Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Bloomberg SEF LLC Compliance Manual 05/02/2019 Certified 05/16/2019 2
BSEF Bloomberg SEF LLC hereby notifies the CFTC that it wishes to amend the May 13 Rulebook Certification to respond to certain comments received from CFTC staff. We understand that the amended Rulebook will become effective on May 28, 2015. 05/22/2015 Certified 06/08/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF LLC will release the Notice to Participants attached on January 19, 2016, to become effective on February 3, 2016. 01/19/2016 Certified 02/02/2016 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants attached as Exhibit A to this certification on November 14, 2014. 10/29/2014 Certified 11/13/2014 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended its participant fee schedule. The amended participant fee schedule will become effective on January 1, 2016. 12/09/2015 Certified 12/23/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook. The amended Rulebook will become effective on August 13, 2015. 07/29/2015 Certified 08/12/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 22, 2015. 12/07/2015 Certified 12/21/2015 2
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 7, 2015. 11/19/2015 Certified 12/04/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commodity Futures Trading Commission that it has amended its participantfee schedule (the "Participant Fee Schedule"). The amended Participant Fee Schedule willbecome effective on May 11, 2015. 04/27/2015 Certified 05/11/2015 1
BSEF Bloomberg SEF LLC hereby submits its revised Rulebook, effective as of February 4, 2016. 01/20/2016 Certified 02/03/2016 1
BSEF Bloomberg SEF LLC hereby submits its self-certification of the BSEF Rulebook, to be effective on September 24, 2015. 09/09/2015 Certified 09/23/2015 2
BSEF Bloomberg SEF LLC Rulebook 05/02/2019 Certified 05/16/2019 1
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) 07/26/2018 Certified 08/09/2018 2
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Rulebook 07/25/2018 Certified 08/08/2018 1
BSEF BSEF Compliance Manual 02/21/2019 Certified 03/07/2019 2
BSEF BSEF Compliance Manual Amendment 02/21/2017 Certified 03/07/2017 1
BSEF BSEF fee schedule amendment 08/29/2023 Certified 09/13/2023 1
BSEF BSEF hereby notifies the Commission that it has amended the January 30 Rulebook Certification to respond to certain comments received from Commission staff. We understand that the amended Rulebook will become effective on February 15, 2015. 02/10/2015 Certified 02/25/2015 1
BSEF BSEF Rulebook Amendment 02/21/2017 Certified 03/07/2017 1
BSEF BSEF Rulebook Amendment 07/26/2019 Certified 08/09/2019 1
BSEF BSEF Rulebook Amendment 05/12/2016 Certified 05/26/2016 2
BSEF BSEF Rulebook Amendment 12/21/2018 Certified 01/08/2019 1
CBOESEF Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. 05/08/2020 Certified 05/22/2020 1
CBOESEF Cboe SEF is adding a new rule to govern its full amount platform. 03/13/2020 Certified 03/27/2020 1
CBOESEF Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. 02/06/2019 Certified 02/21/2019 1
CBOESEF Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. 01/16/2020 Certified 01/31/2020 2
CBOESEF Cboe SEF is amending Rule 909 to add exceptions to the definition of Confidential Information. 11/01/2023 Certified 11/16/2023 1
CBOESEF Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. 08/04/2020 Certified 08/18/2020 1
CBOESEF Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. 07/13/2020 Certified 07/27/2020 1
CBOESEF Cboe SEF is seeking to modify certain rules relating to the limitation of its liability and its indemnification obligations to its participants 07/28/2020 Certified 08/11/2020 2
CBOESEF Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. 05/07/2018 Certified 05/21/2018 1
CBOESEF Cboe SEF is submitting proposed rule amendments to modify the Order Review Timeframe in respect of its Full Amount Platform, and to clarify the composition of its Participation Committee 01/08/2021 Certified 01/25/2021 1
CBOESEF Cboe SEF, LLC is submitting certain changes to its rulebook to, among other things, add a definition of "Minimum Tick Size," clarify the difference between Participant Data and SEF Market Data, and clarify applicable fitness standards. 01/17/2018 Certified 01/31/2018 1
CBOESEF Cboe SEF, LLC, is amending its rules to clarify certain trading conventions in respect of Contracts listed for trading on Cboe SEF, and to modify the Minimum Tick Size applicable in respect of the USD/RUB Contract. 11/05/2019 Certified 11/20/2019 1
TDERIV Certain Rulebook amendments to extend No Action letters regarding trade errors and confirmations for uncleared trades 06/18/2017 Certified 06/30/2017 1
NEXSEF Certification of amendments to NEX SEF Rulebook and issuance of a Market Regulation Advisory Notice 04/17/2018 Certified 05/01/2018 5
TDERIV Certification of fee schedule and designation market maker program for trueDigital Products 11/06/2018 Certified 11/21/2018 2
SEED CX Certification of new Rule 203 to establish procedures for adding Directors to the Board. 09/21/2016 Certified 10/05/2016 1
GFISEF Certification that these rules comply with the Commodity Exchange Act and the Commission's regulations. The document includes a concise analysis of the operation, purpose and effect of each of the amended rules. 10/19/2020 Certified 11/02/2020 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/13/2016 Withdrawn 01/14/2016 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/14/2016 Certified 01/29/2016 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 11/02/2020 Certified 11/17/2020 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/22/2016 Certified 10/06/2016 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/01/2021 Certified 09/16/2021 2
LATAM CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 01/20/2022 Certified 02/03/2022 1
GFISEF CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA 07/24/2023 Certified 08/07/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 11/09/2023 Certified 11/27/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). 08/14/2023 Certified 08/28/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. 09/28/2023 Certified 10/13/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 01/29/2024 Certified 02/12/2024 1