Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
GFISEF Publishing a revised Fee Schedule. GFISEF #14-0004 02/25/2014 Certified 03/12/2014 1
ICE SEF ICE Swap Trade - Revising Rule 512 for clarity. Submission No. 14-08 03/28/2014 Certified 04/12/2014 1
TDERIV Various Rule Amendments - TRUEEX #2014-12S 06/26/2014 Certified 07/12/2014 1
IGDL Updates to SEF Discount Structure Appendix to IGDL's fee schedule. 07/17/2018 Certified 07/31/2018 1
GFISEF GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 02/05/2014 Withdrawn 02/19/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective July 1, 2014 Submission #2014-R-4 06/27/2014 Certified 07/15/2014 1
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A 06/27/2014 Certified 07/15/2014 1
SEED CX Weekly Notification of Rule Amendments 03/05/2018 Notified 03/05/2018 1
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A 06/27/2014 Certified 07/15/2014 1
BSEF Notice to Participants 01/14/2016 Certified 01/29/2016 1
LGX Weekly notification, withdrawal fee change 11/12/2021 Notified 11/12/2021 1
BSEF Notice to Participants 01/14/2016 Certified 01/29/2016 1
ICE SEF ICE Swap Trade, LLC - Rule Amendment - Amended Rulebook Submission 13-09 (Letter dated December 4, 2013) 12/05/2013 Certified 12/20/2013 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook Rules: 202, 203,...,514 March 28, 2014 ICAP-2014-R-1 03/28/2014 Certified 04/12/2014 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/14/2016 Certified 01/29/2016 1
BSEF BSEF Rulebook Amendment 02/21/2017 Certified 03/07/2017 1
TWSEF Amended Fee Schedule for CAD Swaps for API Participants 11/28/2016 Certified 12/12/2016 1
BSEF BSEF Compliance Manual Amendment 02/21/2017 Certified 03/07/2017 1
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
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/17/2019 Certified 07/31/2019 1
ICE SEF ICE Swap Trade LLC - Rule 701 Block Trade has been amended to remove reference to Packaged Transactions. Submission 14-02 February 5, 2014 02/06/2014 Certified 02/22/2014 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1
IGDL Amended Rulebook - specifically the Definitions and Rules 204, 304, 305, 315, 404. IGDL 2014-R-1 05/16/2014 Certified 05/31/2014 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Compliance Manual (BSEF-2021-R-07) 07/23/2021 Certified 08/06/2021 1
NEXSEF Weekly Notification of Rule Amendments - Week of September 27, 2021 10/04/2021 Notified 10/04/2021 1
IGDL Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook 07/31/2023 Certified 08/14/2023 1
CBOESEF (1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. 01/14/2022 Certified 01/31/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/05/2021 Notified 03/05/2021 1
ICAPSEF Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. 10/17/2013 Certified 11/01/2013 1
TPSEF tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F 05/19/2014 Certified 06/04/2014 1
TPSEF Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. 12/18/2023 Certified 01/03/2024 1
ICAPSEF Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. 10/17/2013 Certified 11/01/2013 1
BSEF BSEF hereby notifies the Commission that it has amended the January 30 Rulebook Certification to respond to certain comments received from Commission staff. We understand that the amended Rulebook will become effective on February 15, 2015. 02/10/2015 Certified 02/25/2015 1
TPSEF Supplement to Exhibit N to Form SEF 10/11/2016 Certified 10/25/2016 1
CBOESEF Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) 10/17/2013 Certified 11/01/2013 1
ICAPSEF Revised SEF Rulebook 09/16/2014 Withdrawn 10/01/2014 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/17/2015 Certified 12/02/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook, effective August 1, 2016. 07/15/2016 Certified 07/29/2016 1
GFISEF Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 06/27/2014 Certified 07/15/2014 1
IGDL Revised Facility Rulebook 09/16/2014 Withdrawn 10/01/2014 1
TPSEF Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. 08/04/2015 Certified 08/18/2015 1
SWAPX SwapEX LLC - Rule Amendments - effective July 15, 2014 06/27/2014 Certified 07/15/2014 1
CBOESEF Cboe SEF, LLC is submitting certain changes to its rulebook to, among other things, add a definition of "Minimum Tick Size," clarify the difference between Participant Data and SEF Market Data, and clarify applicable fitness standards. 01/17/2018 Certified 01/31/2018 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-08) 09/17/2020 Certified 10/01/2020 1
GTX Amendment to Fee schedule. 02/10/2015 Certified 02/25/2015 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 1, 2020, and to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 28, 2020. 10/29/2020 Notified 10/29/2020 1
CBOESEF Updates Cboe SEF's governance arrangements. 07/01/2022 Certified 07/18/2022 1