Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
SWAPX Clarifications and updates to existing rules 09/04/2015 Certified 09/21/2015 4
TDERIV Non-substantive Rulebook Amendments 09/21/2015 Notified 09/21/2015 2
BGC The attached amendments are made in response to suggestions and guidance from staff. 08/31/2015 Certified 09/15/2015 1
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook being made in connection a request by the CFTC's Division of Market Oversight dated August 11, 2015. 08/27/2015 Certified 09/11/2015 1
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Certified 09/03/2015 3
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 08/13/2015 Certified 08/27/2015 3
TRAD Amendment to the Tradition SEF fee schedule. 08/13/2015 Certified 08/27/2015 2
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 08/07/2015 Certified 08/21/2015 4
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Withdrawn 08/21/2015 3
GFISEF 40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" 08/05/2015 Certified 08/19/2015 2
CBOESEF Rule amendments regarding (a) CFTC No Action Letter 15-24, (b) changes to voice trading procedures, and (c) record retention. 08/05/2015 Certified 08/19/2015 2
TRAD Amendments to Tradition SEF Rulebook. 08/04/2015 Certified 08/18/2015 2
TPSEF Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. 08/04/2015 Certified 08/18/2015 1
360T Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. 08/04/2015 Certified 08/17/2015 4
CMSEF SEF Rulebook Amendment 07/31/2015 Certified 08/14/2015 3
CMESEF Amendments to CME/CBOT/NYMEX/COMEX and CME SEF Rule 537 07/29/2015 Certified 08/12/2015 2
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook. The amended Rulebook will become effective on August 13, 2015. 07/29/2015 Certified 08/12/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. 07/17/2015 Certified 07/31/2015 4
SWAPX Amendment of a market advisory notice previously certified as a rule 07/14/2015 Certified 07/28/2015 3
CMSEF SEF Rulebook Amendment Certification 07/20/2015 Withdrawn 07/28/2015 1
SWAPX Amendments to SwapEx Rulebook 07/13/2015 Certified 07/27/2015 4
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
TRAD Amendments to Tradition SEF Rulebook 07/09/2015 Certified 07/23/2015 2
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 07/02/2015 Certified 07/17/2015 1
TRAD Amendment to the tradition SEF fee schedule 07/01/2015 Certified 07/16/2015 2
CMSEF SEF Rulebook Amendment Certification 06/29/2015 Certified 07/14/2015 1
LATAM See Exhibit A of the Submission 06/22/2015 Certified 07/07/2015 2
IGDL Amendments to Fee Card 06/16/2015 Certified 06/30/2015 1
TWSEF Amended TW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
DWSEF Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
BSEF On June 8, 2015, Bloomberg SEF LLC ("BSEF") submitted to the CFTC a certification regarding amendments to the BSEF Rulebook. BSEF hereby notifies the CFTC that it wishes to amend that certification to update the effective date of the BSEF Rulebook. 06/09/2015 Certified 06/23/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the CFTC, Bloomberg SEF LLC hereby notifies the CFTC that it has amended its Rulebook. The amended Rulebook will become effective on June 22, 2015. 06/08/2015 Certified 06/22/2015 1
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 06/08/2015 Certified 06/22/2015 6
TRAD Amendments to Tradition SEF's Trad-X USD CME/LCH Auctions. 06/03/2015 Certified 06/17/2015 2
TRAD Amendments to Tradition SEF Rulebook 06/03/2015 Certified 06/17/2015 2
SWAPX Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. 06/02/2015 Certified 06/16/2015 4
IGDL Revised Rulebook 05/28/2015 Certified 06/11/2015 7
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
BGC Amendment to the Volume Match and Volume Match prices rules. 05/27/2015 Certified 06/10/2015 1
BGC Technical corrections and amendments to rules. 05/27/2015 Certified 06/10/2015 1
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