Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
SWAPX SwapEX LLC - Amendment to Application for Registration as a Swap Execution Facility, letter dated November 4, 2013. (amendments from its July 30, 2013 application) 11/05/2013 Certified 11/21/2013 0
GFISEF Various Rulebook amendments 12/23/2014 Withdrawn 01/05/2015 1
BGC The attached amendments are made in response to suggestions and guidance from staff. 08/31/2015 Certified 09/15/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 08/18/2016 Certified 09/01/2016 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/01/2021 Certified 09/16/2021 2
DWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 11/05/2013 Certified 11/21/2013 0
ICE SEF Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 11/25/2013 Certified 12/11/2013 0
TDERIV trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 12/20/2013 Certified 01/08/2014 1
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
TWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
TPSEF tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. 11/06/2013 Certified 11/22/2013 0
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
GFISEF Holiday Closures 12/23/2014 Certified 01/08/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/03/2015 Certified 11/18/2015 1
TDERIV Changes to Trading Hours on the SEF Trading System. PTC system closes at 5 pm Eastern time effective May 1, 2019. 05/10/2019 Notified 05/10/2019 1
SWAPX Updates to the SwapEx SEF Rulebook to align with relevant regulation. 02/19/2020 Certified 03/04/2020 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
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook 10/16/2020 Certified 10/30/2020 5
TWSEF Emergency Rule Certification- provided by CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders. TRUSEF #2013-18 12/20/2013 Certified 01/08/2014 1
CMSEF SEF Rulebook Amendment Certification 07/20/2015 Withdrawn 07/28/2015 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 03/27/2017 Certified 04/10/2017 1
NEXSEF Amendments to Quote Fill Ratios for Certain Currency Pairs and Issuance of NEX SEF Market Regulation Advisory Notice 2021-03 06/01/2021 Certified 06/15/2021 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual 01/05/2022 Certified 01/20/2022 1
CBOESEF The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. 03/22/2023 Certified 04/05/2023 2
TWSEF Emergency Rule Certification - no-action relief in CFTC Letter 13-57 10/17/2013 Certified 11/01/2013 0
GFISEF GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 11/01/2013 Certified 11/19/2013 1
GFISEF GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M 06/18/2014 Certified 07/03/2014 1
BSEF Rulebook amendment 12/07/2017 Certified 12/21/2017 1
TRAD Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. 05/31/2018 Certified 06/14/2018 3
NEXSEF Modifications to the NEX SEF Fee Schedule 10/16/2020 Certified 10/30/2020 2
DWSEF DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. 11/01/2013 Certified 11/19/2013 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has 11/03/2015 Certified 11/18/2015 1
CMESEF Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) 12/03/2015 Certified 12/17/2015 1
BSEF Compliance Manual amendment 12/07/2017 Certified 12/21/2017 2
CMESEF Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. 07/11/2018 Certified 07/25/2018 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 Modifications to the NEX SEF African & Middle East NDFs Market Maker Program 10/16/2020 Certified 10/30/2020 2
TWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
TWSEF TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 11/01/2013 Certified 11/19/2013 1
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
NEXSEF Amended Fee Program 08/08/2017 Certified 08/22/2017 2
BSEF Notice to Participants 12/07/2017 Certified 12/21/2017 1
DWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
GFISEF Rulebook Amendments - GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
360T 360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. 11/26/2013 Certified 12/12/2013 3
CMSEF SEF Rule Amendment 08/19/2016 Certified 09/02/2016 1