Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
INFXSEF Amendments to Rulebook -- Notice 13-05 11/19/2013 Certified 12/05/2013 1
CBOESEF Rule amendments related to new pre-trade credit check functionality for Block Trades. 02/25/2015 Certified 03/11/2015 1
CBOESEF Rule amendments related to Phase 1 Questions 10/16/2015 Certified 10/30/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/18/2022 Notified 03/18/2022 1
BSEF Bloomberg SEF LLC hereby notifies the CFTC that it wishes to amend the May 13 Rulebook Certification to respond to certain comments received from CFTC staff. We understand that the amended Rulebook will become effective on May 28, 2015. 05/22/2015 Certified 06/08/2015 1
TPSEF Rulebook amendment. 10/20/2017 Certified 11/03/2017 1
BSEF Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it hasamended its Rulebook. The amended Rulebook will become effective on April 13, 2018. 03/28/2018 Certified 04/11/2018 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/11/2020 Notified 12/11/2020 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 02/23/2024 Certified 03/08/2024 1
TDERIV self-certification of fees on the SEF Trading System 03/17/2016 Certified 03/31/2016 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of May 15, 2020. 05/20/2020 Notified 05/20/2020 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/18/2022 Certified 08/01/2022 1
LGX LedgerX Fee Schedule Update 09/23/2020 Notified 09/23/2020 1
IGDL Notification of Amendments to Rulebook. 01/29/2021 Certified 02/12/2021 1
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook 02/09/2022 Certified 02/24/2022 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(d), tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B to its Rulebook effective as of the date hereof. 12/18/2015 Notified 12/18/2015 1
TPSEF Notification of Amendments to Rulebook 01/29/2021 Certified 02/12/2021 1
TPSEF Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. 11/19/2013 Certified 12/05/2013 1
CMESEF Elimination of CME SEF Rule 524 ("Uncleared Swaps") 12/18/2015 Certified 01/05/2016 1
BSEF Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) 05/21/2020 Certified 06/05/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 01/29/2021 Notified 01/29/2021 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) 05/21/2020 Certified 06/05/2020 1
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) 12/12/2013 Certified 12/28/2013 1
ICAPSEF ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. 04/03/2014 Certified 04/18/2014 1
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF - effective June 21, 2014 BSEF 2014-R-3 06/06/2014 Certified 06/21/2014 1
TDERIV self certification of fees for the SEF Trading System 11/06/2016 Certified 11/21/2016 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. 12/14/2020 Certified 12/29/2020 1
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
CBOESEF Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 04/04/2014 Certified 04/19/2014 1
GFISEF GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M 06/09/2014 Certified 06/24/2014 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
BSEF Amended governance documentation (Operating Agreement and Information About Board of Directors) 05/22/2020 Certified 06/05/2020 1
DWSEF DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) 12/21/2015 Certified 01/06/2016 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
TPSEF Updates to Appendix B to the tpSEF Rulebook - Swap Specifications 12/15/2017 Notified 12/15/2017 1
TDERIV Notification of SEF pricing structure effective 11/3/15 10/20/2015 Certified 11/03/2015 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of February 28, 2019. 03/04/2019 Notified 03/04/2019 1
BGC Amendment to the Volume Match and Volume Match prices rules. 05/27/2015 Certified 06/10/2015 1
IGDL Notification of certain non-substantive revisions to the ICAP Global Derivatives Limited Rulebook effective as of March 1, 2019. 03/04/2019 Notified 03/04/2019 1
BGC Technical corrections and amendments to rules. 05/27/2015 Certified 06/10/2015 1
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
BSEF Rulebook Amendment 04/27/2017 Certified 05/11/2017 1
IGDL Amendment to IGDL's Rulebook. 12/18/2017 Certified 01/03/2018 1
TRAD Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. 06/30/2021 Certified 07/15/2021 1
CBOESEF Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 06/09/2014 Certified 06/24/2014 1
TDERIV Change of exchange opening hours 08/14/2018 Notified 08/14/2018 1
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 1
IGDL Amended Rulebook 11/29/2017 Certified 12/13/2017 1
SEED CX Updating Various Rules in the Seed SEF Rulebook 08/14/2019 Certified 08/28/2019 1