Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Bloomberg SEF LLC hereby submits its revised Rulebook, effective as of February 4, 2016. 01/20/2016 Certified 02/03/2016 1
TPSEF Notification of Amendments to Rulebook 03/10/2021 Certified 03/24/2021 1
TPSEF tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) 02/10/2014 Certified 02/26/2014 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 and Risk Mitigation Procedures. 10/07/2015 Certified 10/22/2015 1
BSEF CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 11/09/2023 Certified 11/27/2023 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 7, 2015. 11/19/2015 Certified 12/04/2015 1
BSEF Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
CMSEF SEF Rulebook Amendment 04/28/2016 Certified 05/12/2016 1
BSEF Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
BSEF Rulebook Amendment 10/21/2016 Certified 11/04/2016 1
GFISEF Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. 01/09/2017 Certified 01/24/2017 1
TPSEF Rulebook amendment 10/11/2017 Certified 10/25/2017 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. 11/20/2015 Certified 12/07/2015 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook Submission #14-01 01/13/2014 Certified 01/29/2014 1
CBOESEF The Amendment clarifies the recordkeeping requirements of Participants. 07/08/2022 Certified 07/22/2022 1
BGC Rule amendments 01/14/2015 Certified 01/29/2015 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program 05/08/2015 Certified 05/22/2015 1
TWSEF TW SEF Cover Letter re Fees (11.23.15)TW SEF FOIA Request with Justification (11.23.15)App. A1 - TW SEF Exhibit K (Fees) (Clean 11.23.15)App. A2 - TW SEF Exhibit K (Fees) (Marked 11.23.15)App. A3 - TW SEF Fees Schedules 11/23/2015 Certified 12/08/2015 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached filing. 07/22/2016 Certified 08/05/2016 1
DWSEF DW SEF Amended IRS Fee Schedule 10/24/2016 Certified 11/07/2016 1
GFISEF GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 07/01/2014 Certified 07/17/2014 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program. 05/08/2015 Certified 05/22/2015 1
DWSEF DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules 11/23/2015 Certified 12/08/2015 1
CBOESEF Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. 08/04/2020 Certified 08/18/2020 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-03) 03/12/2021 Certified 03/26/2021 1
TDERIV Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S 06/30/2014 Certified 07/16/2014 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended, and Section 40.6(a) of the regulations of the CFTC, tpSEF Inc. hereby notifies the CFTC that it wishes to amend its Rulebook and Risk Mitigation Procedures. 04/29/2016 Certified 05/13/2016 1
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Rulebook 07/25/2018 Certified 08/08/2018 1
CBOESEF Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. 05/08/2020 Certified 05/22/2020 1
LGX LedgerX Amended Rulebook 03/12/2021 Certified 03/26/2021 1
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/19/2018 Certified 11/02/2018 1
TRAD Notice to Participants announcing revisions to Rulebook that update references to expired no action relief. 12/03/2020 Certified 12/17/2020 1
TRAD Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program 06/12/2020 Certified 06/26/2020 1
BSEF Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) 06/28/2023 Certified 07/13/2023 1
DWSEF SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
TDERIV Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR 06/30/2014 Certified 07/16/2014 1
IGDL Amendments to Fee Card 06/16/2015 Certified 06/30/2015 1
IGDL Amendments to Fee Card 03/24/2015 Certified 04/07/2015 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of November 4, 2019. 11/14/2019 Notified 11/14/2019 1
LGX LedgerX Redacted Operations Manual 03/12/2021 Certified 03/26/2021 1
SWAPX SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) 04/01/2014 Certified 04/16/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 07/02/2014 Certified 07/18/2014 1
BSEF Bloomberg SEF LLC - Certification 2021-R-09 (Notice to Participants) 11/24/2021 Certified 12/09/2021 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 07/02/2014 Certified 07/18/2014 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. 11/24/2015 Certified 12/09/2015 1
LGX LedgerX Revised Participant Agreement 03/12/2021 Certified 03/26/2021 1
SWAPX The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. 01/28/2022 Certified 02/11/2022 1
BSEF Notice to Participants 06/01/2017 Certified 06/15/2017 1
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 1
GFISEF GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. 07/03/2014 Certified 07/19/2014 1