Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook, specifically the Definitions and Rules 204 and 312. (October 31, 2013) 10/31/2013 Certified 11/16/2013 1
BGC BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) 11/01/2013 Certified 11/19/2013 1
GFISEF GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 11/01/2013 Certified 11/19/2013 1
DWSEF DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. 11/01/2013 Certified 11/19/2013 1
TWSEF TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 11/01/2013 Certified 11/19/2013 1
TPSEF tpSEF Inc. Emergency Rule Certification letter dated November 1, 2013. Amended its Rulebook in response to Commission Letter No. 13-66, regarding the resubmission of swaps rejected for clearing. 11/04/2013 Certified 11/20/2013 1
MKAXSEF MarketAxess SEF Corporation - Rulebook updated to reflect recent developments and to provide clarity. Letter dated November 5, 2013. Amended Rulebook will be effective November 21, 2013. 11/05/2013 Certified 11/21/2013 1
MKAXSEF MarketAxess SEF Corporation - Amended for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 11/05/2013 Certified 11/21/2013 0
SWAPX SwapEX LLC - Amendment to Application for Registration as a Swap Execution Facility, letter dated November 4, 2013. (amendments from its July 30, 2013 application) 11/05/2013 Certified 11/21/2013 0
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a Swap Execution Facility. Letter dated November 5, 2013 11/05/2013 Certified 11/21/2013 0
TPSEF tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. 11/06/2013 Certified 11/22/2013 0
CBOESEF Javelin SEF LLC - Amendments to its Rulebook - Amended Rules 216, 505, 523, 706 (Submission No. 13-08) 11/08/2013 Certified 11/26/2013 1
TWSEF Notice to Participants that the SEF's US Dollar Interest Rate Swaps, Canadian Dollar Interest Rate Swaps and CDX markets will be closed on November 11, 2013. 11/12/2013 Certified 11/27/2013 1
DWSEF DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 11/12/2013 Certified 11/27/2013 1
INFXSEF Rulebook amended in order to incorporate rule changes based on Commission Staff guidance contained in Notice 13-66, client feedback and to clarify certain rules in the INFX SEF Rulebook. 11/12/2013 Certified 11/27/2013 1
BSEF Bloomberg SEF LLC - Submission of Bloomberg SEF's Financial Report. 11/12/2013 Certified 11/27/2013 0
SWAPX Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) 11/15/2013 Certified 12/03/2013 1
INFXSEF Rulebook amendments to incorporate non-material changes requested by Commission Staff. Amendments will become effective on November 25, 2013. 11/19/2013 Certified 12/05/2013 1
INFXSEF Amendments to Rulebook -- Notice 13-05 11/19/2013 Certified 12/05/2013 1
TPSEF Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. 11/19/2013 Certified 12/05/2013 1
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook and User Agreement. TRAD #13-0003 11/20/2013 Certified 12/06/2013 0
CBOESEF Javelin SEF Holiday Schedule for 2013 - 2014 11/21/2013 Certified 12/07/2013 1
RF SEF Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 11/22/2013 Certified 12/10/2013 1
ICE SEF Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 11/25/2013 Certified 12/11/2013 0
RADSEF TeraExchange, LLC - Amended Rulebook Submission 2013-01 11/26/2013 Certified 12/12/2013 1
GFISEF Amendments to Rule 509(c) - GFISEF Submission #13-0005 11/26/2013 Certified 12/12/2013 1
GFISEF Modifying the Exchange's Fee Schedule. GFISEF Submission #13-0004 11/26/2013 Certified 12/12/2013 1
360T 360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. 11/26/2013 Certified 12/12/2013 3
BSEF Bloomberg SEF LLC - Amendment to Form SEF and Related Request for Freedom of Information Act Confidential Treatment (November 26, 2013) 11/27/2013 Certified 12/13/2013 0
360T 360 Trading Networks, Inc. amendment to Form SEF 11/27/2013 Certified 12/13/2013 0
SWAPX Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 12/04/2013 Certified 12/19/2013 0
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
GFISEF Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 12/05/2013 Certified 12/20/2013 1
MKAXSEF Updating its Rulebook to reflect recent developments and to provide clarity. Letter dated December 11, 2013 12/11/2013 Withdrawn 12/20/2013 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
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
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: 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
MKAXSEF Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 12/11/2013 Certified 12/27/2013 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
CBOESEF Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 12/16/2013 Certified 01/01/2014 1
INFXSEF INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) 12/17/2013 Certified 01/03/2014 1
GFISEF Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 12/17/2013 Certified 01/03/2014 2
GFISEF GFI Swaps Exchange LLC Submission #13-0011 (Letter dated December 18, 2013) Amendments to GFI Rules 101, 528, 529, 533, 903, and 914 12/19/2013 Certified 01/07/2014 1
GFISEF GFI Swaps Exchange LLC Submission #13-0012 12/19/2013 Certified 01/07/2014 1
MKAXSEF MarketAxess SEF Updating the Rulebook to reflect recent developments and to provide clarity. Letter dated December 20, 2013 12/20/2013 Certified 01/08/2014 1
INFXSEF INFX SEF, Inc. - Amendments to Rulebook: incorporated requested changes by Commission staff - Notice 13-06(a) (Letter dated December 20, 2013) 12/20/2013 Certified 01/08/2014 1
GFISEF GFI Swaps Exchange LLC Submission #13-0012 -- Amendment to Rule 507(c) Matching of Orders 12/20/2013 Certified 01/08/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (Amend December 9 Rulebook Certification) Letter dated December 19, 2013 2013-R-10A 12/20/2013 Certified 01/08/2014 1
TDERIV trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 12/20/2013 Certified 01/08/2014 1