Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Bloomberg SEF LLC hereby notifies the CFTC that it wishes to amend the May 13 Rulebook Certification to respond to certain comments received from CFTC staff. We understand that the amended Rulebook will become effective on May 28, 2015. 05/22/2015 Certified 06/08/2015 1
CBOESEF Rules amendments to provide (a)for use of Javelin systems to communicate bids and offers to Javelin to insure compliance with Reg 37.9(b) and (b) state in rulebook that bid and offers in voice order book will be disclosed to all market participants. 05/21/2015 Certified 06/05/2015 1
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3
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
CBOESEF Notice to Participants related to amendments made to Rule 318. 05/15/2015 Certified 06/01/2015 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
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 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, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook. 05/13/2015 Certified 05/28/2015 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program 05/08/2015 Certified 05/22/2015 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program. 05/08/2015 Certified 05/22/2015 1
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. 05/06/2015 Certified 05/20/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commodity Futures Trading Commission that it has amended its participantfee schedule (the "Participant Fee Schedule"). The amended Participant Fee Schedule willbecome effective on May 11, 2015. 04/27/2015 Certified 05/11/2015 1
IGDL Revised Facility Rulebook 04/23/2015 Certified 05/07/2015 7
CBOESEF Javelin SEF hereby submits it market maker program. 04/21/2015 Certified 05/05/2015 1
TWSEF Notice to Participants re MAT / Agency MBS Package Transactions (4.20.15)Cover Letter re Notice to Participants (4.20.15) 04/20/2015 Certified 05/04/2015 2
TRAD Amendment to Tradition SEF's Trad-X Interest Rate Swap (IRS) trading platform supplement Rule S1-302. 04/17/2015 Certified 05/01/2015 1
CBOESEF Rule amendment made provide more flexibility in the types of records a principal must retain to document trading authorization. Rule amendments made to conform definition of Sponsored Person with prior amendments to Sponsored Access. 04/10/2015 Certified 04/24/2015 1
BGC Amendment raising 5 second cross-delay to 15 seconds. 04/10/2015 Certified 04/24/2015 1
GFISEF Various Rulebook amendments 04/10/2015 Certified 04/24/2015 1
BGC Implementation document for an incentive program. 04/10/2015 Certified 04/24/2015 2
TWSEF Market Regulation Advisory Notice: Trading and Execution Protocols 04/06/2015 Certified 04/20/2015 2
TPSEF Elimination of a Participant's ability to expose one side of a Required Transaction for less than 15 seconds. 04/02/2015 Certified 04/16/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 04/02/2015 Certified 04/16/2015 4
TRAD Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. 03/27/2015 Certified 04/10/2015 1
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 03/25/2015 Certified 04/08/2015 2
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 04/08/2015 Notified 04/08/2015 1
TWSEF TW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
IGDL Amendments to Fee Card 03/24/2015 Certified 04/07/2015 1
IGDL Revised Facility Rulebook 03/24/2015 Certified 04/07/2015 4
ICE SEF ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. 03/24/2015 Certified 04/07/2015 2
TRAD Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. 03/23/2015 Certified 04/06/2015 2
TRAD Amendment to the Tradition SEF fee schedule. 03/23/2015 Certified 04/06/2015 2
IGDL Weekly Notification of Rule Amendments pursuant to CFTC Regulation 40.6(d)(x); reduction in minimum price fluctuation for certain contracts. 04/06/2015 Notified 04/06/2015 2
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
TDERIV Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. 03/19/2015 Certified 04/02/2015 1
IGDL Rule certification to amend Rule 902, IGDL's vRFQ protocols. 03/19/2015 Certified 04/02/2015 1
IGDL Fee Schedule 03/17/2015 Certified 03/31/2015 1
360T 360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. 03/13/2015 Certified 03/27/2015 4
TPSEF Deletion of Rules 4013(e) and (f) to reflect the expiration of the no-action relief granted in CFTC 14-121. 03/11/2015 Certified 03/25/2015 1
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/06/2015 Certified 03/20/2015 6
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
GFISEF Various Rulebook Amendments 02/25/2015 Certified 03/11/2015 1
CBOESEF Rule amendments related to new pre-trade credit check functionality for Block Trades. 02/25/2015 Certified 03/11/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Trading Hours. 02/18/2015 Certified 03/04/2015 3
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook to specify the methods of execution available for packages trades. 02/17/2015 Certified 03/03/2015 4
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1