Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TRAD Tradition SEF, Inc. Notice #14-03 - Observing the Martin Luther King Holiday on Monday, January 20, 2014 01/14/2014 Certified 01/30/2014 0
TDERIV trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 12/20/2013 Certified 01/08/2014 1
TDERIV trueEX LLC Rule Amendments, Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-07S 04/09/2014 Certified 04/24/2014 1
TWSEF TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) 10/21/2013 Certified 11/05/2013 0
TWSEF TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
TWSEF TW SEF Cover Letter re Fees (11.23.15)TW SEF FOIA Request with Justification (11.23.15)App. A1 - TW SEF Exhibit K (Fees) (Clean 11.23.15)App. A2 - TW SEF Exhibit K (Fees) (Marked 11.23.15)App. A3 - TW SEF Fees Schedules 11/23/2015 Certified 12/08/2015 1
TWSEF TW SEF Cover Letter re MRAN (12.16.15)TW SEF MRAN - Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
TWSEF TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 11/01/2013 Certified 11/19/2013 1
TWSEF TW SEF Fee Schedule Update 10/11/2022 Certified 10/25/2022 2
TWSEF TW SEF Fee update for Canadian Dollar Swaps 07/08/2021 Certified 07/22/2021 2
TWSEF TW SEF Fee update for GBP swaps 08/30/2021 Certified 09/14/2021 3
TWSEF TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
TWSEF TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
TWSEF TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
TWSEF TW SEF LLC - Amended Rulebook 12/01/2014 Certified 12/15/2014 4
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook: (1) Staff Guidance and (2) comments and questions received on TW's SEF. (January 31, 2014) 01/31/2014 Certified 02/15/2014 1
TWSEF TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
TWSEF TW SEF LLC Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
TWSEF TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. 12/10/2018 Notified 12/10/2018 2
TWSEF TW SEF made certain updates to its Fully Integrated API Services Fee Schedule (Rate Swaps Currencies - Tokyo Hours Only) 01/07/2020 Notified 01/07/2020 2
TWSEF TW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
NEXSEF Update Chapter 8 to incorporate changes made to the terms of existing products (made in separately filed 40.2(a) filings) and make various substantive formatting and clean-up changes throughout the rule book. 08/27/2019 Notified 08/27/2019 1
CBOESEF Update Fee Schedule 12/15/2022 Certified 12/30/2022 1
CMSEF Update of Exhibit N 09/08/2016 Certified 09/22/2016 1
CBOESEF Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. 08/18/2022 Certified 09/01/2022 1
CBOESEF Update the appeal provisions under Cboe SEF's Rules. 08/18/2022 Certified 09/01/2022 1
ICE SEF Update to Board language 07/08/2021 Notified 07/08/2021 4
NEXSEF Update to Effective Date of MRAN 2019-01 03/04/2019 Notified 03/04/2019 2
TWSEF Update to Fee Schedule for Cross Currency Swaps 09/21/2020 Certified 10/05/2020 2
LATAM Update to LatAM SEF Rule Book Version 1.5 09/22/2016 Certified 10/06/2016 2
NEXSEF Updated Fee Program 01/17/2019 Certified 02/01/2019 2
ISBV Updated Fee Structure and Incentives to reflect volatile markets. No substantive changes to the quantum of fees or incentives. In addition some conformance changes 07/08/2022 Certified 07/22/2022 4
ISBV Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives 09/30/2022 Certified 10/14/2022 3
MKAXSEF Updated its Rulebook to reflect recent development and to provide clarity. Rules 101; 301,..., 315; 401,..., 409;..., 702;... 1006 02/11/2014 Certified 02/27/2014 1
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
DWSEF Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. 10/16/2014 Certified 10/30/2014 2
TWSEF Updated Notice to all TW SEF Participants regarding when block treatment of a Package Transactions is appropriate. 10/16/2014 Certified 10/30/2014 2
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
GFISEF Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU 10/20/2020 Certified 11/03/2020 1
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
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
TDERIV Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR 06/30/2014 Certified 07/16/2014 1
CBOESEF Updates Cboe SEF's governance arrangements. 07/01/2022 Certified 07/18/2022 1
TPSEF Updates to Appendix B to the tpSEF Rulebook - Swap Specifications 12/15/2017 Notified 12/15/2017 1
IGDL Updates to IGDL's Fee Schedule and SEF Discount Structure Appendix to IGDL's Fee Schedule. 04/09/2019 Certified 04/23/2019 2
NEXSEF Updates to rulebook that specify Pre-Arranged Crosses may only be intermediated by bulk risk mitigation services. Update to table of contents. 02/13/2020 Certified 02/28/2020 3
IGDL Updates to SEF Discount Structure Appendix to IGDL's fee schedule. 07/17/2018 Certified 07/31/2018 1
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
SWAPX Updates to the SwapEx SEF Rulebook to align with relevant regulation. 02/19/2020 Certified 03/04/2020 2