDL Revised Rulebook 05/28/2015 Certified 06/11/2015 7
CBOESEF Introduction of Order Operator ID and amendments to Authorized Trader registration. 05/31/2023 Certified 06/14/2023 1
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
BSEF Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. 05/31/2023 Certified 06/14/2023 1
TPSEF Amendments to tpSEF Fee Schedule 02/04/2020 Certified 02/19/2020 2
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) 06/14/2022 Certified 06/29/2022 2
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
ICE SEF ICE Swap Trade - Rulebook amendments: clarify the process by which IST intends to implement and enforce its rules; responding to relevant CFTC guidance/comments. ICE SEF #14-08 03/18/2014 Certified 04/02/2014 1
TRAD Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. 07/22/2014 Certified 08/05/2014 4
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook, Governance Policy and Compliance Manual. 03/24/2020 Certified 04/07/2020 2
ISBV iSwap Euro B.V. - Rulebook Amendment 11/01/2024 Certified 11/15/2024 8
ICE SEF Issuance of a "SEF Notice" concerning acceptable trading protocols under SEF Rule 702 (Brokered Trades). ICE SEF #14-09 03/19/2014 Certified 04/03/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 12/22/2015 Certified 01/07/2016 2
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 11/02/2018 Certified 11/19/2018 1
GFISEF GFI Swaps - Amendments to GFI Rules 101, 508, 528, 529, 533, 601, 602, 1001. GFISEF #14-0007 03/18/2014 Certified 04/02/2014 1
CBOESEF Javelin SEF, LLC - New Fee Schedule - Submission #14-07 06/10/2014 Certified 06/25/2014 0
TPSEF Updates to the tpSEF Risk Mitigation Procedures 07/01/2019 Certified 07/16/2019 1
TDERIV Non-substantive and typographical and grammatical rulebook revisions. 07/22/2014 Certified 08/05/2014 2
SWAPX Various amendments that generally clarify existing rules. 11/25/2014 Certified 12/10/2014 4
CBOESEF Rule Amendment related to CFTC No-Action Letter 16-84 06/16/2016 Certified 06/30/2016 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 07/10/2015 Certified 07/24/2015 3
MKAXSEF MarketAccess SEF Corporation has updated Exhibit Q-2 to reflect recent developments and provide clarity. 12/18/2015 Certified 01/05/2016 4
TWSEF Notice to Participants- Cleared Error Swaps- procedures and requirements 08/22/2023 Certified 09/06/2023 2
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/06/2015 Certified 03/20/2015 6
TRAD Amendments to the tradition SEF Fee Schedule. 12/12/2016 Certified 12/27/2016 1
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. 09/09/2014 Certified 09/23/2014 4
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
TWSEF Updated Notice to all TW SEF Participants regarding when block treatment of a Package Transactions is appropriate. 10/16/2014 Certified 10/30/2014 2
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
IGDL Fee Card amendment 06/16/2016 Certified 06/30/2016 2
TDERIV Certification of fee schedule and designation market maker program for trueDigital Products 11/06/2018 Certified 11/21/2018 2
DWSEF Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. 10/16/2014 Certified 10/30/2014 2
BSEF CFTC Regulation 40.6(a) Certification. Product Related Amendment to the BSEF LLC Rulebook. 11/29/2023 Certified 12/13/2023 1
BSEF Bloomberg SEF LLC - Rule Amendment - Revised Fees (2024-R-13) 10/02/2024 Certified 10/17/2024 1
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook and User Agreement. TRAD #13-0003 11/20/2013 Certified 12/06/2013 0
RADSEF Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 01/16/2014 Certified 02/01/2014 1
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
TRAD Amendment of platform trading hours for USD, EUR and GBP currencies on Tradition SEF Platform Supplement 1 effective October 17, 2024. 10/02/2024 Certified 10/17/2024 3
ICAPSEF Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) 08/16/2018 Certified 08/30/2018 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc. notifies the CFTC that it will release the attached Notice to Participants on March 26, 2020. 03/26/2020 Certified 04/09/2020 1
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3