Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
IGDL Amendments to the IGDL SEF Discount Structure Appendix 12/18/2020 Certified 01/05/2021 1
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Adoption of the Board of Directors Terms of Reference 04/26/2021 Certified 05/10/2021 2
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Compliance Manual 08/06/2021 Certified 08/20/2021 2
NEXSEF Amendments to the NEX SEF Limited Trading Participant Holder Agreement 09/15/2022 Certified 09/29/2022 2
TRAD Amendments to the StreamGlobal Platform Supplement. 08/31/2017 Certified 09/15/2017 2
TPSEF Amendments to the tpSEF Fee Schedule 03/23/2023 Certified 04/06/2023 2
TPSEF Amendments to the tpSEF Fee Schedule 02/22/2023 Certified 03/08/2023 2
TPSEF Amendments to the tpSEF Rulebook as provided in Exhibit A 01/25/2023 Certified 02/08/2023 1
TRAD Amendments to the Tradition SEF Fee Schedule 11/27/2017 Certified 12/11/2017 2
TRAD Amendments to the Tradition SEF Fee Schedule. 12/12/2017 Certified 12/27/2017 2
TRAD Amendments to the tradition SEF Fee Schedule. 12/12/2016 Certified 12/27/2016 1
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
TPSEF Amendments to tpSEF Fee Schedule 10/02/2017 Certified 10/17/2017 2
TPSEF Amendments to tpSEF Fee Schedule 12/09/2019 Certified 12/23/2019 2
TPSEF Amendments to tpSEF Fee Schedule 12/13/2019 Certified 12/30/2019 2
TPSEF Amendments to tpSEF Fee Schedule 02/04/2020 Certified 02/19/2020 2
TPSEF Amendments to tpSEF rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
TPSEF Amendments to tpSEF's Rulebook and Compliance Manual. 04/29/2020 Certified 05/13/2020 2
TRAD Amendments to Tradition SEF Rulebook 08/25/2016 Certified 09/09/2016 3
TRAD Amendments to Tradition SEF Rulebook 07/09/2015 Certified 07/23/2015 2
TRAD Amendments to Tradition SEF Rulebook 06/03/2015 Certified 06/17/2015 2
TRAD Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement 03/29/2018 Certified 04/12/2018 3
TRAD Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. 03/18/2019 Certified 04/01/2019 4
TRAD Amendments to Tradition SEF Rulebook. 01/11/2016 Certified 01/26/2016 2
TRAD Amendments to Tradition SEF Rulebook. 07/15/2016 Certified 07/29/2016 2
TRAD Amendments to Tradition SEF Rulebook. 08/04/2015 Certified 08/18/2015 2
TRAD Amendments to Tradition SEF Rulebook. 08/31/2017 Certified 09/15/2017 2
TRAD Amendments to Tradition SEF Rulebook. 11/28/2017 Certified 12/12/2017 2
TRAD Amendments to Tradition SEF Rulebook. 09/21/2015 Certified 10/05/2015 2
TRAD Amendments to Tradition SEF Rulebook. 09/16/2016 Certified 09/30/2016 2
TRAD Amendments to Tradition SEF Trad-X Platform Supplement. 03/31/2016 Certified 04/14/2016 1
TRAD Amendments to Tradition SEF Trad-X, Volbroker and StreamGlobal Platform Supplements. 01/12/2016 Certified 01/27/2016 2
TRAD Amendments to Tradition SEF's Trad-X USD CME/LCH Auctions. 06/03/2015 Certified 06/17/2015 2
TWSEF Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols 01/15/2016 Certified 02/01/2016 3
TWSEF Amendments to TW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). 06/03/2020 Certified 06/17/2020 2
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (Emerging Market Currencies) 02/21/2020 Certified 03/06/2020 2
SEED CX An updated rulebook, modified during usual review of rule consistencies and market structure. 09/01/2017 Certified 09/18/2017 3
BGC As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. 11/29/2016 Certified 12/13/2016 1
SEED CX As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. 09/11/2017 Certified 09/25/2017 3
CBOESEF Bats Hotspot SEF has revised its rulebook in order to remove interest rate swaps, add non-deliverable forwards and reflect changes to governance and disciplinary processes resulting from ownership changes. 04/21/2017 Certified 05/05/2017 2
CBOESEF Bats Hotspot SEF is amending its rulebook to (a) more closely align its disciplinary procedures with those of its affiliate, CBOE Futures Exchange LLC, and (b) make certain other changes relating to the trading of non-deliverable forwards. 08/25/2017 Certified 09/11/2017 3
BGC BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. 07/24/2023 Certified 08/07/2023 3
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add a definition, update various CFTC No Action Letters and add a rule for the CFTC Post-Trade Name Give-Up rule. 10/19/2020 Certified 11/02/2020 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. 12/14/2020 Certified 12/29/2020 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify rules 203, 204, and 603, and to remove unutilized subsets of rules 602 and 703. 11/05/2021 Certified 11/22/2021 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify Rules 604 and 704 with respect to Post-Trade Name Give-Up and to update various CFTC No Action Letters. 11/24/2020 Certified 12/09/2020 2
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to more closely align with CFTC Regulations. 06/07/2022 Certified 06/22/2022 1
BGC BGC Derivative Markets, L.P. submits these rule amendments to reflect codification of CFTC No Action Letters. 02/16/2021 Notified 02/16/2021 1
BGC BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) 11/01/2013 Certified 11/19/2013 1