Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF Amended Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. 11/06/2015 Certified 11/23/2015 3
NEXSEF Correction of typographical error in Rule 315 06/08/2018 Notified 06/08/2018 3
NEXSEF Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. 04/21/2020 Certified 05/05/2020 3
LGX LedgerX Revised Rulebook 06/10/2021 Certified 06/24/2021 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
CMSEF SEF Rulebook Amendment 07/31/2015 Certified 08/14/2015 3
TRAD Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. 04/01/2019 Certified 04/15/2019 3
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
RADSEF Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. 04/15/2016 Certified 04/29/2016 3
IGDL Revised Market Maker Program Rulebook 09/17/2014 Certified 10/01/2014 3
TWSEF Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols 01/15/2016 Certified 02/01/2016 3
LGX Revised operations manual 11/14/2017 Certified 11/29/2017 3
TRAD Amendment to Tradition SEF, Inc. Fee Schedule 09/06/2018 Certified 09/20/2018 3
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) 10/30/2020 Certified 11/16/2020 3
RADSEF Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. 08/25/2016 Certified 09/09/2016 3
TRAD Amendments to Tradition SEF Rulebook 08/25/2016 Certified 09/09/2016 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 08/13/2015 Certified 08/27/2015 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. 05/01/2018 Certified 05/15/2018 3
ICE SEF ICE Swap Trade, LLC's Weekly Notification of Rule Amendments 05/26/2017 Notified 05/26/2017 3
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
ICE SEF ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. 12/14/2015 Certified 12/29/2015 3
NEXSEF Revisions to the rulebook of NEX SEF Limited. 10/13/2017 Certified 10/27/2017 3
NEXSEF Rulebook updated to reflect certain new trading hours and updated product information 01/17/2019 Certified 02/01/2019 3
LGX Revised Enterprise Risk Management Plan 06/18/2019 Certified 07/02/2019 3
NEXSEF Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 02/15/2019 Notified 02/15/2019 3
NEXSEF Amendment to Rule 802(1) IRS Specifications 05/07/2018 Certified 05/21/2018 3
TRAD Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. 06/18/2018 Certified 07/02/2018 3
CBOESEF Bats Hotspot SEF is amending its rulebook to (a) more closely align its disciplinary procedures with those of its affiliate, CBOE Futures Exchange LLC, and (b) make certain other changes relating to the trading of non-deliverable forwards. 08/25/2017 Certified 09/11/2017 3
ICE SEF ICE Swap Trade, LLC is amending its Trading Hours. 02/18/2015 Certified 03/04/2015 3
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
NEXSEF Adoption of New Rule 318 ("Post-Trade Anonymity") 11/04/2020 Certified 11/19/2020 3
LGX LedgerX Liquidity Provider Program 06/23/2021 Certified 07/08/2021 3
DWSEF DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
ICAPSEF Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
TWSEF TW SEF Cover Letter re MRAN (12.16.15)TW SEF MRAN - Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
IGDL Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
LGX LedgerX Updated Fee Schedule 06/23/2021 Notified 06/23/2021 3
ICAPSEF Amended Rulebook to reflect NAL 16-76 11/01/2016 Certified 11/16/2016 3
LGX LedgerX SEF Rulebook Revisions 11/15/2023 Certified 11/30/2023 3
IGDL Amended Rulebook reflecting NAL 16-76 11/01/2016 Certified 11/16/2016 3
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
ICE SEF ICE Swap Trade, LLC is submitting Certification under 40.6(a) amending its current SEF Fee Schedule. Please note that ICE Swap Trade has requested confidential treatment for this filing. 10/02/2014 Certified 10/17/2014 3
ICE SEF ICE Swap Trade, LLC is issuing guidance with respect to Rule 525(g) "Mid-Market Order" type. 12/16/2015 Certified 12/31/2015 3
ICE SEF Rulebook amendments to reflect upcoming changes by the index provider for Singapore Gasoil (0.05% sulfur Gasoil grade). 07/14/2017 Notified 07/14/2017 3
TWSEF Amended Fees Schedules 09/12/2016 Certified 09/26/2016 3
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Withdrawn 08/21/2015 3
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Certified 09/03/2015 3
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3