Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TWSEF TW SEF Fee update for GBP swaps 08/30/2021 Certified 09/14/2021 3
IGDL Amended Rulebook 09/23/2016 Certified 10/07/2016 3
NEXSEF Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. 10/26/2023 Certified 11/09/2023 3
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook Submission 14-02 (February 11, 2014) 02/12/2014 Withdrawn 04/30/2014 Stay applies to (1) Definition of "Packaged Transaction"; and (2) Rule 701(a) and (k) in ICE Swap Trade, LLC Rulebook 3
MKAXSEF Rulebook update 08/31/2021 Notified 08/31/2021 3
TRAD CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. 07/24/2023 Certified 08/07/2023 3
BGC BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. 07/24/2023 Certified 08/07/2023 3
TRAD Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. 05/31/2018 Certified 06/14/2018 3
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
NEXSEF Amended Rulebook and Confidential Trading Protocols 12/08/2017 Certified 12/22/2017 4
TWSEF Amended TW SEF Rulebook 10/03/2016 Certified 10/18/2016 4
TWSEF Amended TW SEF Rulebook 09/30/2015 Certified 10/15/2015 4
DWSEF DW SEF Amended Rulebook 09/30/2015 Certified 10/15/2015 4
SWAPX Amendment of Rule 525 to reflect recent CFTC no-action letter 03/31/2017 Certified 04/14/2017 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to clarify the process by which IST intends to implement and enforce certain of its rules and respond to guidance received from the Commission. 07/14/2016 Certified 07/28/2016 4
GFISEF Miscellaneous Rulebook amendments 12/31/2014 Certified 01/15/2015 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 04/19/2021 Certified 05/03/2021 4
360T 360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. 03/13/2015 Certified 03/27/2015 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. 09/30/2015 Certified 10/15/2015 4
NEXSEF Rulebook Amendments 10/05/2017 Certified 10/20/2017 4
NEXSEF Amendments to Chapter 5 ("Rule Enforcement") and Rule 901 ("System Protocols") of the NEX SEF Limited Rulebook (Form SEF Exhibit M) and the Trade Practice Review Program of the NEX SEF Compliance Manual (Form SEF Exhibit O3) 07/28/2023 Certified 08/11/2023 4
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
LGX Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. 06/11/2018 Certified 06/25/2018 4
TWSEF Amendments to TW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 06/11/2021 Certified 06/25/2021 4
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
NEXSEF Issuance of Market Advisory Regulatory Notice and Amended Rulebook 08/14/2017 Certified 08/28/2017 4
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
360T Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. 08/04/2015 Certified 08/17/2015 4
LGX LedgerX Updated BCDR Plan 06/13/2021 Certified 06/25/2021 4
TWSEF TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
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. 09/17/2014 Withdrawn 09/18/2014 4
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
TWSEF Amended TW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
ICAPSEF Amended EBS Trading Protocol and Rules 202, 208 and 315 12/11/2015 Certified 12/28/2015 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 08/07/2015 Certified 08/21/2015 4
SWAPX Updates to various rules, particularly rules concerning data reporting 01/19/2016 Certified 02/02/2016 4
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4
SWAPX Clarifications and updates to existing rules 09/04/2015 Certified 09/21/2015 4
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
IGDL Rule 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
CBOESEF Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." 02/27/2017 Certified 03/13/2017 4
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4