Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TRAD Tradition SEF, Inc. - Notification of Amendments to Tradition SEF, Inc. Rulebook TRAD #14-0002 04/15/2014 Certified 04/30/2014 2
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook Submission 14-02 (February 11, 2014) 02/12/2014 Withdrawn 04/30/2014 Stay applies to (1) Definition of "Packaged Transaction"; and (2) Rule 701(a) and (k) in ICE Swap Trade, LLC Rulebook 3
ICE SEF ICE Swap Trade, LLC - Rule Amendment - Revised Error Trade Policy - Submission 14-12 04/14/2014 Certified 04/29/2014 0
TDERIV trueEX LLC Rule Amendments, Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-07S 04/09/2014 Certified 04/24/2014 1
CBOESEF Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 04/04/2014 Certified 04/19/2014 1
ICAPSEF ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. 04/03/2014 Certified 04/18/2014 1
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 1
SWAPX SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) 04/01/2014 Certified 04/16/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF. March 31, 2014 BSEF #2014-R-2 04/01/2014 Certified 04/16/2014 1
ICE SEF ICE Swap Trade - Revising Rule 512 for clarity. Submission No. 14-08 03/28/2014 Certified 04/12/2014 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook Rules: 202, 203,...,514 March 28, 2014 ICAP-2014-R-1 03/28/2014 Certified 04/12/2014 1
GFISEF GFI Swaps Submission #14-0008 - Amendments to Rules 101, 528, 529, 533 and 1101. March 27, 2014 03/27/2014 Certified 04/11/2014 1
ICE SEF ICE Swap Trade - Rule Amendment - Amended Rulebook - Submission 14-10 March 25, 2014 03/25/2014 Certified 04/09/2014 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook - Submission 14-0001 (March 20, 2014) Adding rules regarding methods of using LatAm SEF's SEF. 03/21/2014 Certified 04/05/2014 1
CBOESEF Javelin SEF amended Rules 203, 311, 313, 408, 504,..., 727. Submission No. 14-04 March 21, 2014 03/21/2014 Certified 04/05/2014 1
ICE SEF Issuance of a "SEF Notice" concerning acceptable trading protocols under SEF Rule 702 (Brokered Trades). ICE SEF #14-09 03/19/2014 Certified 04/03/2014 1
GFISEF GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) 03/18/2014 Certified 04/02/2014 0
ICE SEF ICE Swap Trade - Rulebook amendments: clarify the process by which IST intends to implement and enforce its rules; responding to relevant CFTC guidance/comments. ICE SEF #14-08 03/18/2014 Certified 04/02/2014 1
GFISEF GFI Swaps - Amendments to GFI Rules 101, 508, 528, 529, 533, 601, 602, 1001. GFISEF #14-0007 03/18/2014 Certified 04/02/2014 1
ICE SEF ICE Swap Trade - Rule Amendment - Amended Rulebook: Chapter 12 Rules 1210, 1238, 1239, 1240 Submission 14-07 March 5, 2014 03/06/2014 Certified 03/21/2014 1
MKAXSEF MarketAxess SEF Corporation - Rulebook Amendments - Rules 214, 311, 407 to become effective March 26, 2014 02/27/2014 Certified 03/14/2014 1
ICE SEF ICE Swap Trade LLC - Rule Amendment - Revised Fee Schedule, Error Trade Policy and Block Trade FAQ. ICESEF #14-06 02/27/2014 Certified 03/14/2014 1
GFISEF Publishing a revised Fee Schedule. GFISEF #14-0004 02/25/2014 Certified 03/12/2014 1
360T 360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 02/25/2014 Certified 03/12/2014 1
RADSEF TeraExchange Rule Implementation Submission 2014-02 Rules amended: 101 (Definitions), 310 (Application of Rules and Jurisdiction, 513(b) (Block Trades) and 818 (Sanctions) TERAEXC 2014-02 02/24/2014 Certified 03/11/2014 1
