Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ROTHSEF Revised Enterprise Risk Management Plan 05/31/2019 Certified 06/14/2019 1
BSEF Bloomberg SEF LLC Rulebook 05/02/2019 Certified 05/16/2019 1
BSEF Bloomberg SEF LLC Compliance Manual 05/02/2019 Certified 05/16/2019 2
360T 360 Trading Networks Inc. ("360T") hereby files the attached amendments to its Fee Schedule for 360T Participants. The Fee Schedule has been amended in response to 360T business development. 04/30/2019 Certified 05/14/2019 3
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
IGDL Updates to IGDL's Fee Schedule and SEF Discount Structure Appendix to IGDL's Fee Schedule. 04/09/2019 Certified 04/23/2019 2
TRAD Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. 04/01/2019 Certified 04/15/2019 3
DWSEF DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. 04/02/2019 Notified 04/02/2019 1
TRAD Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. 03/18/2019 Certified 04/01/2019 4
FTSEF The Rulebook has been amended to update certain No Action Letters on which it relies. 03/13/2019 Certified 03/27/2019 3
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
TDERIV Notice of change to execution fees charged to respondents trading on the trueEX Trading System. 03/04/2019 Certified 03/18/2019 3
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. 03/01/2019 Certified 03/15/2019 2
BSEF BSEF Compliance Manual 02/21/2019 Certified 03/07/2019 2
IGDL Notification of certain non-substantive revisions to the ICAP Global Derivatives Limited Rulebook effective as of March 1, 2019. 03/04/2019 Notified 03/04/2019 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of February 28, 2019. 03/04/2019 Notified 03/04/2019 1
OSTTRA Update to Effective Date of MRAN 2019-01 03/04/2019 Notified 03/04/2019 2
OSTTRA Amendment to Market Regulation Advisory Notice 2018-04 02/15/2019 Certified 03/04/2019 2
CBOESEF Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. 02/06/2019 Certified 02/21/2019 1
BSEF Emergency Rule Certification 02/05/2019 Certified 02/20/2019 2
OSTTRA Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 02/15/2019 Notified 02/15/2019 3
OSTTRA Updated Fee Program 01/17/2019 Certified 02/01/2019 2
OSTTRA Rulebook updated to reflect certain new trading hours and updated product information 01/17/2019 Certified 02/01/2019 3
BSEF BSEF Rulebook Amendment 12/21/2018 Certified 01/08/2019 1
IGDL Amendment to IGDL Facility Rulebook pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a). 11/29/2018 Certified 12/13/2018 1
ICE SEF 2019 Trading and Holiday Schedule 12/10/2018 Notified 12/10/2018 3
TWSEF TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. 12/10/2018 Notified 12/10/2018 2
TDERIV Certification of fee schedule and designation market maker program for trueDigital Products 11/06/2018 Certified 11/21/2018 2
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 11/02/2018 Certified 11/19/2018 1
OSTTRA Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3
BSEF Amended Compliance Manual (BSEF-2018-R-08) 11/01/2018 Certified 11/16/2018 2
ICE SEF ICE Swap Trade, LLC - weekly notification of rule changes. 11/14/2018 Notified 11/14/2018 4
ROTHSEF Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 1
ROTHSEF Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/19/2018 Certified 11/02/2018 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 2, 2018. 10/09/2018 Notified 10/09/2018 1
CBOESEF Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. 09/17/2018 Certified 10/01/2018 1
TRAD Amendment to Tradition SEF, Inc. Fee Schedule 09/06/2018 Certified 09/20/2018 3
OSTTRA Amended Rulebook 08/27/2018 Certified 09/11/2018 3
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) 08/16/2018 Certified 08/30/2018 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 08/10/2018 Certified 08/24/2018 2
CBOESEF Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. 08/06/2018 Certified 08/20/2018 1
OSTTRA Amended Fee Program 08/03/2018 Certified 08/17/2018 2
TDERIV Change of exchange opening hours 08/14/2018 Notified 08/14/2018 1
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) 07/26/2018 Certified 08/09/2018 2
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Rulebook 07/25/2018 Certified 08/08/2018 1
OSTTRA Revised Fee Program discount programs 07/17/2018 Certified 07/31/2018 2
IGDL Updates to SEF Discount Structure Appendix to IGDL's fee schedule. 07/17/2018 Certified 07/31/2018 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. 07/11/2018 Certified 07/25/2018 1
BSEF Notice to Participants regarding trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. 07/02/2018 Certified 07/17/2018 1
BSEF Notice to Participants regarding the lifting of a trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. 07/02/2018 Certified 07/17/2018 1