Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
IGDL Amended Rulebook - specifically the Definitions and Rules 204, 304, 305, 315, 404. IGDL 2014-R-1 05/16/2014 Certified 05/31/2014 1
ICAPSEF Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
IGDL Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
NEXSEF Amended Rulebook and Confidential Trading Protocols 12/08/2017 Certified 12/22/2017 4
ICAPSEF Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. 10/17/2013 Certified 11/01/2013 1
BSEF Amended Rulebook in response to comments and questions received from Commission staff and potential users of BSEF's swap execution facility. 10/17/2013 Certified 11/01/2013 2
IGDL Amended Rulebook reflecting NAL 16-76 11/01/2016 Certified 11/16/2016 3
ICAPSEF Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
IGDL Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
ICAPSEF Amended Rulebook to reflect NAL 16-76 11/01/2016 Certified 11/16/2016 3
ICAPSEF Amended Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICE SEF Amended Rulebook to: (1) administrative/clerical revisions (2) clarify process to implement and enforce certain ruels (3) respond CFTC comments and IST participants. Submission 13-08 11/25/2013 Certified 12/11/2013 0
BSEF Amended schedule 09/17/2020 Certified 10/01/2020 2
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4
IGDL Amended SEF Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
TWSEF Amended TW SEF Rulebook 10/03/2016 Certified 10/18/2016 4
TWSEF Amended TW SEF Rulebook 09/30/2015 Certified 10/15/2015 4
TWSEF Amended TW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
TWSEF Amended TW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
TWSEF Amended TW SEF Rulebook 10/29/2015 Certified 11/13/2015 4
TWSEF Amended TW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4
AEGIS Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule 07/26/2022 Notified 07/26/2022 4
BSEF Amending Bloomberg SEF Rulebook. - Rule 533. Cleared Swaps 10/17/2013 Certified 11/01/2013 0
ICE SEF Amending its Rulebook in order to accommodate trading in commodities by users of IST's swap execution facility and to remove the obligation for Participants to enter into a swap intermediation arrangement. 09/25/2013 Certified 10/10/2013 1
TPSEF Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) 10/17/2013 Certified 11/01/2013 1
SWAPX Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 10/18/2013 Certified 11/02/2013 1
DWSEF Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) 10/21/2013 Certified 11/05/2013 0
BSEF Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. 09/13/2013 Certified 09/28/2013 5
SPECTR Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program 01/05/2024 Certified 01/22/2024 4
BGC Amending rules for determining speculative position limits or position accountability. 10/06/2015 Certified 10/21/2015 1
BGC Amending the rulebook to include additional clearing organizations. 03/31/2016 Certified 04/14/2016 1
CMSEF Amendment and revision to rulebook. 07/13/2017 Certified 07/27/2017 1
CBOESEF Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) 10/17/2013 Certified 11/01/2013 1
SWAPX Amendment of a market advisory notice previously certified as a rule 07/14/2015 Certified 07/28/2015 3
TDERIV Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 12/31/2017 Certified 01/16/2018 1
SWAPX Amendment of certain trade practice and disciplinary rules 09/15/2016 Certified 09/29/2016 4
TWSEF Amendment of Rule 205 (Regulatory Oversight Committee) 02/03/2022 Certified 02/17/2022 4
SWAPX Amendment of Rule 525 to reflect recent CFTC no-action letter 03/31/2017 Certified 04/14/2017 4
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
TPSEF Amendment of tpSEF Inc. Terms of Use 09/14/2017 Certified 09/28/2017 1
CBOESEF Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." 02/27/2017 Certified 03/13/2017 4
BGC Amendment raising 5 second cross-delay to 15 seconds. 04/10/2015 Certified 04/24/2015 1
SWAPX Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) 11/15/2013 Certified 12/03/2013 1
SWAPX Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 12/04/2013 Certified 12/19/2013 0
BSEF Amendment to BSEF Rule 533 09/02/2016 Certified 09/19/2016 1
BSEF Amendment to Compliance Manual 06/28/2017 Certified 07/13/2017 2
IGDL Amendment to Confidential Chapter 9 Trading Protocols 03/10/2017 Certified 03/24/2017 2