GFISEF Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) 02/19/2014 Certified 03/06/2014 1
GFISEF GFI Swaps Exchange Withdrawal of GFI Rule 507(c) and Submission #14-0002. GFISEF #14-0003 02/19/2014 Certified 03/06/2014 1
TPSEF tpSEF, Inc. Rulebook Amendments to Rules 1000, 4003, 4011, 4016 and 8001. Letter dated February 14, 2014 02/18/2014 Certified 03/05/2014 1
MKAXSEF MarketAxess SEF Update Rulebook to reflect recent developments and to provide clarity. (February 14, 2014) 02/14/2014 Certified 03/04/2014 1
ICE SEF Amended its SEF Fee Schedule ICE SEF Submission #14-03 02/21/2014 Withdrawn 02/27/2014 1
MKAXSEF Updated its Rulebook to reflect recent development and to provide clarity. Rules 101; 301,..., 315; 401,..., 409;..., 702;... 1006 02/11/2014 Certified 02/27/2014 1
CBOESEF Javelin SEF Amendments to its Rulebook: Rules 405, 512 and 520. Submission No. 14-03 Letter dated February 11, 2014 02/11/2014 Certified 02/27/2014 1
TPSEF tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) 02/10/2014 Certified 02/26/2014 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S 02/07/2014 Certified 02/25/2014 1
ICE SEF ICE Swap Trade LLC - Rule 701 Block Trade has been amended to remove reference to Packaged Transactions. Submission 14-02 February 5, 2014 02/06/2014 Certified 02/22/2014 1
TDERIV Rule Amendments Related to Sponsored Access. TRUEEX (SEF) #2014-01 02/03/2014 Certified 02/19/2014 1
DWSEF DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) 02/03/2014 Certified 02/19/2014 1
GFISEF GFI Swaps Exchange LLC USD Interest Rate Swap Streaming Liquidity Market Maker Incentive Program. GFISEF #14-0001 02/05/2014 Withdrawn 02/19/2014 1
GFISEF GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 02/05/2014 Withdrawn 02/19/2014 1
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook: (1) Staff Guidance and (2) comments and questions received on TW's SEF. (January 31, 2014) 01/31/2014 Certified 02/15/2014 1
CBOESEF Javelin Rule Amendments to Rules 302, ..., 323, 407, 408, 504, ..., 523, ..., 901 JAVSEF #14-01 01/30/2014 Certified 02/14/2014 1
BSEF Amended its Rulebook in response to comments and questions; and to add rules regarding methods of using BSEF's SEF. BSEF #2013-R-11 01/30/2014 Certified 02/14/2014 1
ICE SEF Rulebook amendments in (1) order to affect administrative/clerical revisions; (2) clarify process by IST implement and enforce rules (3) comments from CFTC and IST participants. ICE SEF #14-01 01/23/2014 Certified 02/07/2014 1
SWAPX Rulebook amendments in response to comments and questions received from potential users of SwapEx's SEF. (January 22, 2014) 01/22/2014 Certified 02/06/2014 1
RADSEF Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 01/16/2014 Certified 02/01/2014 1
CMESEF Amendments to SEF Rules to Reflect Recent CFTC Guidance and No-Action Relief. CMESEF #14-018 01/15/2014 Certified 01/31/2014 1
TRAD Tradition SEF, Inc. Notice #14-03 - Observing the Martin Luther King Holiday on Monday, January 20, 2014 01/14/2014 Certified 01/30/2014 0
RF SEF Thomas Reuters SEF - Amendments to Rulebook Submission #14-01 01/13/2014 Certified 01/29/2014 1
TPSEF tpSEF - Amendments to Rulebook (dated January 10, 2014) 01/13/2014 Certified 01/29/2014 0
TRAD Tradition SEF Rulebook and Form SEF Exhibits Q and V Amendments, letter dated January 3, 2014 Trad #14-0001 01/03/2014 Certified 01/18/2014 1