Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 08/25/2014 Certified 09/09/2014 4
SWAPX Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. 06/16/2021 Certified 07/01/2021 4
TWSEF TW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
BSEF Compliance Manual Amendment 11/30/2016 Certified 12/14/2016 4
IGDL Revised Facility Rulebook 03/24/2015 Certified 04/07/2015 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. 10/26/2016 Certified 11/09/2016 4
SWAPX Rule Amendment to Refer to Recent No-Action Letter 06/02/2017 Certified 06/16/2017 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 12/14/2015 Certified 12/29/2015 4
NEXSEF Revised Fee Program 06/18/2018 Certified 07/02/2018 4
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook to specify the methods of execution available for packages trades. 02/17/2015 Certified 03/03/2015 4
TRAD Implementation of a Trad-X USD IRS Liquidity Provider Program (the "LPP"). 08/02/2019 Certified 08/16/2019 4
ICE SEF ICE Swap Trade, LLC's weekly notification of rule changes. 02/18/2015 Notified 02/18/2015 4
TWSEF TW SEF LLC Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
TWSEF Amendment of Rule 205 (Regulatory Oversight Committee) 02/03/2022 Certified 02/17/2022 4
RADSEF New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references 11/03/2020 Certified 11/18/2020 4
DWSEF DW SEF Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
ISBV iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. 05/12/2021 Certified 05/26/2021 4
ICE SEF ICE Swap Trade, LLC hereby notifies the Commission that it has amended its Rulebook. 01/19/2015 Certified 02/02/2015 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 05/14/2021 Certified 05/28/2021 4
ICE SEF Administrative changes to Rulebook 05/14/2021 Notified 05/14/2021 4
MKAXSEF MarketAccess SEF Corporation has made the rule changes below to update the MarketAccess SEF Rulebook to reflect recent developments and provide clarity. 05/15/2015 Certified 06/01/2015 4
TWSEF Amended TW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
NEXSEF Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider 08/17/2020 Certified 08/31/2020 4
LGX Amended Operations Manual 10/18/2017 Certified 11/01/2017 4
SWAPX The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 01/28/2021 Certified 02/11/2021 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 04/02/2015 Certified 04/16/2015 4
ICE SEF ICE Swap Trade, LLC is amending its Compliance Manual. 01/17/2017 Certified 01/31/2017 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and an additional order type. 04/24/2017 Certified 05/08/2017 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 10/08/2014 Certified 10/23/2014 4
SWAPX Amendment of certain trade practice and disciplinary rules 09/15/2016 Certified 09/29/2016 4
SPECTR Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program 01/05/2024 Certified 01/22/2024 4
NEXSEF Revised Fee Schedule, market maker program and discount program 06/12/2017 Certified 06/26/2017 4
NEXSEF Market Regulation Advisory Notices and Rulebook Amendment 12/15/2017 Certified 01/02/2018 4
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
TWSEF TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
MKAXSEF Rulebook changes to reflect recent developments and to provide clarity. 11/09/2016 Certified 11/25/2016 4
DWSEF DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
DWSEF DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
TWSEF TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
SWAPX Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments 06/15/2016 Certified 06/29/2016 4
ICE SEF Amended Block Trade FAQ 12/19/2017 Notified 12/19/2017 4
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
TRAD Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. 07/22/2014 Certified 08/05/2014 4
SWAPX Various amendments that generally clarify existing rules. 11/25/2014 Certified 12/10/2014 4
ICE SEF Weekly notification of rule amendments 07/02/2019 Notified 07/02/2019 4