Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Amendment to BSEF Rule 533 09/02/2016 Certified 09/19/2016 1
GFISEF Rulebook amendments 12/14/2015 Certified 12/29/2015 1
IGDL Amendment to IGDL Facility Rulebook pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a). 11/29/2018 Certified 12/13/2018 1
CBOESEF Corrected cross-reference in Rule 512(4) from 513(3) to 512(3). 06/30/2023 Notified 06/30/2023 1
ICE SEF ICE Swap Trade - Rule Amendment - Amended Rulebook: Chapter 12 Rules 1210, 1238, 1239, 1240 Submission 14-07 March 5, 2014 03/06/2014 Certified 03/21/2014 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/04/2020 Notified 12/04/2020 1
GFISEF GFI Swaps Exchange LLC Submission #13-0008 - Rulebook Amendments (December 10, 2013) 12/11/2013 Certified 12/27/2013 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF. March 31, 2014 BSEF #2014-R-2 04/01/2014 Certified 04/16/2014 1
RF SEF Thomas Reuters - Amendments to Rulebook - Submission #14-03 07/08/2014 Certified 07/23/2014 1
SEED CX Seed SEF LLC Rule Submission - Amending Various Rules Related to Execution and Settlement of Transactions (SCXS Submission #19-001) 08/02/2019 Certified 08/16/2019 1
GTX Fee Schedule 08/24/2017 Certified 09/08/2017 1
BSEF Rulebook Amendment 08/02/2019 Certified 08/16/2019 1
CBOESEF Cboe SEF is adding a new rule to govern its full amount platform. 03/13/2020 Certified 03/27/2020 1
CBOESEF Amendments to Rules 515 and 606 to conform those rules with NAL 14-118, Expiring December 15, 2015. 09/30/2014 Certified 10/15/2014 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 10/27/2016 Certified 11/10/2016 1
CBOESEF Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. 05/07/2018 Certified 05/21/2018 1
CBOESEF Amendments to Rules 523, 706, 720, 807, 904, 905 and various definitions to correct typographical errors and clarify definitions. 09/30/2014 Certified 10/15/2014 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(d) of the CFTC's regulations, tpSEF Inc. hereby notifies the CFTC that it has amended Appendix B of the tpSEF Inc. Rulebook effective as of May 3, 2016. 05/04/2016 Notified 05/04/2016 1
GTX Rulebook Amendments 07/11/2017 Certified 07/25/2017 1
CBOESEF Rule amendments regarding trading protocols and scope of disciplinary proceedings 01/15/2015 Certified 01/30/2015 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. 05/13/2015 Certified 05/28/2015 1
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed amendments to the Code of Ethics. Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 1
CBOESEF Rule filing to (a) change the name of Bats Hotspot SEF LLC to Cboe SEF, LLC, and (b) make certain other changes as more fully set forth in the submission. 10/17/2017 Certified 10/30/2017 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/07/2021 Notified 05/07/2021 1
CMSEF Rulebook Amendments 06/21/2021 Certified 07/06/2021 1
CMSEF Update of Exhibit N 09/08/2016 Certified 09/22/2016 1
TDERIV Self certification of SEF fees 10/17/2017 Certified 10/30/2017 1
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
MKAXSEF Updated its Rulebook to reflect recent development and to provide clarity. Rules 101; 301,..., 315; 401,..., 409;..., 702;... 1006 02/11/2014 Certified 02/27/2014 1
RF SEF Thomas Reuters - Submission 14-02 - Amendments to Rulebook - Effective June 13, 2014 05/30/2014 Certified 06/14/2014 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/06/2017 Certified 06/20/2017 1
GFISEF Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
IGDL Regulation 40.6(a) Rule Certification. 05/09/2018 Certified 05/23/2018 1
LGX Fee Schedule Change 12/09/2020 Notified 12/09/2020 1
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") 05/08/2018 Certified 05/22/2018 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") 05/08/2018 Certified 05/22/2018 1
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
DWSEF Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions 01/16/2015 Certified 02/02/2015 1
CMESEF Amendments to SEF Rules to Reflect Recent CFTC Guidance and No-Action Relief. CMESEF #14-018 01/15/2014 Certified 01/31/2014 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 05/30/2014 Certified 06/14/2014 1
TRAD Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. 03/27/2015 Certified 04/10/2015 1
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook, letter dated October 18, 2013 10/21/2013 Certified 11/05/2013 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/03/2022 Notified 05/03/2022 1
ICE SEF EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. This amendment will be effective October, 1, 2014. 10/01/2014 Certified 10/16/2014 1
CMSEF Amendment and revision to rulebook. 07/13/2017 Certified 07/27/2017 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: amended certain contracts it submitted to the Commission on November 1, 2013. (Letter dated December 5, 2013) 2013-R-8 12/06/2013 Certified 12/21/2013 1
RADSEF TeraExchange 40.6 Filing 15-01 - Rulebook Amendments 01/19/2015 Certified 02/02/2015 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: response to comments and questions received from potential users of BSEF's swap execution facility. (Letter dated December 9, 2013) 2013-R-10 12/11/2013 Certified 12/27/2013 1