Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that it has amended its Compliance Manual. 08/03/2016 Certified 08/17/2016 5
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook, effective August 1, 2016. 07/15/2016 Certified 07/29/2016 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook. 05/13/2015 Certified 05/28/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby submits to the Commission certain rule amendment. 08/01/2016 Certified 08/15/2016 2
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "Commission"), BloombergSEF LLC hereby notifies the Commission that it has amended its Rulebook. 01/16/2015 Certified 02/02/2015 2
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
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
TDERIV Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. 03/19/2015 Certified 04/02/2015 1
RF SEF Pursuant to the instructions in Form SEF regarding amendments to exhibits filed in connection with and approved order of registration, Refinitiv US SEF LLC ("RSEF") hereby submits an amended Exhibit B-1 to its SEF application 04/11/2022 Certified 04/25/2022 1
RF SEF Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. 05/02/2022 Certified 05/16/2022 2
RF SEF Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. 06/08/2023 Certified 06/23/2023 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. 11/21/2022 Certified 12/06/2022 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) 11/20/2020 Certified 12/07/2020 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) 11/09/2020 Certified 11/24/2020 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 Regulation 40.6 certification of tpSEF's procedures for risk mitigation sessions. 01/20/2015 Certified 02/03/2015 1
TPSEF Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. 02/03/2015 Certified 02/18/2015 1
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Withdrawn 08/21/2015 3
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Certified 09/03/2015 3
IGDL Regulation 40.6(a) Rule Certification. 05/09/2018 Certified 05/23/2018 1
TRAD Representation in Connection with Notice of Intent to Rely on Time-Limited No-Action Relief provided by CFTC Letter No. 13-62 from requirement to comply with Commission Regulation 37.702(b) 10/17/2013 Certified 11/01/2013 1
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
BGC Resubmission of Rule 505 - Contract Specifications are being amended to provide that persons entering into pre-discussed trades or cross trades in the specified Interest Rate Swaps, must wait at least 5 seconds after the Initial Order. BGC #2013-03 01/30/2014 Certified 07/29/2014 7
CBOESEF Revised - Javelin Determination of Made Available to Trade of certain Interest Rate Swaps (Submission 13-06R(3)) 01/08/2014 90 Day Review 01/14/2014 0
DWSEF Revised and amended Rulebook for DW SEF LLC. 07/29/2014 Certified 08/12/2014 13
TWSEF Revised and amended Rulebook for TW SEF LLC. 07/29/2014 Certified 08/12/2014 13
BSEF Revised BSEF fee schedule 03/14/2018 Certified 03/28/2018 2
IGDL Revised Discount Appendix to Fee Card 05/16/2016 Certified 05/31/2016 2
IGDL Revised Discount Structure Appendix 03/17/2016 Certified 03/31/2016 2
LGX Revised Enterprise Risk Management Plan 06/18/2019 Certified 07/02/2019 3
LGX Revised Enterprise Risk Management Plan 05/31/2019 Certified 06/14/2019 1
ICAPSEF Revised exhibit to Rule 901 11/15/2016 Certified 11/30/2016 2
IGDL Revised Facility Rulebook 04/23/2015 Certified 05/07/2015 7
IGDL Revised Facility Rulebook 09/16/2014 Withdrawn 10/01/2014 1
IGDL Revised Facility Rulebook 03/24/2015 Certified 04/07/2015 4
IGDL Revised Facility Rulebook 08/29/2014 Certified 09/15/2014 2
IGDL Revised Facility Rulebook 07/15/2014 Withdrawn 07/18/2014 5
ICAPSEF Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
IGDL Revised Facility Rulebook 08/06/2014 Certified 08/20/2014 2
IGDL Revised Fee Card and Discount Program 02/16/2016 Certified 03/01/2016 2
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
NEXSEF Revised Fee Program 03/16/2018 Certified 03/30/2018 2
NEXSEF Revised Fee Program 06/18/2018 Certified 07/02/2018 4
NEXSEF Revised Fee Program discount programs 07/17/2018 Certified 07/31/2018 2
NEXSEF Revised Fee Program to include new market maker program for certain Non Deliverable Forwards 09/17/2019 Certified 10/01/2019 2