Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
IGDL Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
360T Various amendments to 360T Rulebook 12/24/2014 Certified 01/09/2015 5
FTSEF Amendments to FTSEF Product Specifications and FTSEF Rules 101, 202, 205, 212, 301, 317, 401, 402, 403, 404, 405, 408, 409, 503, 602, 703, 924,1001, 1003, 1011, 1012, 1013, 1016, Chapter 13 04/01/2016 Certified 04/15/2016 5
NEXSEF Certification of amendments to NEX SEF Rulebook and issuance of a Market Regulation Advisory Notice 04/17/2018 Certified 05/01/2018 5
GTX Amendment to Rulebook. 04/07/2016 Certified 04/21/2016 5
360T Rulebook and User Guides updated in view of CFTC comments and participant queries. 09/30/2015 Certified 10/14/2015 5
ICE SEF ICE Swap Trade, LLC is submitting its Trading Hours for 2017 and amending its Rulebook. 12/19/2016 Certified 01/04/2017 5
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 08/10/2017 Certified 08/24/2017 5
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
CMESEF Amendments to Chapter 4 ("Enforcement of Rules") 11/29/2016 Certified 12/13/2016 5
IGDL Revised Facility Rulebook 07/15/2014 Withdrawn 07/18/2014 5
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 (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that it has amended its Compliance Manual. 08/03/2016 Certified 08/17/2016 5
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
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 07/19/2017 Withdrawn 07/24/2017 5
BSEF Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. 09/13/2013 Certified 09/28/2013 5
ICE SEF The trading and holiday schedule for 2018 is being revised to clarify the reserved maintenance window in Commodity Contracts. 05/22/2018 Notified 05/22/2018 5
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 12/01/2017 Certified 12/15/2017 5
ICAPSEF Amended Form SEF pursuant to Regulation 37.3(b)(3) 08/11/2016 Certified 08/25/2016 5
ICAPSEF Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
IGDL Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook 10/16/2020 Certified 10/30/2020 5
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Compliance Manual 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. 02/23/2016 Certified 03/08/2016 5
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
360T The Rulebook has been amended in response to 360T functionality development. 04/17/2020 Certified 05/01/2020 6
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
NEXSEF Amended Facility Rulebook 07/17/2019 Certified 07/31/2019 6
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 02/11/2015 Certified 02/26/2015 6
DWSEF Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP 07/22/2016 Certified 08/05/2016 6
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook and Exhibit Q-2 to reflect recent developments and provide clarity. 11/23/2015 Certified 12/08/2015 6
TRAD CFTC Submission 2024-01; Amendment regarding intended to be cleared swaps and uncleared swaps confirmations and other amendments to reflect expiration of No-Action Letter 17-17. We will not be relying on No Action Letter 17-17 after May 31, 2024. 05/20/2024 Certified 06/04/2024 6
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
ICE SEF Rule Changes to the ICE Swap Trade Rulebook 11/03/2020 Certified 11/18/2020 6
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
AEGIS The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. 10/19/2022 Certified 11/02/2022 6
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/06/2015 Certified 03/20/2015 6
TWSEF Amendment to TW SEF Rulebook and Fee Schedule 04/11/2018 Certified 04/25/2018 6
360T terminology update 03/24/2023 Certified 04/07/2023 7
IGDL Revised Facility Rulebook 04/23/2015 Certified 05/07/2015 7
BGC Resubmission of Rule 505 - Contract Specifications are being amended to provide that persons entering into pre-discussed trades or cross trades in the specified Interest Rate Swaps, must wait at least 5 seconds after the Initial Order. BGC #2013-03 01/30/2014 Certified 07/29/2014 7
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
NEXSEF Amendment to Facility Rulebook 05/31/2017 Certified 06/14/2017 7
360T Revision of Rulebook and User Guides. 09/13/2016 Certified 09/27/2016 7
IGDL Revised Rulebook 05/28/2015 Certified 06/11/2015 7
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
ICAPSEF Amended Rulebook 09/23/2016 Certified 10/07/2016 7
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 04/20/2021 Certified 05/04/2021 8
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX/CME Group Integration 03/08/2022 Certified 03/22/2022 8