Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ISBV Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. 06/29/2023 Certified 07/14/2023 11
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
TRAD CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. 07/24/2023 Certified 08/07/2023 3
GFISEF CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA 07/24/2023 Certified 08/07/2023 1
BGC BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. 07/24/2023 Certified 08/07/2023 3
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker 07/25/2023 Certified 08/08/2023 1
NEXSEF Amendments to Chapter 5 ("Rule Enforcement") and Rule 901 ("System Protocols") of the NEX SEF Limited Rulebook (Form SEF Exhibit M) and the Trade Practice Review Program of the NEX SEF Compliance Manual (Form SEF Exhibit O3) 07/28/2023 Certified 08/11/2023 4
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1
IGDL Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook 07/31/2023 Certified 08/14/2023 1
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker 08/01/2023 Certified 08/15/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). 08/14/2023 Certified 08/28/2023 1
NEXSEF Amendments to NEX SEF Rule 901 ("System Protocols") of the NEX SEF Rulebook (Form SEF Exhibit M) and the Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2023-01 08/15/2023 Certified 08/29/2023 2
RTX Weekly Notification of Rule Amendments 08/31/2023 Notified 08/31/2023 1
TWSEF Notice to Participants- Cleared Error Swaps- procedures and requirements 08/22/2023 Certified 09/06/2023 2
BSEF BSEF fee schedule amendment 08/29/2023 Certified 09/13/2023 1
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. 09/28/2023 Certified 10/13/2023 1
RTX Self Certification of our Fee Schedule 10/03/2023 Certified 10/18/2023 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Renewal of the LATAM EBS NDF Connectivity Incentive Program and Expiration of the EBS on-SEF UK/US Crossover Market Maker Program 10/17/2023 Certified 10/31/2023 2
RTX RTX revised Fee Schedule 10/19/2023 Certified 11/02/2023 2
NEXSEF Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. 10/26/2023 Certified 11/09/2023 3
CBOESEF Cboe SEF is amending Rule 909 to add exceptions to the definition of Confidential Information. 11/01/2023 Certified 11/16/2023 1
CBOESEF Extending current market maker program. 11/01/2023 Certified 11/16/2023 1
RF SEF This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF 11/20/2023 Notified 11/20/2023 3
RTX Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) 11/07/2023 Certified 11/22/2023 2
BSEF CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 11/09/2023 Certified 11/27/2023 1
LGX LedgerX SEF Rulebook Revisions 11/15/2023 Certified 11/30/2023 3
BSEF CFTC Regulation 40.6(a) Certification. Product Related Amendment to the BSEF LLC Rulebook. 11/29/2023 Certified 12/13/2023 1
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
TPSEF Updates to tpSEF Inc. Risk Mitigation Procedures 11/30/2023 Certified 12/14/2023 1
NEXSEF Modifications to the NEX SEF Fee Schedule for the Increase in Basis Risk Reduction Services Crossing Access Fee 12/14/2023 Certified 12/29/2023 2
TPSEF Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. 12/18/2023 Certified 01/03/2024 1
SPECTR Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program 01/05/2024 Certified 01/22/2024 4
BSEF CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook 01/12/2024 Certified 01/29/2024 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 01/29/2024 Certified 02/12/2024 1
BSEF CFTC Regulation 40.6(d) Weekly Notification of Rule Amendments 02/29/2024 Notified 02/29/2024 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 02/23/2024 Certified 03/08/2024 1
RTX Revision of SEF Compliance Manual 03/07/2024 Certified 03/21/2024 3
RF SEF The rule amendments have been made to introduce voluntary clearing of NDFs. 03/11/2024 Certified 03/25/2024 2