Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on December 23, 2015. 12/08/2015 Certified 12/22/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 22, 2015. 12/07/2015 Certified 12/21/2015 2
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(d), tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B to its Rulebook effective as of the date hereof. 12/18/2015 Notified 12/18/2015 1
CMESEF Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) 12/03/2015 Certified 12/17/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 12/01/2015 Certified 12/15/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Fee Schedule. 12/01/2015 Certified 12/15/2015 2
DWSEF DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
TWSEF TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
IGDL Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/24/2015 Certified 12/09/2015 1
360T Revision of Rulebook and User Guides 11/26/2015 Certified 12/09/2015 14
TWSEF TW SEF Cover Letter re Fees (11.23.15)TW SEF FOIA Request with Justification (11.23.15)App. A1 - TW SEF Exhibit K (Fees) (Clean 11.23.15)App. A2 - TW SEF Exhibit K (Fees) (Marked 11.23.15)App. A3 - TW SEF Fees Schedules 11/23/2015 Certified 12/08/2015 1
DWSEF DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules 11/23/2015 Certified 12/08/2015 1
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook and Exhibit Q-2 to reflect recent developments and provide clarity. 11/23/2015 Certified 12/08/2015 6
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/20/2015 Certified 12/07/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 7, 2015. 11/19/2015 Certified 12/04/2015 1
TWSEF TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
TDERIV Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates 11/18/2015 Certified 12/03/2015 1
BGC The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. 11/18/2015 Certified 12/03/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/17/2015 Certified 12/02/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/11/2015 Certified 11/25/2015 1
GFISEF Various Rulebook Amendments 11/11/2015 Certified 11/25/2015 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. 11/06/2015 Certified 11/23/2015 3
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/03/2015 Certified 11/18/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has 11/03/2015 Certified 11/18/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook and Risk Mitigation Procedures. 10/30/2015 Certified 11/16/2015 1
TWSEF Amended TW SEF Rulebook 10/29/2015 Certified 11/13/2015 4
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
TDERIV Notification of SEF pricing structure effective 11/3/15 10/20/2015 Certified 11/03/2015 1
CBOESEF Rule amendments related to Phase 1 Questions 10/16/2015 Certified 10/30/2015 1
CBOESEF Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting 10/16/2015 Certified 10/30/2015 3
IGDL IGDL has revised its Fee Schedule 10/15/2015 Certified 10/29/2015 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 10/15/2015 Certified 10/29/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/08/2015 Certified 10/23/2015 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook and Risk Mitigation Procedures. 10/07/2015 Certified 10/22/2015 1
BGC Amending rules for determining speculative position limits or position accountability. 10/06/2015 Certified 10/21/2015 1
BGC Amendments to the fee schedule. 10/06/2015 Certified 10/21/2015 2
BGC These rule amendments are cumulative and are in response to suggestions and guidance from the staff. 10/06/2015 Certified 10/21/2015 1
TDERIV Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. 10/05/2015 Certified 10/20/2015 1
TWSEF Amended TW SEF Rulebook 09/30/2015 Certified 10/15/2015 4
DWSEF DW SEF Amended Rulebook 09/30/2015 Certified 10/15/2015 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. 09/30/2015 Certified 10/15/2015 4
GFISEF Various Rulebook Amendments 09/30/2015 Certified 10/15/2015 2
GFISEF Matching Session Description 09/30/2015 Certified 10/15/2015 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC regulations, tpSEF is submitting the attached Rulebook amendment. 09/29/2015 Certified 10/14/2015 1