Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CMESEF Amendments to CME/CBOT/NYMEX/COMEX/SEF Rule 230. ("General") 02/16/2017 Certified 03/03/2017 1
AEGIS Amendments to Exhibit N-1 Participant Agreement 11/03/2022 Notified 11/03/2022 2
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 08/30/2019 Certified 09/16/2019 2
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 06/18/2020 Certified 07/02/2020 2
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 12/23/2019 Certified 01/08/2020 2
IGDL Amendments to Fee Card 06/16/2015 Certified 06/30/2015 1
IGDL Amendments to Fee Card 03/24/2015 Certified 04/07/2015 1
TRAD Amendments to Fee Schedule 10/07/2019 Certified 10/22/2019 2
FTSEF Amendments to FTSEF Product Specifications and FTSEF Rules 101, 202, 205, 212, 301, 317, 401, 402, 403, 404, 405, 408, 409, 503, 602, 703, 924,1001, 1003, 1011, 1012, 1013, 1016, Chapter 13 04/01/2016 Certified 04/15/2016 5
GFISEF Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 06/27/2014 Certified 07/15/2014 1
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook 06/19/2020 Certified 07/06/2020 1
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook, Governance Policy and Compliance Manual. 03/24/2020 Certified 04/07/2020 2
IGDL Amendments to IDGL's Fee Schedule. 07/23/2021 Certified 08/06/2021 2
IGDL Amendments to IGDL rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
RF SEF Amendments to its application for TR SEF and request for Confidential Treatment. October 18, 2013 10/21/2013 Certified 11/05/2013 0
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) 06/14/2022 Certified 06/29/2022 2
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX/CME Group Integration 03/08/2022 Certified 03/22/2022 8
NEXSEF Amendments to NEX SEF Limited Rulebook and Compliance Manual 03/13/2023 Certified 03/27/2023 4
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
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
LGX Amendments to Participant Agreement 07/28/2022 Certified 08/11/2022 2
NEXSEF Amendments to Quote Fill Ratios for Certain Currency Pairs and Issuance of NEX SEF Market Regulation Advisory Notice 2021-03 06/01/2021 Certified 06/15/2021 1
CBOESEF Amendments to reflect the terms of the prohibition of the practice of post-trade name give-up in accordance with Commission regulation 37.9(d), and elimination of minimum Notional Amount for Contracts executed on Cboe SEF. 11/06/2020 Certified 11/23/2020 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program 05/08/2015 Certified 05/22/2015 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program. 05/08/2015 Certified 05/22/2015 1
CMESEF Amendments to Rule 432. ("General Offenses") 02/01/2017 Certified 02/15/2017 1
GFISEF Amendments to Rule 509(c) - GFISEF Submission #13-0005 11/26/2013 Certified 12/12/2013 1
TPSEF Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. 12/18/2023 Certified 01/03/2024 1
CMESEF Amendments to Rule 574. ("Globex Access Restrictions") 02/01/2017 Certified 02/15/2017 1
INFXSEF Amendments to Rulebook -- Notice 13-05 11/19/2013 Certified 12/05/2013 1
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
GFISEF Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions 01/04/2016 Certified 01/19/2016 1
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
INFXSEF Amendments to Rulebook clarify the process of submitting an RFQ onto the INFX SEF RFQ Platform. (10-22-13) 10/22/2013 Certified 11/06/2013 1
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
CBOESEF Amendments to Rules 515 and 606 to conform those rules with NAL 14-118, Expiring December 15, 2015. 09/30/2014 Certified 10/15/2014 1
CBOESEF Amendments to Rules 523, 706, 720, 807, 904, 905 and various definitions to correct typographical errors and clarify definitions. 09/30/2014 Certified 10/15/2014 1
NEXSEF Amendments to Rules 802(1) ("Fixed for Floating IRS") and 802(4) ("Non Deliverable Swaps") in Connection with the Implementation of the 2021 IDSA Interest Rate Derivatives Definitions. 09/17/2021 Certified 10/01/2021 1
NEXSEF Amendments to Rules 802(2) ("Basis Swaps"), 802(3) ("Forward Rate Agreements (FRA)"), and 802(4) ("Non Deliverable Swaps") in Connection with the CFTC Market Risk Advisory Committee Best Practice Advisory re Transition from LIBOR TO SOFR 11/08/2021 Certified 11/23/2021 1
CMESEF Amendments to SEF Rules to Reflect Recent CFTC Guidance and No-Action Relief. CMESEF #14-018 01/15/2014 Certified 01/31/2014 1
SWAPX Amendments to SwapEx Rulebook 07/13/2015 Certified 07/27/2015 4
DWSEF Amendments to the DW SEF IRS Fee Schedule 07/21/2020 Certified 08/04/2020 2
BGC Amendments to the fee schedule. 10/06/2015 Certified 10/21/2015 2
GTX Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. 02/16/2018 Certified 03/05/2018 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 08/10/2022 Certified 08/24/2022 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/17/2019 Certified 07/31/2019 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 10/06/2021 Certified 10/21/2021 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/18/2022 Certified 08/01/2022 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/01/2020 Certified 07/16/2020 1