Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Extending current market maker program. 11/01/2023 Certified 11/16/2023 1
NEXSEF Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. 10/26/2023 Certified 11/09/2023 3
RTX RTX revised Fee Schedule 10/19/2023 Certified 11/02/2023 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Renewal of the LATAM EBS NDF Connectivity Incentive Program and Expiration of the EBS on-SEF UK/US Crossover Market Maker Program 10/17/2023 Certified 10/31/2023 2
RTX Self Certification of our Fee Schedule 10/03/2023 Certified 10/18/2023 2
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. 09/28/2023 Certified 10/13/2023 1
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
BSEF BSEF fee schedule amendment 08/29/2023 Certified 09/13/2023 1
TWSEF Notice to Participants- Cleared Error Swaps- procedures and requirements 08/22/2023 Certified 09/06/2023 2
RTX Weekly Notification of Rule Amendments 08/31/2023 Notified 08/31/2023 1
NEXSEF Amendments to NEX SEF Rule 901 ("System Protocols") of the NEX SEF Rulebook (Form SEF Exhibit M) and the Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2023-01 08/15/2023 Certified 08/29/2023 2
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). 08/14/2023 Certified 08/28/2023 1
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker 08/01/2023 Certified 08/15/2023 1
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1
IGDL Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook 07/31/2023 Certified 08/14/2023 1
NEXSEF Amendments to Chapter 5 ("Rule Enforcement") and Rule 901 ("System Protocols") of the NEX SEF Limited Rulebook (Form SEF Exhibit M) and the Trade Practice Review Program of the NEX SEF Compliance Manual (Form SEF Exhibit O3) 07/28/2023 Certified 08/11/2023 4
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker 07/25/2023 Certified 08/08/2023 1
TRAD CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. 07/24/2023 Certified 08/07/2023 3
GFISEF CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA 07/24/2023 Certified 08/07/2023 1
BGC BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. 07/24/2023 Certified 08/07/2023 3
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
ISBV Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. 06/29/2023 Certified 07/14/2023 11
BSEF Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) 06/28/2023 Certified 07/13/2023 1
RADSEF Submission of TeraExchange LLC updated rulebook adding 3 swaps to the product terms and conditions that have been filed with the commission for certification and removing 7 instruments that reference LIBOR which have been delisted. 06/21/2023 Certified 07/06/2023 2
BSEF Product-Related Amendments to the BSEF LLC Rulebook 06/15/2023 Certified 06/30/2023 1
CBOESEF Corrected cross-reference in Rule 512(4) from 513(3) to 512(3). 06/30/2023 Notified 06/30/2023 1
RF SEF Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. 06/08/2023 Certified 06/23/2023 2
BSEF Bloomberg SEF LLC - Certification Delisting of Two (2) LIBOR-related Contracts (BSEF-2023-R-06). 06/07/2023 Certified 06/22/2023 1
CBOESEF Introduction of Order Operator ID and amendments to Authorized Trader registration. 05/31/2023 Certified 06/14/2023 1
BSEF Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. 05/31/2023 Certified 06/14/2023 1
TRAD Updates to Tradition SEF Rulebook Appendix A and Appendix B to add CAD Overnight Repo Rate Average (CORRA) and Markitr iBoxx USD Liquid Investment Grade (IG Index) Credit Index. 05/19/2023 Certified 06/05/2023 5
BSEF Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
BSEF Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) 05/10/2023 Certified 05/24/2023 1
CBOESEF Introduction of second SEF Trading System in LD4. 05/02/2023 Certified 05/16/2023 1
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
360T terminology update 03/24/2023 Certified 04/07/2023 7
TPSEF Amendments to the tpSEF Fee Schedule 03/23/2023 Certified 04/06/2023 2
CBOESEF Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. 03/23/2023 Certified 04/06/2023 2
CBOESEF The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. 03/22/2023 Certified 04/05/2023 2
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 03/20/2023 Certified 04/03/2023 1
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 03/14/2023 Certified 03/28/2023 2
NEXSEF Amendments to NEX SEF Limited Rulebook and Compliance Manual 03/13/2023 Certified 03/27/2023 4
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 02/27/2023 Certified 03/13/2023 1
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
TPSEF Amendments to the tpSEF Fee Schedule 02/22/2023 Certified 03/08/2023 2
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook 01/30/2023 Certified 02/13/2023 1
TPSEF Amendments to the tpSEF Rulebook as provided in Exhibit A 01/25/2023 Certified 02/08/2023 1
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2