Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/17/2016 Withdrawn 02/24/2016 4
IGDL Revised Fee Card and Discount Program 02/16/2016 Certified 03/01/2016 2
ICAPSEF Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
IGDL Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. 02/23/2016 Certified 03/08/2016 5
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/24/2016 Certified 03/09/2016 2
CMSEF Amendment to SEF Rulebook 02/24/2016 Certified 03/09/2016 1
CBOESEF Change in trading hours 02/25/2016 Certified 03/10/2016 1
IGDL Revised Discount Structure Appendix 03/17/2016 Certified 03/31/2016 2
TDERIV self-certification of fees on the SEF Trading System 03/17/2016 Certified 03/31/2016 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Block Trade FAQ in order to affect certain administrative/clerical revisions. 03/23/2016 Certified 04/06/2016 4
TDERIV notification of changes in trading hours 04/07/2016 Notified 04/07/2016 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. The amended Rulebook will become effective on April 12, 2016. 03/28/2016 Certified 04/11/2016 1
BGC Amending the rulebook to include additional clearing organizations. 03/31/2016 Certified 04/14/2016 1
TRAD Amendments to Tradition SEF Trad-X Platform Supplement. 03/31/2016 Certified 04/14/2016 1
FTSEF Amendments to FTSEF Product Specifications and FTSEF Rules 101, 202, 205, 212, 301, 317, 401, 402, 403, 404, 405, 408, 409, 503, 602, 703, 924,1001, 1003, 1011, 1012, 1013, 1016, Chapter 13 04/01/2016 Certified 04/15/2016 5
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and clarify the process by which IST intends to implement and enforce certain of its rules. 04/05/2016 Certified 04/19/2016 12
CMSEF SEF Rulebook Amendment 04/05/2016 Certified 04/19/2016 1
GTX Amendment to Rulebook. 04/07/2016 Certified 04/21/2016 5
RADSEF Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. 04/15/2016 Certified 04/29/2016 3
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
CMSEF SEF Rulebook Amendment 04/28/2016 Certified 05/12/2016 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
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(d) of the CFTC Regulations, tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B of the tpSEF Rulebook effective as of the date hereof. 05/17/2016 Notified 05/17/2016 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/10/2016 Certified 05/24/2016 2
BSEF BSEF Rulebook Amendment 05/12/2016 Certified 05/26/2016 2
IGDL Revised Discount Appendix to Fee Card 05/16/2016 Certified 05/31/2016 2
IGDL Revised Rulebook and Confidential Chapter 9 05/16/2016 Certified 05/31/2016 4
IGDL Market Regulation Advisory Notice 05/19/2016 Certified 06/03/2016 2
DWSEF DW SEF Market Regulation Advisory Notice re STP and Affirmation 05/31/2016 Certified 06/14/2016 2
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
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
TWSEF Market Regulation Advisory Notice to TW SEF Participants re straight through processing. 06/02/2016 Certified 06/16/2016 2
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
GFISEF We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 2
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF Inc. hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 06/13/2016 Certified 06/27/2016 1
TDERIV This is an EMERGENY RULE CERTIFICATION to incorporate the reference to CFTC no-action letter 16-58 and the new expiration date, and to remove reference to CFTC no-action letter 15-24 and its June 15, 2016 expiration. 06/14/2016 Certified 06/27/2016 1
RADSEF TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants 06/15/2016 Certified 06/29/2016 3
SWAPX Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments 06/15/2016 Certified 06/29/2016 4
CBOESEF Rule Amendment related to CFTC No-Action Letter 16-84 06/16/2016 Certified 06/30/2016 3
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
IGDL Fee Card amendment 06/16/2016 Certified 06/30/2016 2
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF notifies the CFTC that it will release the attached Notice to Participants on June 23, 2016. The Notice relates to the guidance included in CFTC Letter 15-67 re: straight through processing. 06/23/2016 Certified 07/08/2016 1
ICAPSEF Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
IGDL Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
CBOESEF Rule amendments made to comply with CFTC Letter No. 15-67 07/07/2016 Certified 07/21/2016 1
IGDL Rulebook amendments to set forth new Rules designed to meet the 10-minute AQATP standard; MRAN 2016-7 to explain the new Rules to Participants. 07/11/2016 Certified 07/25/2016 9
ICAPSEF Rulebook amendments to set forth new Rules designed to meet the 10-minute AQATP standard; MRAN 2016-7 to explain the new Rules to Participants. 07/11/2016 Certified 07/25/2016 9
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to clarify the process by which IST intends to implement and enforce certain of its rules and respond to guidance received from the Commission. 07/14/2016 Certified 07/28/2016 4