Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
RF SEF Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 11/22/2013 Certified 12/10/2013 1
SWAPX Rulebook amendments in response to comments and questions received from potential users of SwapEx's SEF. (January 22, 2014) 01/22/2014 Certified 02/06/2014 1
TDERIV Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates 11/18/2015 Certified 12/03/2015 1
ICAPSEF Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. 10/17/2013 Certified 11/01/2013 1
INFXSEF Rulebook amendments to incorporate non-material changes requested by Commission Staff. Amendments will become effective on November 25, 2013. 11/19/2013 Certified 12/05/2013 1
ICE SEF Rulebook amendments to reflect upcoming changes by the index provider for Singapore Gasoil (0.05% sulfur Gasoil grade). 07/14/2017 Notified 07/14/2017 3
TDERIV Rulebook amendments to remove all references to Regulatory Service Provider and related terms. TRUEEX #2014-11S 06/26/2014 Certified 07/12/2014 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
TPSEF Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. 11/19/2013 Certified 12/05/2013 1
360T Rulebook and User Guides updated in view of CFTC comments and participant queries. 09/30/2015 Certified 10/14/2015 5
MKAXSEF Rulebook changes to reflect recent developments and to provide clarity. 11/09/2016 Certified 11/25/2016 4
RADSEF Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions 12/16/2020 Certified 12/31/2020 4
LGX Rulebook for LedgerX DCM 06/24/2019 Certified 07/09/2019 2
MKAXSEF Rulebook update 08/31/2021 Notified 08/31/2021 3
360T Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. 08/04/2015 Certified 08/17/2015 4
NEXSEF Rulebook updated to reflect certain new trading hours and updated product information 01/17/2019 Certified 02/01/2019 3
LGX Rulebook updates 04/08/2022 Certified 04/22/2022 2
TWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 4
DWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 3
CBOESEF Rules amendments to provide (a)for use of Javelin systems to communicate bids and offers to Javelin to insure compliance with Reg 37.9(b) and (b) state in rulebook that bid and offers in voice order book will be disclosed to all market participants. 05/21/2015 Certified 06/05/2015 1
LATAM See Exhibit A of the Submission 06/22/2015 Certified 07/07/2015 2
SEED CX Seed SEF is amending various rules to clarify certain definitions and to make substantive revisions to Chapters 7 (Contract Settlement) and 9 (Arbitration) 01/12/2018 Withdrawn 01/16/2018 2
SEED CX Seed SEF LLC Rule Submission - Amending Various Rules Related to Execution and Settlement of Transactions (SCXS Submission #19-001) 08/02/2019 Certified 08/16/2019 1
CMSEF SEF Rule Amendment 08/04/2016 Certified 08/18/2016 1
CMSEF SEF Rule Amendment 08/19/2016 Certified 09/02/2016 1
CMSEF SEF Rulebook Amendment 04/05/2016 Certified 04/19/2016 1
CMSEF SEF Rulebook Amendment 07/31/2015 Certified 08/14/2015 3
CMSEF SEF Rulebook Amendment 04/28/2016 Certified 05/12/2016 1
CMSEF SEF Rulebook Amendment 08/03/2016 Certified 08/17/2016 1
CMSEF SEF Rulebook Amendment Certification 06/29/2015 Certified 07/14/2015 1
CMSEF SEF Rulebook Amendment Certification 07/20/2015 Withdrawn 07/28/2015 1
TDERIV self certification of fees for the SEF Trading System 11/06/2016 Certified 11/21/2016 1
TDERIV self certification of fees on the SEF Trading System 08/16/2016 Certified 08/30/2016 1
NEXSEF Self certification of NEX SEF Market Regulation Advisory Notice for update of Quote Fill Ratio Thresholds. 03/18/2020 Certified 04/01/2020 2
RTX Self Certification of our Fee Schedule 10/03/2023 Certified 10/18/2023 2
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
TDERIV Self certification of SEF fees 10/17/2017 Certified 10/30/2017 1
TDERIV self-certification of fees on the SEF Trading System 12/09/2015 Certified 12/23/2015 1
TDERIV self-certification of fees on the SEF Trading System 03/17/2016 Certified 03/31/2016 1
TDERIV Self-certification of fees to be charged to Participants on the SEF Trading System. 04/19/2018 Certified 05/03/2018 1
RTX Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) 11/07/2023 Certified 11/22/2023 2
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
TDERIV Self-certification of rule amendments 10/30/2014 Certified 11/14/2014 1
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
TDERIV Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. 10/05/2015 Certified 10/20/2015 1
CBOESEF Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 12/16/2013 Certified 01/01/2014 1
LGX Submission of Revised fee schedule 03/04/2020 Certified 03/18/2020 2
LGX Submission of revised fee schedule. 03/27/2018 Certified 04/10/2018 1
LGX Submission of revised fee schedule. 02/13/2018 Certified 02/28/2018 1