Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker 08/01/2023 Certified 08/15/2023 1
TDERIV Amendment to Rule 524, will promote trading on trueEX SEF by permitting limited pre-execution communication in respect of orders for Permitted Transactions. TRUSEF #2014-08S 04/24/2014 Certified 05/09/2014 1
IGDL Fee Schedule 03/17/2015 Certified 03/31/2015 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-04) 06/14/2021 Certified 06/28/2021 1
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) 11/18/2022 Certified 12/05/2022 1
TDERIV Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. 10/05/2015 Certified 10/20/2015 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-04) 06/14/2021 Certified 06/28/2021 1
TRAD Tradition SEF Rulebook and Form SEF Exhibits Q and V Amendments, letter dated January 3, 2014 Trad #14-0001 01/03/2014 Certified 01/18/2014 1
TDERIV Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates 11/18/2015 Certified 12/03/2015 1
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-05) 06/14/2021 Certified 06/28/2021 1
BSEF Bloomberg SEF LLC - Rule amendment - Amended Rulebook, (letter dated November 8, 2013) : Exhibit A, Exhibit B, Exhibit C, Cover Sheet 2013-R-7 11/12/2013 Certified 07/29/2014 1
BGC More detail regarding the Voice Work-Up trading process 01/15/2016 Certified 02/01/2016 1
360T 360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 02/25/2014 Certified 03/12/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-09) 09/18/2020 Certified 10/02/2020 1
MKAXSEF MarketAxess SEF Corporation - Rulebook Amendments - Rules 214, 311, 407 to become effective March 26, 2014 02/27/2014 Certified 03/14/2014 1
BSEF Notice to Participants 06/28/2017 Certified 07/13/2017 1
NEXSEF Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. 11/17/2021 Certified 12/02/2021 1
GFISEF Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 12/05/2013 Certified 12/20/2013 1
BGC The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. 11/18/2015 Certified 12/03/2015 1
BSEF Rulebook Amendment 06/28/2017 Certified 07/13/2017 1
TRAD Amendment to Rule 412(a), (b), (d) and (e) to permit confirmation to e directed to Broker Firm Participants. Amendment to Rule 508 to permit a work-up process to commence upon execution via a Request for Continuous Stream. 04/30/2020 Certified 05/14/2020 1
TPSEF Pursuant to Section 5c(c) of the CEA and CFTC Regulations 37.3(b)(3) and 40.6(a), tpSEF is hereby submitting an amended version of Exhibit T to tpSEF application for registration as a swap execution facility. 07/19/2016 Certified 08/02/2016 1
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 10/05/2015 Notified 10/05/2015 1
BGC As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. 11/29/2016 Certified 12/13/2016 1
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. 05/06/2015 Certified 05/20/2015 1
BGC Amending rules for determining speculative position limits or position accountability. 10/06/2015 Certified 10/21/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF LLC will release the Notice to Participants attached on January 19, 2016, to become effective on February 3, 2016. 01/19/2016 Certified 02/02/2016 1
CBOESEF Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. 02/06/2019 Certified 02/21/2019 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 08/17/2022 Notified 08/17/2022 1
INFXSEF Rule amendments to incorporate certain clarifications and updates. 11/14/2014 Certified 12/01/2014 1
CBOESEF Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. 08/26/2016 Certified 09/12/2016 1
TRAD 40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" 11/17/2021 Certified 12/02/2021 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
BGC These rule amendments are cumulative and are in response to suggestions and guidance from the staff. 10/06/2015 Certified 10/21/2015 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/01/2016 Certified 06/15/2016 1
TDERIV name change for GBP OIS floating rate index 04/30/2018 Notified 04/30/2018 1
CBOESEF Update the appeal provisions under Cboe SEF's Rules. 08/18/2022 Certified 09/01/2022 1
TDERIV Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. 03/19/2015 Certified 04/02/2015 1
ICE SEF ICE Swap Trade LLC - Rule Amendment - Revised Fee Schedule, Error Trade Policy and Block Trade FAQ. ICESEF #14-06 02/27/2014 Certified 03/14/2014 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) 05/10/2023 Certified 05/24/2023 1
IGDL Rule certification to amend Rule 902, IGDL's vRFQ protocols. 03/19/2015 Certified 04/02/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 10/06/2021 Certified 10/21/2021 1
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1
LATAM CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 01/20/2022 Certified 02/03/2022 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S 02/07/2014 Certified 02/25/2014 1
BSEF BSEF Rulebook Amendment 07/26/2019 Certified 08/09/2019 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-R-2) 03/10/2021 Certified 03/24/2021 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 12/06/2013 Certified 12/21/2013 1
CMESEF Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 04/25/2014 Certified 05/10/2014 1