Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF DW SEF Amended IRS Fee Schedule 10/24/2016 Certified 11/07/2016 1
BSEF Rulebook Amendment 10/21/2016 Certified 11/04/2016 1
TPSEF Supplement to Exhibit N to Form SEF 10/11/2016 Certified 10/25/2016 1
CBOESEF To prevent inconsistency with Rule 319 "Withdrawal of a Participant", and conform with market practice. 10/06/2016 Certified 10/21/2016 1
CMESEF Adoption of CME SEF Rule 575 "Disruptive Practices Prohibited" 10/06/2016 Certified 10/21/2016 1
TWSEF Amended TW SEF Rulebook 10/03/2016 Certified 10/18/2016 4
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached submission. 10/03/2016 Certified 10/18/2016 1
ICAPSEF Amended Rulebook 09/23/2016 Certified 10/07/2016 7
IGDL Amended Rulebook 09/23/2016 Certified 10/07/2016 3
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/22/2016 Certified 10/06/2016 1
LATAM Update to LatAM SEF Rule Book Version 1.5 09/22/2016 Certified 10/06/2016 2
TDERIV Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. 09/21/2016 Certified 10/05/2016 4
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. 09/21/2016 Certified 10/05/2016 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook. 09/21/2016 Certified 10/05/2016 4
SEED CX Certification of new Rule 203 to establish procedures for adding Directors to the Board. 09/21/2016 Certified 10/05/2016 1
TRAD Amendments to Tradition SEF Rulebook. 09/16/2016 Certified 09/30/2016 2
SWAPX Amendment of certain trade practice and disciplinary rules 09/15/2016 Certified 09/29/2016 4
360T Revision of Rulebook and User Guides. 09/13/2016 Certified 09/27/2016 7
TWSEF Amended TW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
TWSEF Amended Fees Schedules 09/12/2016 Certified 09/26/2016 3
ICAPSEF Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
IGDL Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
CMSEF Update of Exhibit N 09/08/2016 Certified 09/22/2016 1
CMSEF Amendment to Rule 406 09/07/2016 Certified 09/21/2016 2
BSEF Amendment to BSEF Rule 533 09/02/2016 Certified 09/19/2016 1
CBOESEF Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. 08/26/2016 Certified 09/12/2016 1
RADSEF Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. 08/25/2016 Certified 09/09/2016 3
TRAD Amendments to Tradition SEF Rulebook 08/25/2016 Certified 09/09/2016 3
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the CFTC that it wishes to amend its Rulebook as provided in the attached submission. 08/23/2016 Certified 09/07/2016 1
TRAD Emergency Rule Submission. Amendments to Tradition SEF Trad-X Platform Supplement. 08/19/2016 Certified 09/02/2016 2
CMSEF SEF Rule Amendment 08/19/2016 Certified 09/02/2016 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 08/18/2016 Certified 09/01/2016 2
IGDL Amended Fee Card 08/17/2016 Certified 08/31/2016 2
ICAPSEF Amended Fee Card 08/17/2016 Certified 08/31/2016 2
TDERIV self certification of fees on the SEF Trading System 08/16/2016 Certified 08/30/2016 1
ICAPSEF Amended Form SEF pursuant to Regulation 37.3(b)(3) 08/11/2016 Certified 08/25/2016 5
BGC We are submitting on behalf of our client, BGC Derivative Markets, LP ("BGC") new Rule 516, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
GFISEF We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
BSEF Notice to Participants informing Participants of certain amendments to Rule 301(e) (re: Trading Account information being kept up-to-date)and Rule 516.E(iv) (re: BSEF ability to cancel trades due to insufficient Trading Account information) 08/08/2016 Certified 08/22/2016 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
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
CMSEF SEF Rule Amendment 08/04/2016 Certified 08/18/2016 1
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 hereby notifies the Commission that it has amended its Compliance Manual. 08/03/2016 Certified 08/17/2016 5
CMSEF SEF Rulebook Amendment 08/03/2016 Certified 08/17/2016 1
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 submits to the Commission certain rule amendment. 08/01/2016 Certified 08/15/2016 2
DWSEF Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP 07/22/2016 Certified 08/05/2016 6
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached filing. 07/22/2016 Certified 08/05/2016 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Exhibit T to Form SEF in order to to affect certain administrative/clerical revisions. 07/19/2016 Certified 08/02/2016 2
TPSEF Pursuant to Section 5c(c) of the CEA and CFTC Regulations 37.3(b)(3) and 40.6(a), tpSEF is hereby submitting an amended version of Exhibit T to tpSEF application for registration as a swap execution facility. 07/19/2016 Certified 08/02/2016 1