Product Terms and Conditions Rules - Swap Execution Facilities

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Organization Filing Description Products Affected Receipt Date Status Date Remarks Documents
AEGIS Amendments to Exhibit N-1 Participant Agreement Exhibit N-1 Participant Agreement 12/22/2022 Notified 12/22/2022 2
AEGIS Amendment to Rulebook (Ex M) (RB) AEGIS SEF Rulebook 12/23/2022 Notified 12/23/2022 3
AEGIS Contract Accountability Levels Table AEGIS SEF Product Listings Rule 1000-1508 09/01/2022 Certified 09/16/2022 2
BGC BGC is amending the terms and conditions of "BGC SEF Contract Specifications" to reflect the most recent Mandatorily Cleared Products, most recent Made Available to Trade Products, addition of SOFR and BSBY, and addition of Inflation-Linked Swaps. Mandatorily Cleared, Made Available to Trade, Interest Rate Swap (IRS) Fixed/Float, Overnight Index Swap (OIS) Fixed/Float, Currency Basis Swap Float/Float, Cross-Currency Basis Swap Float/Float, Cross-Currency Swap Fixed/Float, Inflation-Linked Swap. 01/06/2022 Certified 01/18/2022 1
BGC BGC is amending the terms and conditions of "BGC SEF Contract Specifications Attachment A" to reflect the availability of swap contracts using as a reference price the Secured Overnight Financing Rate (SOFR). Fixed-to-Floating Swap Class; Basis Swap Class; Forward Rate Agreement Class; Overnight Index Swap Class; Fixed-to-Floating Interest Rate Swap (USD); Interest Rate Swap, Fixed/Float; Current Basis Swap, Float/Float; other products as described herein. 06/07/2018 Certified 06/21/2018 1
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. 09/18/2014 Certified 10/02/2014 4
BGC BGC is amending the terms and conditions of "BGC SEF Contract Specifications" toreflect the most recent Mandatorily Cleared Products and to update an ISDA definitions link for FX products. Mandatorily ClearedFX Option 10/17/2022 Certified 10/31/2022 1
BGC BGC Derivative Markets, L.P. is amending the terms and conditions of "BGC SEF Contract Specifications Attachment A" to add ICE Clear Europe as a Clearinghouse for credit iTraxx transactions. Credit Default Swap IndexMarkit CDX and Markit iTraxx Swaption 12/14/2020 Certified 12/29/2020 1
BGC Amendment to the terms and conditions of the Equity Index Swap contract Broad Market Index Equity Derivative Product 06/02/2015 Certified 06/16/2015 1
BGC Amendments to clarify that the EMTA template provisions regarding disruption events and fallbacks are incorporated into NDF contracts Non-Deliverable Forwards and Options 12/05/2013 Certified 12/19/2013 1
BSEF BSEF Product Delisting (No Open Interest) 09/08/2023 Certified 09/08/2023 1
BSEF CFTC Regulation 40.6(a) Product Delisting (No Open Interest) and Product-Related Amendment to the Bloomberg SEF LLC Rulebook 01/30/2024 Certified 01/30/2024 1
BSEF CFTC Regulation 40.6(a) Certification. Product-Related Amendments to the BSEF LLC Rulebook 08/01/2023 Certified 08/15/2023 1
BSEF CFTC Regulation 40.6(d) Weekly Notification of Rule Amendments - BSEF Submission 2023-R-10 08/01/2023 Notified 08/01/2023 1
BSEF Made available-to-trade determinations for certain interest rate and credit default swap contracts. IRS and CDS 12/06/2013 Certified 03/09/2014 2
BSEF The contract associated with filing 2013-09-P17 (the "Contract") is hereby amended to indicate that transactions in the Contract must be conducted with a minimum size of GBP 1000, rather than "as agreed by counterparties" as stated in the original filing. GBP LIBOR Fixed-to-Floating Contract 09/30/2014 Certified 10/15/2014 1
BSEF The contract associated with filing 2014-09-P13 (the "Contract") is hereby amended to indicate that transactions in the Contract must be conducted with a minimum size of GBP 1000, rather than "as agreed by counterparties" as stated in the original filing. MAT IRS GBP Swap vs 3M (CME) 09/30/2014 Certified 10/15/2014 1
BSEF The contract associated with filing 2014-P-14 (the "Contract") is hereby amended to indicate that transactions in the Contract must be conducted with a minimum size of GBP 1000, rather than "as agreed by counterparties" as stated in the original filing. MAT IRS GBP Swap vs 3M (LCH) 09/30/2014 Certified 10/15/2014 1
BSEF The contract associated with filing 2014-P-11 (the "Contract") is hereby amended to indicate that transactions in the Contract must be conducted with a minimum size of GBP 1000, rather than "as agreed by counterparties" as stated in the original filing. MAT IRS GBP Swap vs 6M (CME) 09/30/2014 Certified 10/15/2014 1
BSEF The contract associated with filing 2014-P-12 (the "Contract") is hereby amended to indicate that transactions in the Contract must be conducted with a minimum size of GBP 1000, rather than "as agreed by counterparties" as stated in the original filing. MAT IRS GBP Swap vs 6M (LCH) 09/30/2014 Certified 10/15/2014 1
BSEF Amendments to swap contracts Swap contracts 12/05/2013 Certified 12/20/2013 1
