Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF New Rule 419 to prohibit Post-Name Trade Give Up in accordance with 37.9(d) 11/05/2020 Certified 11/20/2020 6
TWSEF Amendment to include new Rule 419 to prohibit post-trade name give up 11/05/2020 Certified 11/20/2020 6
NEXSEF Adoption of New Rule 318 ("Post-Trade Anonymity") 11/04/2020 Certified 11/19/2020 3
RADSEF New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references 11/03/2020 Certified 11/18/2020 4
ICE SEF Rule Changes to the ICE Swap Trade Rulebook 11/03/2020 Certified 11/18/2020 6
ICE SEF Updating a reference from an expiring CFTC No-Action Letter to the current iteration 11/18/2020 Notified 11/18/2020 4
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 11/02/2020 Certified 11/17/2020 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-11) 10/30/2020 Certified 11/16/2020 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) 10/30/2020 Certified 11/16/2020 3
BSEF Compliance Manual amendment 10/30/2020 Certified 11/16/2020 2
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 5, 2020. 11/05/2020 Notified 11/05/2020 1
IGDL Non-substantive revisions to the IGDL Rulebook effective November 5, 2020. 11/05/2020 Notified 11/05/2020 1
NEXSEF MRAN update for additional currency pairs 10/21/2020 Certified 11/04/2020 1
GFISEF Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU 10/20/2020 Certified 11/03/2020 1
TWSEF Market Regulation Notice Concerning Block Trades 10/19/2020 Certified 11/02/2020 1
IGDL IGDL-2020-R-6 - 40.6(a) Rule Certification (10.19.2020) 10/19/2020 Certified 11/02/2020 2
TPSEF tpSEF 20-09R - 40.6(a) Rule Certification (10.19.2020) 10/19/2020 Certified 11/02/2020 2
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add a definition, update various CFTC No Action Letters and add a rule for the CFTC Post-Trade Name Give-Up rule. 10/19/2020 Certified 11/02/2020 1
GFISEF Certification that these rules comply with the Commodity Exchange Act and the Commission's regulations. The document includes a concise analysis of the operation, purpose and effect of each of the amended rules. 10/19/2020 Certified 11/02/2020 1
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook 10/16/2020 Certified 10/30/2020 5
NEXSEF Modifications to the NEX SEF Fee Schedule 10/16/2020 Certified 10/30/2020 2
NEXSEF Modifications to the NEX SEF African & Middle East NDFs Market Maker Program 10/16/2020 Certified 10/30/2020 2
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 1, 2020, and to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 28, 2020. 10/29/2020 Notified 10/29/2020 1
IGDL Non-substantive revisions to the IGDL Rulebook and IGDL Compliance Manual, both effective as of November 1, 2020. 10/29/2020 Notified 10/29/2020 2
BSEF Addendum to BSEF-NFA Regulatory Services Agreement 09/22/2020 Certified 10/06/2020 2
TWSEF Update to Fee Schedule for Cross Currency Swaps 09/21/2020 Certified 10/05/2020 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-09) 09/18/2020 Certified 10/02/2020 1
BSEF Amended schedule 09/17/2020 Certified 10/01/2020 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-08) 09/17/2020 Certified 10/01/2020 1
LGX LedgerX Fee Schedule Update 09/23/2020 Notified 09/23/2020 1
NEXSEF Form SEF Exhibit updates related to NEX SEF integration with CME, as well as miscellaneous changes. 09/09/2020 Certified 09/23/2020 1
NEXSEF Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider 08/17/2020 Certified 08/31/2020 4
TRAD Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program 08/10/2020 Certified 08/24/2020 2
CBOESEF Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. 08/04/2020 Certified 08/18/2020 1
CBOESEF Cboe SEF is seeking to modify certain rules relating to the limitation of its liability and its indemnification obligations to its participants 07/28/2020 Certified 08/11/2020 2
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
DWSEF Amendments to the DW SEF IRS Fee Schedule 07/21/2020 Certified 08/04/2020 2
NEXSEF Modifications to the NEX SEF Fee Schedule 07/17/2020 Certified 07/31/2020 2
CBOESEF Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. 07/13/2020 Certified 07/27/2020 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/01/2020 Certified 07/16/2020 1
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook 06/19/2020 Certified 07/06/2020 1
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 06/18/2020 Certified 07/02/2020 2
NEXSEF Modifications to the NEX SEF Fee Schedule 06/16/2020 Certified 06/30/2020 2
TRAD Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program 06/12/2020 Certified 06/26/2020 1
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). 06/03/2020 Certified 06/17/2020 2
LGX Revision to LedgerX Rulebook 05/29/2020 Certified 06/12/2020 1
BSEF Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) 05/21/2020 Certified 06/05/2020 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) 05/21/2020 Certified 06/05/2020 1
NEXSEF Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) 05/21/2020 Certified 06/05/2020 3
BSEF Amended governance documentation (Operating Agreement and Information About Board of Directors) 05/22/2020 Certified 06/05/2020 1