Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. 11/04/2022 Certified 11/21/2022 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-05) 11/03/2022 Certified 11/18/2022 1
ROTHSEF 40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. 11/16/2022 Notified 11/16/2022 1
OSTTRA Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program 10/28/2022 Certified 11/14/2022 2
AEGIS Amendments to Exhibit N-1 Participant Agreement 11/03/2022 Notified 11/03/2022 2
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
CBOESEF Amendment to Exhibit A to Form SEF 10/18/2022 Certified 11/01/2022 1
AEGIS The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. 10/14/2022 Certified 10/28/2022 3
ROTHSEF Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
TWSEF TW SEF Fee Schedule Update 10/11/2022 Certified 10/25/2022 2
ROTHSEF Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
ISBV Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives 09/30/2022 Certified 10/14/2022 3
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
BSEF Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) 09/15/2022 Certified 09/29/2022 1
OSTTRA Amendments to the NEX SEF Limited Trading Participant Holder Agreement 09/15/2022 Certified 09/29/2022 2
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
AEGIS Contract Position Accountability Levels Table 08/30/2022 Certified 09/14/2022 1
CBOESEF Update the appeal provisions under Cboe SEF's Rules. 08/18/2022 Certified 09/01/2022 1
CBOESEF Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. 08/18/2022 Certified 09/01/2022 1
OSTTRA Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS On-SEF UK/US Crossover Market Maker Program 08/17/2022 Certified 08/31/2022 2
IGDL Amendments to the IGDL SEF Discount Structure Appendix 08/10/2022 Certified 08/24/2022 1
ROTHSEF Amendment to Participant Agreement 08/04/2022 Certified 08/18/2022 2
ROTHSEF Revised SEF Rulebook 08/04/2022 Certified 08/18/2022 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 08/17/2022 Notified 08/17/2022 1
ROTHSEF Amendments to Participant Agreement 07/28/2022 Certified 08/11/2022 2
ROTHSEF Rulebook Amendment 07/27/2022 Certified 08/10/2022 2
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/18/2022 Certified 08/01/2022 1
AEGIS Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule 07/26/2022 Notified 07/26/2022 4
ISBV Updated Fee Structure and Incentives to reflect volatile markets. No substantive changes to the quantum of fees or incentives. In addition some conformance changes 07/08/2022 Certified 07/22/2022 4
CBOESEF The Amendment clarifies the recordkeeping requirements of Participants. 07/08/2022 Certified 07/22/2022 1
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
CBOESEF Updates Cboe SEF's governance arrangements. 07/01/2022 Certified 07/18/2022 1
CBOESEF (1) clarify the types and functionality of Orders that may be entered into Cboe SEF's order books and (2) change how Cboe SEF's trading system treats Orders submitted with decimal Notional Amounts. 06/24/2022 Certified 07/11/2022 1
IGDL Non-substantive revisions to the IGDL Rulebook and Fee schedule, both effective as of July 1, 2022. 07/01/2022 Notified 07/01/2022 2
IGDL IGDL-2022-R-2 - 40.6(a) Rule Certification (6.16.22) 06/16/2022 Certified 07/01/2022 2
OSTTRA Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 06/15/2022 Certified 06/30/2022 2
OSTTRA Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) 06/14/2022 Certified 06/29/2022 2
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to more closely align with CFTC Regulations. 06/07/2022 Certified 06/22/2022 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-03) 05/20/2022 Certified 06/06/2022 1
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/20/2022 Notified 05/20/2022 1
OSTTRA Revisions to NEX SEF Limited Form SEF Exhibits to Reflect Changes to the Board of Directors and Officer Composition and, Administrative Amendments NEX/CME Group integration and minor edits to the Compliance Manual. 05/04/2022 Certified 05/18/2022 2
RF SEF Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. 05/02/2022 Certified 05/16/2022 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/03/2022 Notified 05/03/2022 1
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
TWSEF Updates to the TWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 2
RF SEF Pursuant to the instructions in Form SEF regarding amendments to exhibits filed in connection with and approved order of registration, Refinitiv US SEF LLC ("RSEF") hereby submits an amended Exhibit B-1 to its SEF application 04/11/2022 Certified 04/25/2022 1
ROTHSEF Rulebook updates 04/08/2022 Certified 04/22/2022 2
CMSEF Rule amendments regarding settlement 04/01/2022 Certified 04/15/2022 1