Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
IGDL Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. 01/30/2015 Certified 02/13/2015 3
CMESEF Adoption of CME SEF Recordkeeping and Reporting Policy 01/28/2015 Certified 02/11/2015 1
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4
IGDL Amended Facility Rulebook 01/26/2015 Certified 02/09/2015 4
SWAPX Advisory Notices to SwapEx Market Participants 01/20/2015 Certified 02/03/2015 1
TPSEF Regulation 40.6 certification of tpSEF's procedures for risk mitigation sessions. 01/20/2015 Certified 02/03/2015 1
TWSEF TW SEF LLC Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
DWSEF Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions 01/16/2015 Certified 02/02/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 01/16/2015 Certified 02/02/2015 2
DWSEF DW SEF Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. 01/16/2015 Certified 02/02/2015 2
RADSEF TeraExchange 40.6 Filing 15-01 - Rulebook Amendments 01/19/2015 Certified 02/02/2015 1
ICE SEF ICE Swap Trade, LLC hereby notifies the Commission that it has amended its Rulebook. 01/19/2015 Certified 02/02/2015 4
CBOESEF Rule amendments regarding trading protocols and scope of disciplinary proceedings 01/15/2015 Certified 01/30/2015 1
IGDL Rule 40.6 Rule Change for revised Fee Card 01/15/2015 Certified 01/30/2015 2
IGDL Rule 40.6 Rule Change for revised Fee Card. I received an error message when I submitted submission 1501-1517-2029-78 that indicated the files did not upload. I am therefore resubmitting to ensure the files were included. 01/15/2015 Certified 01/30/2015 6
BGC Rule amendments 01/14/2015 Certified 01/29/2015 1
INFXSEF Making changes to order book execution explanations based on request contained in DMO Letter dated 11/21/14. 01/13/2015 Certified 01/28/2015 2
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook, Fee Schedule and Exhibit Q-2 to reflect recentdevelopments and provide clarity. 01/13/2015 Certified 01/28/2015 7
GFISEF Miscellaneous Rulebook amendments 12/31/2014 Certified 01/15/2015 4
DWSEF DW SEF - Work-Up Protocol 12/29/2014 Certified 01/13/2015 2
360T Various amendments to 360T Rulebook 12/24/2014 Certified 01/09/2015 5
GFISEF Holiday Closures 12/23/2014 Certified 01/08/2015 1
RADSEF TeraExchange response to Staff's supplemental 43 and 45 reporting questions. 12/19/2014 Certified 01/06/2015 1
GFISEF Various Rulebook amendments 12/23/2014 Withdrawn 01/05/2015 1
TRAD Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. 12/12/2014 Certified 12/29/2014 2
CBOESEF Javelin SEF, LLC is amending its 2013 - 2014 Holiday Calendar to indicate that it will be closed on Friday, December 26, 2014. 12/05/2014 Certified 12/19/2014 1
TWSEF TW SEF LLC - Amended Rulebook 12/01/2014 Certified 12/15/2014 4
SWAPX Various amendments that generally clarify existing rules. 11/25/2014 Certified 12/10/2014 4
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
ICE SEF ICE Swap Trade, LLC is amending its Error Trade Policy. 11/21/2014 Certified 12/08/2014 2
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 11/18/2014 Certified 12/03/2014 2
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4
TRAD Changes to fee schedule 11/17/2014 Certified 12/02/2014 2
INFXSEF Rule amendments to incorporate certain clarifications and updates. 11/14/2014 Certified 12/01/2014 1
TRAD Changes to fee schedule 11/10/2014 Certified 11/25/2014 2
ICE SEF ICE Swap Trade, LLC is amending its Error Trade Policy. 11/07/2014 Certified 11/24/2014 2
IGDL Amended Facility Rulebook and Trading Privilege Holder Agreement 11/07/2014 Certified 11/24/2014 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, tpSEF Inc. ("tpSEF") wishes to amend its rulebook as provided in Exhibit A. 11/04/2014 Certified 11/19/2014 1
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules are technical corrections, clarifications and adjustments to rule language based upon guidance received from the staff of the Commodity Futures Trading Commission ("CFTC"). 11/03/2014 Certified 11/18/2014 2
TDERIV Self-certification of rule amendments 10/30/2014 Certified 11/14/2014 1
GFISEF Revised fee schedule 10/30/2014 Certified 11/14/2014 2
BSEF Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants attached as Exhibit A to this certification on November 14, 2014. 10/29/2014 Certified 11/13/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/24/2014 Certified 11/07/2014 2
IGDL Amended Fee Card 10/17/2014 Certified 10/31/2014 2
TWSEF Updated Notice to all TW SEF Participants regarding when block treatment of a Package Transactions is appropriate. 10/16/2014 Certified 10/30/2014 2
DWSEF Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. 10/16/2014 Certified 10/30/2014 2
ICE SEF The SEF corrected typographical errors in Rules 1226 and 1233 relating to two Markit iTraxx Crossover Index contracts. 10/29/2014 Notified 10/29/2014 2
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1