Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
ICE SEF Administrative edits to IST Rulebook 02/15/2021 Notified 02/15/2021 4
BSEF Non-substantive amendment of rules to incorporate recent CFTC rule amendments which codified prior CFTC no-action relief 02/16/2021 Notified 02/16/2021 1
BGC BGC Derivative Markets, L.P. submits these rule amendments to reflect codification of CFTC No Action Letters. 02/16/2021 Notified 02/16/2021 1
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
NEXSEF AMENDMENT TO NEX SEF LIMITED RULEBOOK RELATING TO SUMMARY FINES, AUDIT TRAIL REQUIRMENTS AND ERROR CORRECTION PROCESSES; ISSUANCE OF NEX SEF LIMITED MARKET REGULATION ADVISORY NOTICES MRAN 2021-01 AND 2021-02 02/09/2021 Certified 02/24/2021 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/26/2021 Notified 02/26/2021 1
RF SEF The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) 02/12/2021 Certified 03/01/2021 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to error trades under Commission Regulation 37.9(e) 02/17/2021 Certified 03/03/2021 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/05/2021 Notified 03/05/2021 1
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 02/25/2021 Certified 03/11/2021 12
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/19/2021 Notified 03/19/2021 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-R-2) 03/10/2021 Certified 03/24/2021 1
TPSEF Notification of Amendments to Rulebook 03/10/2021 Certified 03/24/2021 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-03) 03/12/2021 Certified 03/26/2021 1
LGX LedgerX Amended Rulebook 03/12/2021 Certified 03/26/2021 1
LGX LedgerX Unredacted Operations Manual 03/12/2021 Certified 03/26/2021 2
LGX LedgerX Redacted Operations Manual 03/12/2021 Certified 03/26/2021 1
LGX LedgerX Revised Participant Agreement 03/12/2021 Certified 03/26/2021 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Initial Administrator(s) Authorization Form (BSEF-2021-R-04) 03/15/2021 Certified 03/29/2021 2
ICE SEF Adjustment to ICE Swap Trade Trading Hours 03/30/2021 Notified 03/30/2021 4
NEXSEF Modifications to the NEX SEF Fee Schedule 03/17/2021 Certified 03/31/2021 2
TRAD Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. 04/01/2021 Notified 04/01/2021 3
IGDL IGDL-2021-R-4 - 40.6(a) Rule Certification (4.1.2021) 04/01/2021 Certified 04/15/2021 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/16/2021 Notified 04/16/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
CBOESEF The proposed changes seek to modify the Order Review Timeframe for each of the SEF Order Book and the Full Amount Platform from 100 to 70 milliseconds. 04/16/2021 Certified 04/30/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 04/19/2021 Certified 05/03/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 04/20/2021 Certified 05/04/2021 8
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/07/2021 Notified 05/07/2021 1
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Adoption of the Board of Directors Terms of Reference 04/26/2021 Certified 05/10/2021 2
ICE SEF Administrative changes to Rulebook 05/14/2021 Notified 05/14/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. 05/12/2021 Certified 05/26/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 05/14/2021 Certified 05/28/2021 4
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/28/2021 Notified 05/28/2021 1
LGX LedgerX Revised Participant Agreement 05/28/2021 Certified 06/14/2021 1
LGX LedgerX revised Participant Agreement 05/28/2021 Certified 06/14/2021 4
NEXSEF Amendments to Quote Fill Ratios for Certain Currency Pairs and Issuance of NEX SEF Market Regulation Advisory Notice 2021-03 06/01/2021 Certified 06/15/2021 1
TWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
DWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
LGX LedgerX Updated Fee Schedule 06/23/2021 Notified 06/23/2021 3
LGX LedgerX Revised Rulebook 06/10/2021 Certified 06/24/2021 3
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 06/11/2021 Certified 06/25/2021 4
LGX LedgerX Updated BCDR Plan 06/13/2021 Certified 06/25/2021 4
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-04) 06/14/2021 Certified 06/28/2021 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-04) 06/14/2021 Certified 06/28/2021 1
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-05) 06/14/2021 Certified 06/28/2021 1