Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
IGDL Regulation 40.6(a) Rule Certification. 05/09/2018 Certified 05/23/2018 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/23/2018 Certified 06/07/2018 2
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. 05/23/2018 Certified 06/07/2018 3
NEXSEF Correction of typographical error in Rule 315 06/08/2018 Notified 06/08/2018 3
TRAD Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. 05/31/2018 Certified 06/14/2018 3
LGX Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. 06/11/2018 Certified 06/25/2018 4
NEXSEF Revised Fee Program 06/18/2018 Certified 07/02/2018 4
TRAD Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. 06/18/2018 Certified 07/02/2018 3
BSEF Notice to Participants regarding trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. 07/02/2018 Certified 07/17/2018 1
BSEF Notice to Participants regarding the lifting of a trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. 07/02/2018 Certified 07/17/2018 1
CMESEF Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. 07/11/2018 Certified 07/25/2018 1
IGDL Updates to SEF Discount Structure Appendix to IGDL's fee schedule. 07/17/2018 Certified 07/31/2018 1
NEXSEF Revised Fee Program discount programs 07/17/2018 Certified 07/31/2018 2
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Rulebook 07/25/2018 Certified 08/08/2018 1
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) 07/26/2018 Certified 08/09/2018 2
TDERIV Change of exchange opening hours 08/14/2018 Notified 08/14/2018 1
NEXSEF Amended Fee Program 08/03/2018 Certified 08/17/2018 2
CBOESEF Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. 08/06/2018 Certified 08/20/2018 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 08/10/2018 Certified 08/24/2018 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) 08/16/2018 Certified 08/30/2018 1
NEXSEF Amended Rulebook 08/27/2018 Certified 09/11/2018 3
TRAD Amendment to Tradition SEF, Inc. Fee Schedule 09/06/2018 Certified 09/20/2018 3
CBOESEF Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. 09/17/2018 Certified 10/01/2018 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 2, 2018. 10/09/2018 Notified 10/09/2018 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
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 1
ICE SEF ICE Swap Trade, LLC - weekly notification of rule changes. 11/14/2018 Notified 11/14/2018 4
BSEF Amended Compliance Manual (BSEF-2018-R-08) 11/01/2018 Certified 11/16/2018 2
NEXSEF Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 11/02/2018 Certified 11/19/2018 1
TDERIV Certification of fee schedule and designation market maker program for trueDigital Products 11/06/2018 Certified 11/21/2018 2
TWSEF TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. 12/10/2018 Notified 12/10/2018 2
ICE SEF 2019 Trading and Holiday Schedule 12/10/2018 Notified 12/10/2018 3
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
BSEF BSEF Rulebook Amendment 12/21/2018 Certified 01/08/2019 1
NEXSEF Rulebook updated to reflect certain new trading hours and updated product information 01/17/2019 Certified 02/01/2019 3
NEXSEF Updated Fee Program 01/17/2019 Certified 02/01/2019 2
NEXSEF Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 02/15/2019 Notified 02/15/2019 3
BSEF Emergency Rule Certification 02/05/2019 Certified 02/20/2019 2
CBOESEF Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. 02/06/2019 Certified 02/21/2019 1
NEXSEF Amendment to Market Regulation Advisory Notice 2018-04 02/15/2019 Certified 03/04/2019 2
NEXSEF Update to Effective Date of MRAN 2019-01 03/04/2019 Notified 03/04/2019 2
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
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
BSEF BSEF Compliance Manual 02/21/2019 Certified 03/07/2019 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. 03/01/2019 Certified 03/15/2019 2
TDERIV Notice of change to execution fees charged to respondents trading on the trueEX Trading System. 03/04/2019 Certified 03/18/2019 3
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
FTSEF The Rulebook has been amended to update certain No Action Letters on which it relies. 03/13/2019 Certified 03/27/2019 3
TRAD Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. 03/18/2019 Certified 04/01/2019 4