Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE SEF Part 40 Rule Amendment - Amended Fee Schedule 05/09/2017 Certified 05/23/2017 3
BSEF Rulebook Amendment 04/27/2017 Certified 05/11/2017 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and an additional order type. 04/24/2017 Certified 05/08/2017 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
BSEF Rulebook amendment 04/21/2017 Certified 05/05/2017 1
BSEF Compliance Manual amendment 04/21/2017 Certified 05/05/2017 1
ICAPSEF Amended fee card and discount program documents. 04/12/2017 Certified 04/26/2017 2
SWAPX Amendment of Rule 525 to reflect recent CFTC no-action letter 03/31/2017 Certified 04/14/2017 4
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. 03/27/2017 Certified 04/10/2017 1
IGDL Amendment to Confidential Chapter 9 Trading Protocols 03/10/2017 Certified 03/24/2017 2
CBOESEF Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." 02/27/2017 Certified 03/13/2017 4
TWSEF Amendments to TW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
BSEF BSEF Rulebook Amendment 02/21/2017 Certified 03/07/2017 1
BSEF BSEF Compliance Manual Amendment 02/21/2017 Certified 03/07/2017 1
CMESEF Amendments to CME/CBOT/NYMEX/COMEX/SEF Rule 230. ("General") 02/16/2017 Certified 03/03/2017 1
IGDL Changes to SEF's rulebook 02/08/2017 Certified 02/23/2017 2
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions. 02/01/2017 Certified 02/15/2017 4
CMESEF Amendments to Rule 432. ("General Offenses") 02/01/2017 Certified 02/15/2017 1
CMESEF Amendments to Rule 574. ("Globex Access Restrictions") 02/01/2017 Certified 02/15/2017 1
ICE SEF ICE Swap Trade, LLC is amending its Compliance Manual. 01/17/2017 Certified 01/31/2017 4
GFISEF Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. 01/09/2017 Certified 01/24/2017 1
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
TRAD Revisions to the StreamGlobal Platform Supplement 12/21/2016 Certified 01/06/2017 2
ICE SEF ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. 12/19/2016 Certified 01/04/2017 5
BSEF Notice to Participants 12/15/2016 Certified 12/30/2016 1
ICAPSEF Amended Rulebook 12/13/2016 Certified 12/28/2016 3
IGDL Amended Rulebook 12/13/2016 Certified 12/28/2016 3
IGDL Fee Card and Discount Appendix amendment 12/12/2016 Certified 12/27/2016 2
TRAD Amendments to the tradition SEF Fee Schedule. 12/12/2016 Certified 12/27/2016 1
CBOESEF Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. 12/09/2016 Certified 12/23/2016 2
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
BSEF Rulebook Amendment 11/30/2016 Certified 12/14/2016 2
CMSEF Rule Amendment 11/30/2016 Certified 12/14/2016 2
BSEF Compliance Manual Amendment 11/30/2016 Certified 12/14/2016 4
BGC As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. 11/29/2016 Certified 12/13/2016 1
CMESEF Amendments to Chapter 4 ("Enforcement of Rules") 11/29/2016 Certified 12/13/2016 5
TWSEF Amended Fee Schedule for CAD Swaps for API Participants 11/28/2016 Certified 12/12/2016 1
ICAPSEF Revised exhibit to Rule 901 11/15/2016 Certified 11/30/2016 2
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
MKAXSEF Rulebook changes to reflect recent developments and to provide clarity. 11/09/2016 Certified 11/25/2016 4
TDERIV self certification of fees for the SEF Trading System 11/06/2016 Certified 11/21/2016 1
ICAPSEF Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
IGDL Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
ICAPSEF Amended Rulebook to reflect NAL 16-76 11/01/2016 Certified 11/16/2016 3
IGDL Amended Rulebook reflecting NAL 16-76 11/01/2016 Certified 11/16/2016 3
TDERIV Amendments related to extension of No-Action letters relating to Block Trades and Package Transactions. In addition, rule amendments related to uncleared trades. 11/01/2016 Certified 11/16/2016 1
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
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