BSEF CFTC Regulation 40.6(a) Certification. Product-Related Amendments to the BSEF LLC Rulebook. BSEF Submission 2023-R-12 08/23/2023 Certified 09/07/2023 1
BSEF Bloomberg SEF LLC - Certification 2022-R-06 (Notice to Participants) Section 5c(c) of the Commodity Exchange ActSection 40.6(a) of the US Commodity Futures Trading Commission 11/01/2022 Certified 11/10/2022 1
BSEF CFTC Regulation 40.6(a) Certification. Product-Related Amendments to the BSEF LLC Rulebook. 12/05/2023 Certified 12/19/2023 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 "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. N/A 01/30/2015 Certified 02/13/2015 1
CBOESEF Cboe SEF is submitting this rule amendment to modify the Minimum Tick Size and Fair Trade Range in respect of the USD/PEN Currency Pair. NDFs, Currency Pair USD/PEN 02/23/2021 Notified 02/23/2021 1
CBOESEF Cboe SEF has made certain amendments to its rulebook to modify Rule 510(3)(b) as it relates to the Minimum Tick Size and Fair Trade Range in respect of the USD/PEN Currency Pair USD/PEN Currency Pair (NDF) 10/21/2020 Notified 10/21/2020 1
CBOESEF Changes to Minimum Tick Size on KRW Contracts, and addition of trading months in respect of Contracts available in each currency pair All Contracts (NDFs) 03/05/2018 Certified 03/19/2018 1
CBOESEF Cboe SEF has made certain amendments to its rulebook to (a) add additional Tenors to Contracts having the Brazilian Real as their Reference Currency, and (b) modify the Minimum Tick Size applicable in respect of USD/MYR Currency Pair. NDFs (USD/BRL and USD/MYR) 06/11/2021 Certified 06/25/2021 1
CBOESEF Made Available to Trade Submission of Certain Interest Rate Swaps. Javelin #13-06 Certain Interest Rate Swaps 10/19/2013 Certified 01/16/2014 5
CBOESEF Amendments to add additional Tenors to available Contracts. NDFs in BRL, CLP, CNY, COP, INR, IDR, KRW, MYR, PEN, PHP, RUB and TWD, each settling in USD. 04/08/2019 Certified 04/22/2019 1
CBOESEF Cboe SEF has made certain amendments to its rulebook to modify the Minimum Tick Size applicable in respect of USD/PHP Currency Pair. USD/PHP NDFs 08/09/2021 Certified 08/23/2021 1
CBOESEF Javelin SEF submits the Notice to Participants related to Rule Amendments made to Rule 318, that were submitted on May 8, 2015. Interest Rate Swaps 05/15/2015 Certified 06/01/2015 1
CBOESEF Notice, pursuant to 40.6(a), of delisting of interest rate swap products with no open interest. 1. Australian Dollar, Canadian Dollar, Swiss Franc, Euro Dollar, British Pound, and Japanese Yen. 2. All tenors IRS US Dollar (CME & LCH cleared) except for tenors in 2, 3, 5, 7 and 10 years. 3. Package, basis, IMM, MAC & spreads for all IRS. 12/09/2016 Certified 12/09/2016 1
CBOESEF Modification of the Minimum Tick Size and Fair Trade Range in respect of the USD/PEN Currency Pair. USD/PEN NDF 03/26/2021 Notified 03/26/2021 1
CBOESEF Amendments to Product terms. LCH cleared IRS products. 12/31/2015 Certified 01/15/2016 1
CBOESEF Submission of amendment of product terms. CME cleared IRS products. 12/31/2015 Certified 01/15/2016 1
CMESEF Delisting of the Transco Zone 6 Natural Gas (Platts IFERC) Fixed Price Swap Contract Without Open Interest. See filing. 10/16/2017 Certified 10/16/2017 1
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. See filing. 07/11/2018 Certified 07/25/2018 1
DWSEF DW SEF removing CDOR from rulebook 09/05/2023 Certified 09/05/2023 2
DWSEF The Rulebook has been amended to reflect the delisting of Single Period Swaps: US Dollar\r\nSecured Overnight Financing Rate. 03/20/2024 Certified 03/20/2024 2
DWSEF DW SEF Rulebook update to remove LIBOR references 06/29/2023 Certified 06/29/2023 2
DWSEF DW SEF LLC Amendment of Rule 205 (Regulatory Oversight Committee) and Rule 901 (Swap Specifications) Regulatory Oversight Committee and Swap Specifications 02/02/2022 Certified 02/16/2022 4
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) Swap Specifications 02/04/2022 Certified 02/18/2022 4
DWSEF Commission Regulations 40.2(a) and 40.2(d): Class Certification of Basis Swaps - USD 3-Month BSBY vs. 1-Month BSBY; Basis Swaps - USD SOFR vs. 3-Month BSBY; and Basis Swaps - USD SOFR vs. 1-Month BSBY Basis Swaps - USD 3-Month BSBY vs. 1-Month BSBY; Basis Swaps - USD SOFR vs. 3-Month BSBY; and Basis Swaps - USD SOFR vs. 1-Month BSBY 02/04/2022 Certified 02/18/2022 2
DWSEF Update to DW SEF IRS Fee Schedule IRS 03/07/2023 Certified 03/21/2023 3
DWSEF DW SEF Rulebook update - Rule 411 Rule 411- Block Trades 06/02/2022 Certified 06/16/2022 4
GFISEF Submission for changes to Rule 505. The submission applies to all products that execute on GFI SEF. 10/31/2022 Certified 11/09/2022 1
GFISEF Change in contract specifications to accommodate the transition from LIBOR to SOFR. Amended language on two rules to add SOFR. Attached 01/04/2022 Certified 01/19/2022 1
ICAPSEF Rule Change submission to reflect NAL 16-25 and revised SEF Rule 806 for Non Directional Forwards Non Directional Forwards 04/11/2016 Certified 04/25/2016 3